Objectives

1
Objectives

• To create an inclusive, active, dynamic,
  integrated and coordinated network of managers
  and administrators supporting research at USyd
• 2. To provide a high level overview of the
  lifecycle of research management processes and
  activities at USyd

2
Program

• Strategic overview and pre-award Warwick
• Human and animal ethics Gail
• Im funded, now what? Yamini
• Corporate Finance (Research) Moira
• QA Short Break
• Post award management Annette
• Research Scholarships Carmen
• Research Performance Indicators Merril
• Research Management Program Warwick
• RQF Andrew
• Final QA Evaluation forms
• Celebration

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Research Portfolio
Sydnovate
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USyd KPIs Priorities 1540

• Improved research intensity reflected in
  proportion of research achievers
• Growth in research income from national and
  international sources
• Greater productivity of research publications in
  number and quality
• Improve national and international research
  collaboration
• Invest in world class infrastructure and admin
  support structures that are best practice
• Increased higher degree research load
  completions
• Improved performance in commercialisation

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So, how are we travelling?

• International league tables
• Around top 100 Shanghai Jiao Tong top 50
  Newsweek
• Top 40 in all 5 disciplines, Times Higher Ed
• National leader in new Australian Research
  Council funding in 2006 2007
• Australian Dept Ed, Sci Training (DEST)
  research performance indicators
• Research Income Publications (quality
  quantity)
• Research Student Completions (quality quantity)

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RESEARCH OFFICE MISSION STATEMENTTo provide
leadership and best practice in research
administration to enable the University of Sydney
to achieve its 1540 aspiration

• We will achieve our mission by
• Integrated, responsive and coordinated service
  delivery within the Office and with other
  relevant administrative units
• Education, training proactive communication
• Compliance with University requirements
  external obligations
• Accurate and timely research performance data
  strategic analysis
• Managing relationships with funding agencies
• Being the primary central point of contact for
  advice and support
• Anticipating and identifying needs sources of
  research funding
• Maximising reported research income performance
• Adopting work practices that are environmentally
  innovative and reduce costs

• Core Values
• Personal responsibility commitment to
• achieving mission
• positive and vibrant team and office environment
• Quality and excellence
• Respect, empathy and fairness/equity
• Open communication
• Service customer focus orientation
• Reliability
• Honesty and Integrity
• Cooperation and consultation
• Solution and outcome focus

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Role of the Research Office

• Research Management and Administration including
• Research funding
• Internal and external grants and scholarships
  from non-commercial entities (primarily
  ARC-NHMRC other govt)
• Pre and post award
• Data analysis and reporting
• DEST HERD Collection (Publications and Income)
• Absolute and benchmarked performance
• RQF preparation
• Centre led financial management
• Coordination with Faculty and School Finance
  staff
• Education and training
• Ethics Committee secretariat

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Mission Role of Sydnovate

• To ensure that technology, innovations and
  expertise from the University of Sydney are used
  by industry and other external organisations to
  generate social and economic benefits, while
  generating income to support research and
  education
• Negotiation of research agreements with
  commercial entities
• Negotiation of IP arrangements in all agreements
• ARC Linkage partner agreements
• Consultancy Testing agreements
• Material Transfer Confidentiality agreements
• Visitor Agreements
• http//www.usyd.edu.au/sydnovate

9
Internal Research Funding

• The University of Sydney offers the following
  research funding schemes
• Postdoctoral Research Fellowships
• International Visiting Research Fellowships (3-12
  weeks)
• Bridging Support Fellowships (for ARC-NHMRC
  near misses)
• ARC LIEF contributions
• From this year, Faculties responsible for
  internal research and equipment grants

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Application stage

• It is really important that all applications for
  research funding are submitted via the Research
  Office
• Compliance with University requirements including
  Recovery of indirect costs (use of
  infrastructure and facilities)
• Appropriate sign-off
• Agency point of contact
• Negotiation of conditions and agreements
• Maximising research income

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Human Animal Ethics

• Human and Animal ethics
• Lead Researcher/Student Supervisor is first named
  applicant
• Seek advice well before submission
• Website
• www.usyd.edu.au/ethics/human
• www.usyd.edu.au/ethics/animal
• Other researchers who have an approval
• Ethics administration team
• Subject to strict State and Commonwealth
  guidelines

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Im funded, now what?

• Research Proposal Clearance Form
• Human and Animal ethics Biosafety approvals
• Copy of proposal, letter of offer, agreement
• Shared grant agreements
• Note that USyd research income is usually limited
  to amounts that stay at USyd except in the cases
  of sub-contracts with hospitals and/or institutes
• Start on time, finish on time
• Note that expenditure must usually commence by a
  set date (ARC31 July, NHMRC30 June)

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One-line grant??!!

