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Research Income Toolkit - V4 - Melbourne Research

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					Research Income Tools Kit                                                          Version 4
University of Melbourne Internal Use Only


                                         Table of Content
Item 1 – Definitions of Research ___________________________________________________________ 3
  Commonwealth Definition _____________________________________________________________ 3
  Applied Research ____________________________________________________________________ 3
  Experimental Development ____________________________________________________________ 4
  Pure Basic Research __________________________________________________________________ 4
  Strategic (Oriented) Basic Research _____________________________________________________ 4
Item 2 – Definition of Shared Grant Income __________________________________________________ 5
Item 3 – 2010 Research Block Grants _______________________________________________________ 6
  Australian Postgraduate Awards (APA) ____________________________________________________ 7
  CTS ________________________________________________________________________________ 7
  International Postgraduate Research Scholarships (IPRS) ______________________________________ 8
  Joint research engagement (JRE) _________________________________________________________ 8
  Research Infrastructure Block Grants Scheme (RIBG) _________________________________________ 8
  RTS ________________________________________________________________________________ 9
  Sustainable Research Excellence (SRE)_____________________________________________________ 9
Item 4 – ACGR Definition ________________________________________________________________ 11
Item 5 – 2011 ACGR List (2010 & 2011 data) ________________________________________________ 12
Item 6 – Research Income Categories ______________________________________________________ 18
Item 7 - The University of Melbourne Chart of Accounts_______________________________________ 19
Item 8 – GL project Code Determination Criteria _____________________________________________ 21
Item 9 – Operating Accounts _____________________________________________________________ 22
Item 10 – Activity Code List ______________________________________________________________ 23
Item 11 – Mapping of Natural Account to HERDC Research Income Categories_____________________ 24
Item 12 – External Transfers Natural Accounts ______________________________________________ 27
  Natural account 5731 – Bursaries & Grants - Students _____________________________________ 27
  Natural Account 5733 – Grants to Affiliated Institutes (Not Shared Grants) ___________________ 27
  Natural Account 5734 - Shared Grants (to HEP or ORPO) ___________________________________ 27
  Natural Account 5735 - Contributions to Higher Education Provider __________________________ 28
  Natural Account 5732 – Other Grants ___________________________________________________ 28
Item 13 – Affiliated Institutes ____________________________________________________________ 29
Item 14- List of Higher Education Providers (HEPs) ___________________________________________ 31
Item 15 –CRCs where UoM is a Signatory ___________________________________________________ 32
Item 16 –Research Income Excluded from HERDC Collection ___________________________________ 33
  Conference/workshops (attending or organising) _________________________________________ 33


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Research Income Tools Kit                                                         Version 4
University of Melbourne Internal Use Only

  Data Collection _____________________________________________________________________ 33
  feasibility studies ___________________________________________________________________ 33
  Honours Student Scholarship __________________________________________________________ 33
  Income from other universities (unless a shared grants) ___________________________________ 33
  Interest Income _____________________________________________________________________ 33
  publications Income _________________________________________________________________ 33
  Reimbursement of expenses __________________________________________________________ 33
  Rental / Use of Facilities ______________________________________________________________ 33
  Routine testing and Services __________________________________________________________ 33
  Schemes Excluded from Collection _____________________________________________________ 34
  Third Party Income and “Special Relationship” ___________________________________________ 34
  DIISR list of Excluded Income __________________________________________________________ 34
Item 17 –Research Block Grants Funding & Cents per Dollars Earning ____________________________ 37
Glossary _____________________________________________________________________________ 39
Index ________________________________________________________________________________ 45




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Research Income Toolkit                                           University of Melbourne Internal Use Only
Last updated: 21/02/2011                                                      Item 1- Definition of Research

Item 1 – Definitions of Research

COMMONWEALTH DEFINITION
The following is extracted from the 2010 Higher Education Research data Collection specifications
produced by DIISR1.

        1.3.7 - Research
        Research is defined as the creation of new knowledge and/or the use of existing knowledge in a new
        and creative way so as to generate new concepts, methodologies and understandings. This could
        include synthesis and analysis of previous research to the extent that it leads to new and creative
        outcomes.

        This definition of research is consistent with a broad notion of research and experimental
        development (R&D) as comprising of creative work undertaken on a systematic basis in order to
        increase the stock of knowledge, including knowledge of humanity, culture and society, and the use
        of this stock of knowledge to devise new applications2.