• ARC NHMRC Grant Expenditure must be
• in accordance with the aims and research plan of
  the Project.. and within the broad structure
  of the budget contained in the Project
  application
• use the Funds only for the purpose of performing
  the relevant Project in accordance with the
  Approval Budget (including the Personnel Support
  Package) as specified in the Schedule
• Variation to budget requires approval
• Note specific funding exclusions SSP, Partner
  Investigators, no salary for overseas
  investigators (NHMRC)
• No additional remuneration for Fellows or other
  employed staff without approval
• USyd and Funding Body compliance reviews

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Funding agreements/HR fellows

• ARC Funding Agreement NHMRC Deed
• ARC Acceptance NHMRC Schedules
• HR Interface Appointment of Fellows-
  Appointment Form- Level of Appointment in
  accordance to award i.e. ARC APD Level A Step
  6 NHMRC PRF Level E- Sign off from Dean/Head
  of Department- Possible delays o/seas fellows,
  visa status

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Corporate Finance (Research)

• A shared service
• HOD is Paul Slater, Deputy CFO and Director,
  Corporate Finance
• 4 staff
• Moira McAllister
• Tabitha Daines
• Danny Sun
• Lubos Spatina

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Corporate Finance (Research)

• Purpose Service the Research Portfolio and the
  Research Community in achieving best practice
  financial management and to assist the University
  to achieve its strategic goals.
• Scope has changed. For example, CFR is to ensure
  that the Universitys research financial and
  accounting policies and procedures are
• relevant
• reviewed for best practice and
• compliance is monitored

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What do we do?

• 1. Opening of ALL new research accounts at the
  University (including Research Office Sydnovate,
  Advancement Services)
• ARC (A)
• NHMRC (N)
• Research grants and projects (R) (U)
• Research bequests (B3)
• Research donations (D1)
• Research related Capital Preserved Trusts (T)

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What do we do?

• 2. Annual acquittal to the ARC and NHMRC
• 3. Coordinate the research income component of
  HERDC
• 4. Distribution of internal external research
  funding, such as Internal Fellowships, RIBG,
  CRCs, ARC, NHMRC

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How can Faculties assist?

• Ensure ALL research income and expenditure is
  correctly accounted for
• Spend from the correct account avoid mixing
  different sources of funds
• Correct class codes for research
• Minimise carry forwards by monitoring and
  following up timely expenditure
• Note time limits for completion of internal
  grants
• Ensure compliance with grant conditions
• Request account closure at project completion
• No recycling of accounts or funds

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How can Faculties assist?
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How can Faculties assist with HERDC?

• The aim of the verification process is to both
• report research income as accurately as possible
• maximise the reportable research income within
  the guidelines supplied, so that we maximise DEST
  block grant funds to USYD and therefore maximise
  funds going to the faculties

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Whats New?

• Introduction of improved processes eg ARC and
  NHMRC acquittals
• Faculty finance staff to concentrate on quality
  of information, rather than form filling
• CF(R) to provide more assistance to faculties by
  being more involved in the project life cycle
• Loading high level research budget
• Internal ARC audits
• Assist with project closures on completion
• Assist with more meaningful reporting

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Whats New?

• Invoicing of research grants and projects by
  Shared Services
• Starting 1/1/08 with all new Sydnovate projects
• Existing Sydnovate new RO projects TBC
• Further details Vesna Bujas x13396
• Distribution of ARC funding
• Monthly (TBC)

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Please Ask..

• Class codes
• Project codes
• Expenditure guidelines
• Opening Closing of accounts
• General research finance advice
• IM STUCK, WHAT DO I DO?

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Post award Management

• Please advise promptly any
• Change of investigators especially resignation
  and transfer to another institution
• Change to industry partners (Linkage)
• Extended leave/suspensions

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Approvals

• Approval from the ARC the NHMRC is required
  for
• Changes to investigators/transfer of projects
• Changes to the use of the budget
• Suspension of Fellowships including extended
  leave
• Extension of project
• Changes to teaching relief

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Reporting

• General style positive and enthusiastic focussing
  on outcomes
• If difficulties identify the way forward to
  successful completion
• Ensure consistent with any carry forward requests
• Obligation to assess other applications
• Annual Progress Reports - ARC due 31st January,
  NHMRC 31st March templates available on websites

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E-Filing

• E-files are available through records online or
  Trim
• Access to grant files is given via the RO
• E-Files replace finance files that were
  previously sent to School Finance Managers
• Records provides training for all staff needing
  to access Trim

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Research Scholarships

• Aware of restrictions
• Government grant funds cannot be used to pay
  tuition fees for international students
• Eligibility criteria (eg. APAIs) permanent
  residency, at least Hons 2-1 and last date to
  start
• IP assignments and publication restrictions in
  grant agreements (eg. contract research, CRCs,
  ARC Linkage) seek advice early
• Also apply to top-up scholarships paid from
  grant funds and non-scholarship students working
  on project

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Research Scholarships

• Setting up a non-established scholarships
• Refer to procedure document on http//www.usyd.edu
  .au/ro/training/create_award.shtml
• Normal duration 2 yrs for Masters, 3 yrs for PhD
• Must be advertised (at least internally) per
  Academic Board policy unless specific student is
  named in original grant or funding application
• Students to enrol by HECS census date
• Stipend payment (fortnightly via payroll) cannot
  commence until enrolment, ethics, IP matters
  resolved
• Continuation subject to satisfactory progress

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Research Scholarships

• Scholarships are tax-exempt if
• Students are enrolled FT
• Provided for educational purposes
• Not employment (contract for labour)
• Other work (eg. admin duties) cannot be a
  condition of tax-exempt scholarships arrange
  casual employment instead

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UPA (Co-funded) USydIS

• UPA (Co-funded) for commencing domestic students
• DVCR and Faculty/School share stipend 5050
• USyd IS (2 types) for commencing international
  students
• IRS Faculties provide tuition fees, DVCR
  provides stipend
• IFS COO and Faculties share tuition fee 5050,
  faculties provide stipend
• Both are 2 rounds pa

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DEST Block Grants

• Institutional Grants Scheme (IGS) 30m
• Research Training Scheme (RTS) 57m
• Driven by Research Performance
• 47 Income, 10 Pubs, 33 Res completions 10
  load
• Averaged over 2 years (04/05 for 07 funding)
• Research Infrastructure Block Grant (RIBG) 24m
• 25c in the on peer reviewed (Cat 1) grant
  income only
• Total 111M for USyd in 2007
• 75 allocated to Faculties (65m via model, 18m
  RIBG)
• 25 retained for central initiatives and internal
  funding

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Research Performance Indicators

• Critical that we capture every of research
  income every eligible research publication
• Classification issues
• Training issues researchers and finance
  officers
• Higher Degree Supervisor capture
• All grant applications submitted via RO
• Publication nuances USyd affiliation

35
Supporting Research ExcellenceIntroducing RMP
36
Frequently asked questions

• Why InfoEd?
• What will happen to IRMA?
• Who will have input in developing the new system
  and processes?
• How do I get further information?
• Who is my first point of contact in the RMP team?
• Website www.usyd.edu.au/ro/
• Christian Eberhardt c.eberhardt_at_usyd.edu.au
  x12663

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Program Horizons
Indicative
HORIZON 3
DELIVERING
PLANNING
HORIZON 2
DELIVERING
PLANNING
HORIZON 1
DELIVERING
PLANNING
DELIVERING INTERIM SYS
Q3 2008
Q3 2009
2007
Q3 2010

• Grants (pre post award)

• Research Outputs / Publications

• Research Clearances (Ethics, Bio / Radiation
  Safety)

WHAT?

• Funding Opportunities

• Researcher Profiles

• USYD Research Profile (public)

• Research Office

• Research Office

• Ethics, OHSIM

WHO?

• Local Research Admin

• Local Research Admin

• Broader USYD Community (Internal/External)

• Researchers

• Researchers

WHAT TO EXPECT NEXT?

• Regular communication / updates on progress

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• Opportunity to get involved via User Reference
  Groups

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Research Quality Framework

• Foreshadowed in 2004 announced in early 2007,
  submission 04/08
• Assessment of the Quality and Impact of research
  in Australian Universities based on research
  outputs and outcomes over the period 2001-06
• The RQF assessments will be based on research
  groupings nominated by each university, not on
  individual academics
• Research Quality will be assessed from research
  publications metrics using international peer
  review panels covering 13 discipline areas
• Research Impact relates to socio-economic and
  cultural impact on the Australian community (this
  has not been assessed by any other country
  previously)

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Benefits for the University

• Opportunity for the University to gain funding,
  reputation, internal awareness of strengths /
  weaknesses
• 600m allocated by RQF outcomes, likely to be
  2010 if RQF delayed
• 300m allocated on basis of research deg
  completions
• 200m allocated on basis of Cat 1 performance
  (RIBG)

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RQF post election

• Labor will abolish the Howard Governments flawed
  Research Quality Framework, and replace it with a
  new, streamlined, transparent, internationally
  verifiable system of research quality assessment,
  based on quality measures appropriate to each
  discipline. These measures will be developed in
  close consultation with the research community.
  Labor will also address the inadequacies in
  current and proposed models of research
  citation.  Labors model will recognise the
  contribution of Australian researchers to
  Australia and the world.
• Kim Carr, 15 November
• Need for accurate current data remains, HERDC
  pubs and income 07 are vital

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Current Issues

• Integration and coordination
• Information Management
• Process review, workflow, automation
• Evidence based decision making
• Resource Allocations
• Performance Management
• Infrastructure (growth)
• Quality

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Dont hesitate to call..

• Warwick Dawson, x14472 wdawson_at_usyd.edu.au
• Research Grants
• Andrew Black, ST x67075 ablack_at_usyd.edu.au
• Yamini Sandiran, HS x13877 ysandiran_at_usyd.edu.au
  
• Annette McLaren, HSS x14153 amclaren_at_usyd.edu.a
  u
• Research Scholarships
• Carmen Ng, x14466 research.training_at_usyd.edu.au
  
• Research Performance
• Merril Bouckley x15630 mbouckley_at_usyd.edu.au
• Research Finance
• Moira McAllister x16385 corpfinance.research_at_usyd
  .edu.au
• Human/Animal Ethics
• Gail Briody, Manager - x14811
  gbriody_at_mail.usyd.edu.au
• Website http//www.usyd.edu.au/ro

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Thanks for your support in 07

• Please complete the evaluation form
• And then join us in celebrating another
  successful year of research management at USyd!