        This definition of research encompasses pure and strategic basic research, applied research and
        experimental development. Applied research is original investigation undertaken to acquire new
        knowledge but directed towards a specific, practical aim or objective (including a client-driven
        purpose).

        Activities that support research and meet this definition of research include:

         provision of professional, technical, administrative or clerical support and/or assistance to staff
          directly engaged in in activities essential to the conduct of research
         management of staff who are either directly engaged in the conduct of research or are providing
          professional, technical, administrative or clerical support or assistance to those staff
         activities of students undertaking postgraduate research courses
         development of postgraduate research courses
         supervision of students undertaking postgraduate research courses.
         research and experimental development into applications software, new programming languages
          and new operating systems (such R&D would normally meet the definition of research)

        Activities that do not support research must be excluded, such as:

           scientific and technical information services
           general purpose or routine data collection
           standardisation and routine testing
           feasibility studies (except into research and experimental development projects)
           specialised routine medical care
           commercial, legal and administrative aspects of patenting, copyright or licensing activities
           routine computer programming, systems work or software maintenance


APPLIED RESEARCH
Applied research is original investigation undertaken in order to acquire new knowledge. It is, however, directed
                                                        3
primarily towards a specific practical aim or objective

1
  DIISR: Department of Innovation, Industry, Science and Research
2
  OECD (2002), Frascati Manual: Proposed Standard Practice for Surveys on Research and Experimental Development,
OECD: Paris.
3
  OECD Frascati Manual, Sixth edition, 2002, para. 64, page 30
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Last updated: 21/02/2011                                                       Item 1- Definition of Research



EXPERIMENTAL DEVELOPMENT
Experimental development is systematic work, drawing on existing knowledge gained from research and/or practical
experience, that is directed to producing new materials, products or devices; to installing new processes, systems and
                                                                            4
services; or to improving substantially those already produced or installed


PURE BASIC RESEARCH
Pure basic research is research carried out for the advancement of knowledge, without working for long-term
economic or social benefits and with no positive efforts being made to apply the results to practical problems or to
                                                                5
transfer the results to sectors responsible for its application


STRATEGIC (ORIENTED) BASIC RESEARCH
Oriented basic research is research carried out with the expectation that it will produce a broad base of knowledge
                                                                                                                    6
likely to form the background to the solution of recognised or expected current or future problems or possibilities




4
  OECD Frascati Manual, Sixth edition, 2002, para. 64, page 30
5
  OECD Frascati Manual, Fifth edition, 1993, para. 227, page 50
6
  OECD Frascati Manual, Fifth edition, 1993, para. 227, page 50.
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Research Income Toolkit                                       University of Melbourne Internal Use Only
Last updated: 21/02/2011                                      Item 2 - Definition of Shared Grant Income

Item 2 – Definition of Shared Grant Income

A grant is considered a shared grant if a component is passed from the primary recipient to another party
where that party is named in the contract/agreements for the grant OR tender/application for funding.

Example
HEP X receives a grant of $50,000 of which $20,000 is transferred to HEP Y, HEP X should only report
$30,000 and HEP Y $20,000.

This is to ensure that double counting does not occur.

The natural account to use for a shared grant is 5734 – Shared Grants (to HEP and ORPO)

WHAT IS NOT A SHARED GRANT?
   A contribution from one university to another to participate in a grant when the contribution is
       funded from the university own finance.

         A refund of contribution to the administering HEP

         Payment for goods and services to another university to provide some services when this
          university is not named on the agreement or the proposal.




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Research Income Toolkit                                            University of Melbourne Internal Use Only
                                                                               Item 3- Research Block Grants

Item 3 – 2010 Research Block Grants

The Department of Innovation, Industry, Science and Research manages six programs to support research
and research training in Australian Higher Education Providers (HEPs):
 Research Training Scheme (RTS)
 Joint Research Engagement (JRE). Replaced the Institutional Grants Scheme (IGS).
 Research Infrastructure Blocks Grants Scheme (RIBG)
 Sustainable Research Excellence (SRE). Introduced in 2010
 The Australian Postgraduate Awards (APA)
 The Commercialisation Training Scheme (CTS)
 International Postgraduate Research Scholarships (IPRS). Reintroduced in 2009


The Regional Protection Scheme (RPS) was terminated in 2008.

HOW RESEARCH BLOCK GRANTS ARE AUTHORISED
The programs are established by the Higher Education Support Act 2003 (HESA) and can only fund eligible
HEPs listed in Table A or Table B of HESA, Division 16. HEPs receive a single annual funding amount (block)
for each scheme and are responsible for administering the programs on behalf of Department of
Innovation, Industry, Science and Research within broad guidelines. The guidelines and conditions of grant
can be found on the program web pages listed above.

HOW RESEARCH BLOCK G RANTS ARE CALCULATED
Funding for each program is calculated by a formula using some combination of the following inputs:
       Research student total load
       Research student total completions
       Research income
       Research publications
       Previous program payments
Important Note: The formulae calculate each HEP’s percentage share of the total available funds - they do
not assign dollar values to the inputs and aggregate them to determine funding.
The pre-safety net calculations use the following weight for each of the input:
Block Grant Name:                                                  Res      Res Income RHD       RHD Student
                                                                   Pubs                Student   Completions
                                                                                       Load

APA – Australian Postgraduate Award (Est)                           10%        40%                   50%

CTS – Commercialisation Training Scheme (Est)                       10%        40%                   50%

                                                                             60% (non
JRE – Joint Research Engagement(Est) (replaced IGS in 2010)         10%                   30%          
                                                                              Cat 1)

 IPRS – International PG Research Scholarship – Reintroduced
                                                                    10%        40%                   50%
in 2009 (Est)

                                                                             100%ACG
RIBG – Research Infrastructure Block Grant Scheme                                                    
                                                                              (Cat 1)

                                                                             100%ACG
SRE –Sustainable Research Excellence (New in 2010)                                                   
                                                                              (Cat 1)


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Research Income Toolkit                                            University of Melbourne Internal Use Only
                                                                               Item 3- Research Block Grants

Block Grant Name:                                                  Res    Res Income RHD          RHD Student
                                                                   Pubs              Student      Completions
                                                                                     Load

RTS - Research Training Scheme (Fin Ops Estimations) (Est)          10%      40%                       50%


All data inputs are sourced from the Higher Education Research Data Collection or the Higher Education
Student Data Collection.

The following information has been extracted from the government web page
(http://www.innovation.gov.au/Section/Research/Pages/ResearchBlockGrants.aspx ). More information is
available on that page.


AUSTRALIAN POSTGRADUATE AWARDS (APA)
(Last Reviewed : 28/10/2009 )

Objectives of the APA program are to:
    Support postgraduate research training in the higher education sector
    Provide financial support to domestic postgraduate students of exceptional research promise who
        undertake their higher degree by research at an eligible Australian higher education provider.

Eligible higher education providers are granted Commonwealth funding for continuing and new awards
each year under the APA program.

Awards are available for a period of two years for a Masters by research degree or three years, with a
possible extension of six months, for a Doctorate by research degree. Award holders receive an annual
stipend and may also be eligible for other allowances.

The allocation of funding to participating providers is based on a formula that is reflective of their overall
research performance.

Payments are made to higher education providers who administer the schemes on behalf of the
Department of Innovation, Industry, Science and Research. Applications by students for an APA should be
made directly to a participating provider. Each provider has responsibility for determining the selection
process by which awards are allocated to applicants.



CTS
The objective of the CTS is to provide high quality research commercialisation training for the next
generation of Australian researchers as a means of equipping them with the skills, knowledge and
experience necessary to bring research-based ideas, inventions and innovations to market.

Australian government funding is provided through annual block grants to participating higher education
providers who are responsible for identifying and selecting high quality Australian higher degree by
research students. All applications for CTS support should be made directly to a participating provider.

CTS Students will receive training in three areas:

       Commercialisation Know-how (a strategic understanding of commercialisation processes)
       Technical Commercialisation Skills (eg Intellectual Property Management, Financial Management,
        Project Management and Market Research)
       Organisational Behaviour Skills (eg Leadership, Teamwork and Presentation skills).
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Research Income Toolkit                                          University of Melbourne Internal Use Only
                                                                             Item 3- Research Block Grants

CTS students are exempt from payment of student contribution amounts and tuition fees for units
undertaken as part of CTS training. Students will be awarded a Graduate Certificate on successful
completion.

INTERNATIONAL POSTGRADUATE RESEARCH SCHOLARSHIPS (IPRS)
 (Last Reviewed : 30/10/2009 )

The main objectives of the IPRS program are to:
     attract top quality international postgraduate students to areas of research strength in Australian
       higher education providers; and
     support Australia's research effort.

The IPRS program enables international students to undertake a postgraduate research qualification in
Australia and gain experience with leading Australian researchers.

Scholarships are open to international students of all countries (except New Zealand) and are available for a
period of two years for a Masters by research degree or three years for a Doctorate by research degree.
The scholarship covers tuition fees and health cover costs for scholarship holders, and health cover costs
for their dependants.

Applications for a scholarship need to be made directly to a participating university. Universities are
responsible for determining the selection process by which scholarships are allocated to applicants.
Contact details for Australian universities may be obtained from the Study in Australia website.
The allocation of IPRS grants to participating universities is based on a formula that is reflective of their
overall research performance.
JOINT RESEARCH ENGAGEMENT (JRE)

The JRE provides block grants, on a calendar year basis, to eligible Higher Education Providers (HEPs) to
support research and research training activities. HEPs have discretion in the way they spend their JRE
grant. The JRE may be used to fund any activity related to research.

The purpose of JRE is to maintain and strengthen Australia's knowledge base and research capabilities by
developing an effective research and research training system in the higher education sector.

Specifically, the JRE aims to:

  support the general fabric of the research and research training activities of HEPs
  allow HEPs to manage their own research activities and set their own priorities
  assist HEPs to respond flexibly to their research environment in accordance with their own strategies
  enhance support for areas of research strength

This program transforms the Institutional Grants Scheme (IGS) in order to encourage greater collaboration
between universities and the business and non-government research sectors. Under the Joint Research
Engagement initiative the IGS funding formula will be revised to remove competitive research grant income
from the calculations used to allocate this research block grant, thereby rewarding universities which
diversify their sources of research income.

This program will commence in the 2010 academic year.

RESEARCH INFRASTRUCTURE BLOCK GRANTS SCHEME (RIBG)
(Last Reviewed : 16/12/2009 )


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Research Income Toolkit                                        University of Melbourne Internal Use Only
                                                                           Item 3- Research Block Grants

RIBG provides block grants, on a calendar year basis, to eligible Higher Education Providers (HEPs) to
enhance the development and maintenance of research infrastructure.

The objectives of RIBG are to:
     enhance the development and maintenance of research infrastructure in HEPs for the support of
       high quality research in all disciplines
     meet project-related infrastructure costs associated with Australian Competitive Grants
     remedy deficiencies in current research infrastructure
     ensure that areas of recognised research potential, in which HEPs have taken steps to initiate high
       quality research activity, have access to the support necessary for development.

The Australian Competitive Grants Register (ACGR)
Each eligible HEP’s RIBG grant amount is determined on the basis of its relative success in attracting
research income from competitive funding schemes listed on the ACGR. Follow the link for detailed
information on the ACGR.
RTS
The RTS provides block grants, on a calendar year basis, to eligible Higher Education Providers (HEPs) to
support research training for students undertaking Doctorate and Masters degrees by research.

The objectives of the RTS are to:
    enhance the quality of research training provision in Australia
    improve the responsiveness of HEPs to the needs of their research students
    encourage HEPs to develop their own research training profiles
    ensure the relevance of research degree programs to labour market requirements
    improve the efficiency and effectiveness of research training.


SUSTAINABLE RESEARCH EXCELLENCE (SRE)
(Last Reviewed : 11/02/2010 )

The SRE initiative was announced by the Australian Government in the 2009-10 Budget as part of a suite of
measures to enhance university research. Over the four years 2009-10 to 2012-13, $510 million will be
provided under the SRE program to support universities in meeting the indirect costs of their Australian
Competitive Grant (ACG) research activities. A commitment was also made to implement the SRE program
in consultation with the higher education sector.

The SRE program responds to key recommendations made in Powering Ideas: An Innovation Agenda for the
21st Century, the government's policy for the reform of the Australian Innovation System.

Program Objectives
The dual objectives of the SRE program are to:

 help address an identified shortfall in the funding available to meet the indirect costs associated with
ACG research; and

  support universities to build and maintain research excellence through the implementation of best
practice financial management, performance and reporting frameworks.
The first of these objectives reflects a need for additional support to universities to meet the project
related infrastructure costs associated with ACG research and enhance the development and support of
university research infrastructure more broadly.

The second objective, which distinguishes SRE from the Research Infrastructure Block Grants (RIBG) and
other research block grant programs, recognises that achieving research excellence on a sustainable basis is
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Research Income Toolkit                                       University of Melbourne Internal Use Only
                                                                          Item 3- Research Block Grants

dependent on universities' capacity to strategically manage their resources to meet costs associated with
research activities. It also recognises a need for mechanisms and incentives to support universities to
stretch their research performance over time.




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Research Income Toolkit                                               University of Melbourne Internal Use Only
Last updated: 21/02/2011                                                              Item 4 – ACGR Definition

Item 4 – ACGR Definition

The following is DIISR7 definition for the 2011 and 2012 Australian Competitive Grant Register:


The ACGR lists schemes that provide competitive research grants to Higher Education Providers. The
income Higher Education Providers receive from schemes listed on the ACGR drives the allocation of over
$300 million of Research Infrastructure Block Grants (RIBG) each year. Grant schemes may be listed on the
ACGR if:

      1. Funds must be provided on a nationally competitive basis during 2010 and 2011 and clearly be for
         research only
      2. The funding scheme must be nationally advertised and available to universities throughout
         Australia
      3. The funding scheme must have a well-defined mechanism for competition and selection by a well-
         qualified panel
      4. Funds must be provided through direct transfer from the funding agency to the higher education
         institution
      5. Grants in-kind such as the use of facilities, equipment etc. or subsidised travel or accommodation
         are not eligible
      6. Funding schemes used exclusively to fund student scholarships are not eligible
      7. Schemes that provide funding wholly or mainly for infrastructure purposes are not eligible
      8. The funding body must agree to provide funding data to the Department of Innovation, Industry,
         Science and Research and the data must be up to date
      9. The funding scheme* must have an annual budget of $1 million or more (ARC, NHMRC and Rural
         R&D schemes are not subject to this criterion)

For information regarding the eligibility of a funding scheme for listing on the ACGR, please refer to:
http://www.innovation.gov.au/Research/ACGR/Pages/default.aspx




7
    DIISR: Department of Innovation, Industry, Science and Research
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Last updated: 21/02/2011                                                         Item 5- 2010 ACGR List (2009 Data)

Item 5 – 2011 ACGR List (2010 & 2011 data)
 Sponsor Name                                                      Sponsor Scheme
 ARC                                                               ARC Centres of Excellence
 ARC                                                               Discovery - Australian Laureate Fellowships
 ARC                                                               Discovery - Federation Fellowships
 ARC                                                               Discovery - Future Fellowships
 ARC                                                               Discovery - Indigenous Researchers’ Development
 ARC                                                               Discovery - Projects
 ARC                                                               Linkage - International
 ARC                                                               Linkage - Projects
 ARC                                                               Special Research Initiatives (excluding NICTA and Aust
                                                                   Centre for Plan Functional genomics)
 ARC                                                               Super Science Fellowships New
 AusAID                                                            Australian Development Research Awards
 Australian Antarctic Division                                     Australian Marine Mammal Centre (AMMC) Grants
 Australian Biological Resources Study                             National Taxonomy Research Grants Program
 Australian Centre for International Agricultural Research         R&D Projects
 (ACIAR)
 Australian Coal Research Ltd                                      Australian Coal Association Research Program (ACARP)
 Australian Egg Corporation Limited                                Innovation & Efficiency RD&E Open Call
 Australian Housing and Urban Research Institute (AHURI)           Research Project
 Australian Institute of Nuclear Science and Engineering           AINSE Research Projects (formely AINSE Award and
                                                                   Research Fellowships)
 Australian National Low Emissions Coal R&D Ltd                    Alternatives & Fundamentals Program 2011 New
 Australian Pork Ltd                                               Research & Innovation Open Tenders
 Australian Primary Health Care Research Institute                 Centres of Reseach Excellence in Primary Care New
 Australian Rotary Health Research Fund                            Mental Health Research Grant, fellowships (excluding Ian
                                                                   Scott Scholarship) (formely Mental Health Research Grant)
 Australian Solar Institute Ltd                                    Competitive Component R&D Projects (ASI round 2 funding
                                                                   call)
 Australian Stem Cell Centre                                       Collaborative Stream Grant Scheme
 Australian Water Recycling Centre of Excellence Ltd               Australian Water Recycling Centre of Excellence New
 Australian Wool Innovation                                        Call for Proposals On-Farm R&D, Off-Fam R&D New


 Bupa Foundation (Aust) Ltd (ex MBF Foundation)                    Bupa Health Foundation (research Component only) (formely
                                                                   MBF Foundation Expression of Interest Grants Program -
                                                                   Research Grant )
 Cancer Australia                                                  Prioirity Driven Collaborative Cancer Research Scheme
 Cancer Australia                                                  Support for Cancer Clinial Trials - Existing National
                                                                   Cooperative Oncology Groups (Formely National Co-operative
                                                                   Oncology Groups)
 Cotton Research and Development Corporation                       Open Call Research & Development Project
 Criminology Research Council                                      Criminology Research Fund
 CSIRO                                                             Flagship Collaborative Research Program - Clusters
                                                                   For a list of clusters, please refer to the following webpage:
                                                                   http://www.csiro.au/resources/FCFclusters.html
 Dairy Australia                                                   Research & Development Grants



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Last updated: 21/02/2011                                                       Item 5- 2010 ACGR List (2009 Data)

 Sponsor Name                                                     Sponsor Scheme
 Dairy Innovation Australia Limited                               Dairy Innovation Research Grants


 Dept of Agriculture, Fisheries & Forestry (DAFF)                 Forest Industries Climate Change Research Fund (FICCRF)
 Dept of Climate Change & Energy Efficiency (DCCEE)               Climate Change Adaptation Research Grants New
 Dept of Families, Housing Community Services & Indigenous        Homelessness Research Partnership Agreements New
 Affairs (FaHCSIA)
 Dept of Families, Housing Community Services & Indigenous        Social Policy Research Services Agreements
 Affairs (FaHCSIA)
 Dept of Health & Aging (DHA)                                     National Drug Law Enforcement Research Fund (NDLERF)
 Dept of Innovation, Industry, Science & Research (DIISR)         Australia-India Strategic Research Fund (AISFR) New
 Dept of Innovation, Industry, Science & Research (DIISR)         International Science Linkages (ISL) Program New
 Dept of Prime Minister & Cabinet                                 Research Support for National Security (known as Research
                                                                  Support for Counter Terrorism (RSCT) )
 Dept of Sustainability, Environment, Water, Population &         Commonwealth Environment Research Facilities (CERF)
 Communities
 Dept of Sustainability, Environment, Water, Population &         Marine & Tropical Sciences Research Facilities (MTSRF)
 Communities
 Dept of Sustainability, Environment, Water, Population &         National Environmental Research Program (NERP) New
 Communities
 Diabetes Australia Research Trust                                Awards and Research Grants
 Financial Markets Foundation for Children (The)                  Foundation for Children Grants
 Fisheries Research and Development Corporation                   Annual Open Call Round
 Fisheries Research and Development Corporation                   Tactical Research Found
 Forest and Wood Products Australia Ltd                           Denis Cully Research Fellow
 Forest and Wood Products Australia Ltd                           Research & Development Scheme (formely Research &
                                                                  Development Research Grants)
 Garnett Passe and Rodney Williams Memorial Foundation            Project Grants
 (The)
 Garnett Passe and Rodney Williams Memorial Foundation            Senior/Principal Research Fellowships
 (The)
 Geoffrey Gardiner Dairy Foundation (The)                         Innovation Program
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - Agronomy, Soils & Environment
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - Crop Protection
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - Extension and Grower Programs New
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - Gene Discovery
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - Germplasm Enhancement
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - In-Service Training Award
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - New Farm Products & Services
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - Pulse, Oilseed & summer Coarse Grains
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - Senior Fellowships
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - Validation & Integration
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - Visiting Fellowships (formely Grains
                                                                  Industry Visiting Fellowships)
 Grains Research and Development Corporation (GRDC)               R&D Open Tender - Wheat & Barley Breeding
 Grape and Wine Research and Development Corporation              Research & Development Call for Applications (previoulsy
 (GWRDC)                                                          R&D Projects)
 HCF Health & Medical Foundation                                  Health Services Research Grants Program New
 Horticulture Australia Ltd                                       General Call (formely R&D General Call)
 Horticulture Australia Ltd                                       Industry Call (formely R&D Industry Call)

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Last updated: 21/02/2011                                                     Item 5- 2010 ACGR List (2009 Data)

 Sponsor Name                                                  Sponsor Scheme
 Juvenile Diabetes Research Foundation                         Clinical Trials Network New
 Juvenile Diabetes Research Foundation                         Islet Transplantation Program in Australia
 Juvenile Diabetes Research Foundation                         Research Grants
 Leukaemia Foundation                                          National Research Program
 Meat and Livestock Australia                                  MLA Research Program, Human Nutrition Research Program
                                                               Strategic and Applied Research Funding (Producer
                                                               Demonstration Sites & Research Organisation Funding Only)
 Motor Neurone Disease Research Institute of Australia         Research Grant (previously known as Grants in Aid and
                                                               Postdoctoral Fellowships)
 National Breast Cancer Foundation                             National Collaborative Breast Cancer Research Grant
                                                               Program
 National Breast Cancer Foundation                             Novel Concept Awards
 National Centre for Vocational Education Research Ltd         National Vocational Education and Training Research and
 (NCVER)                                                       Evaluation Program (NVETRE)
 National Centre of Excellence in Desalination                 Funding Rounds New
 National Heart Foundation of Australia                        Fellowships (Biomedical, Clinical, Public Health, Overseas,
                                                               Career Development)
 National Heart Foundation of Australia                        Grants-In-Aid (Biomedical, Clinical and Public Health)

 NHMRC                                                         A Healthy Start to Life for Aboriginal & Torres Strait Islander
                                                               Children
 NHMRC                                                         A Healthy Start to Life for All Australian
 NHMRC                                                         Ageing Well Ageing Productively
 NHMRC                                                         Australia Fellowship
 NHMRC                                                         Australian Health Ministers Advisory Council - Priority Driven
                                                               Research Program
 NHMRC                                                         Capacity Building Grants for Health Services Research
                                                               (formerly Capacity Building Grants for Population Health &
                                                               Health Services)
 NHMRC                                                         Capacity Building Grants in Population Health Research
 NHMRC                                                         Career Development Fellowships (ex Career Development
                                                               Awards)
 NHMRC                                                         Centres for Clinical Research Excellence
 NHMRC                                                         Centres of Research Excellence New
 NHMRC                                                         Complimentary and Alternative Medicines Grant Scheme
 NHMRC                                                         Dementia Research Grants
 NHMRC                                                         Development Grants
 NHMRC                                                         Early Career Fellowships (ECF) (ex Postdoctoral Training
                                                               Fellowships)
 NHMRC                                                         General Practice Clinical Research Program
 NHMRC                                                         Health Services Research Program
 NHMRC                                                         International Cancer Genome Consortium
 NHMRC                                                         International Collaborative Indigenous Health Research
                                                               Partnership Grants (ICIHRP) on Resilience
 NHMRC                                                         National Asbestos Centre

 NHMRC                                                         National Institute of Clinical Studies (NICS)

 NHMRC                                                         NHMRC-European Union Collaborative Research Grants
                                                               (formely Australian-European Union Health Research
                                                               Collaboration)

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Research Income Toolkit                                                        University of Melbourne Internal Use Only
Last updated: 21/02/2011                                                            Item 5- 2010 ACGR List (2009 Data)

 Sponsor Name                                                          Sponsor Scheme
 NHMRC                                                                 Partnership Projects
 NHMRC                                                                 Post-Graduate Fellowships for Palliative Care Research (ex
                                                                       Post-Doctoral)
 NHMRC                                                                 Practitioner Fellowships
 NHMRC                                                                 Preventative Healthcare and Strengthening Australia's Social
                                                                       and Economic Fabric
 NHMRC                                                                 Primary Healthcare Research, Evaluation & Development
                                                                       (PHCRED) (formerly Primary Healthcare Research, Evaluation
                                                                       & Development (PHCRED) Strategy - Research Fellowships)
 NHMRC                                                                 Program Grants
 NHMRC                                                                 Project Grants
 NHMRC                                                                 Research Fellowship Scheme
 NHMRC                                                                 Sir MacFarlane Burnett Fellowship
 NHMRC                                                                 Special Program Grants in Type 1 Diabetes
 NHMRC                                                                 Translation Research Into Practice (TRIP) Fellowships New
 NHMRC                                                                 Urgent Research – Pandemic Influenza – Includes the H1N1
                                                                       Call for Research
 Pfizer Pty Ltd                                                        Australia Research Fellowships
 Prostate Cancer Foundation of Australia                               PCFA Research Program
 Rural Industries Research and Development Corporation                 Research Funding R&D Program (also known as Research
                                                                       Priorities Program) – Includes the Australian weeds Research
                                                                       Centre

 Science & Industry Endowment Fund (SIEF)                              Research Grants New
 Sugar Research and Development Corporation                            Research Projects
 Sylvia and Charles Viertel Charitable Foundation                      Medical Program
 The University of Melbourne (previously under Dept of Health          Australian Centre for HIV and Hepatitis Virology Research
 & Aging)                                                              (ACH2)
 VicHealth                                                             Innovation Grants New
 Worker Compensation Dust Diseases Board of NSW                        Research Grants Scheme
 Schemes no longer on the ACGR
 Alcohol Education & Rehabilitation Foundation Ltd                     Research grants
 ANZ Trustees                                                          Judith Jane Mason & Harold Stannett Williams Memorial
                                                                       Foundation
 ANZ Trustees                                                          The JO & JR Wicking Trust
 ARC                                                                   Special Research Centres
 Arthritis Australia (Arthritis Foundation of Australia)               Research Program - Grants in Aid/Project Grants
 Australian & Pacific Science Foundation (The)                         Research Projects Grants
 Australian and New Zealand College of Anaesthetists (The)             ANZCA Research Grants
 Australian Antarctic Division                                         Australian Antarctic Science Grants
 Australian Cystic Fibrosis Research Trust (The) (ex Cystic            Annual Grants for Cystic Fibrosis Research
 Fibrosis Australia)
 Australian Egg Corporation Limited                                    Egg Industry Research and Development Program
 Australian Egg Corporation Limited                                    Egg Quality Program
 Australian Greenhouse Office - Greenhouse Action in                   Strategic R&D Investment Plan
 Regional Australia
 Australian Institute of Aboriginal and Torres Strait Islander         Research Grants
 Studies (AIATSIS)
 Australian Primary Health Care Research Institute                     Stream 13 - Drivers of Successful Primary Health Care
 Australian Primary Health Care Research Institute                     Stream 3

RPAG\Bac5bc17-a2d8-4863-9a2f-7784fa58a132.doc                    21 February 2011                                                   15/46
Research Income Toolkit                                                    University of Melbourne Internal Use Only
Last updated: 21/02/2011                                                        Item 5- 2010 ACGR List (2009 Data)

 Sponsor Name                                                     Sponsor Scheme
 Australian Primary Health Care Research Institute                Stream 4
 Australian Primary Health Care Research Institute                Stream 5
 Australian Primary Health Care Research Institute                Stream 6
 Australian Primary Health Care Research Institute                Stream 8
 Australian Wool Innovation                                       Research & Development Open Call


 Austtralian Dental Research Foundation                           Grants

 Brain Foundation                                                 Annual Research Awards
 Cancer Australia                                                 National Co-operative Oncology Groups - Rebadged as
                                                                  Support for Cancer Clinical Trials
 CSIRO                                                            Flagship Visiting Fellowships
 DAFF (Dept of Agriculture, Fisheries & Forestry)                 Australian Centre of Excellence for Risk Analysis
 Dairy Australia                                                  Manufacturing Research Grants
 Dept of Broadband, Communications & the Digital Economy          Telecommunication Research Grants
 (DBCDE)
 Dept of Defence (DoF)                                            Army History Research Grants Scheme
 Dept of Health & Aging (DHA)                                     Anti-Doping Research Program
 Dept of Health & Aging (DHA)                                     National Drug Law Enforcement Research Fund (NDLERF)
 Dept of Infrastucture, Transport, Regional Development &         Road Safety Research Grants Program
 Local Government
 Dept of Prime Minister & Cabinet                                 Research Support for Counter Terrorism (RSCT) Program

 Diabetes Vaccine Development Centre                              Programs
 Fisheries Research and Development Corporation
 Grains Research and Development Corporation
 Great Barrier Reef Marine Park Authority                         Science for Management Award
 Hermon Slade Foundation (The)                                    Research Project Grants
 Information and Communications Technology (ICT) Centre of        National ICT Australia Grants
 Excellence
 Inner Wheel Australia                                            Cord Blood Research Project
 Kidney Health Australia                                          Medical Research Program
 Land and Water Australia                                         Defeating the Weed Menace
 Land and Water Australia                                         Environmental Water Allocation Open Call
 Land and Water Australia                                         Innovation Call
 Land and Water Australia                                         National Program for Sustainable Irrigation
 Land and Water Australia                                         Native Vegetation & Biodiversity Research & Development
                                                                  Program - Open Call
 Land and Water Australia                                         Social & Institutional Research Program - Water Planning
                                                                  Processes: Lessons, Gaps and Adoption Call
 Literacy and Numeracy & Special Learning Needs Program –
 National Projects Element
 Multiple Sclerosis Reserach Australia                            Early Career Fellowship (previously MSRA Postdoctoral
                                                                  Fellowships)
 Multiple Sclerosis Reserach Australia                            MSRA Project Grants ( name, used to be called MSRA
                                                                  Investigator Project Grants)
 National Breast Cancer Foundation                                National Tranlational Research Program

 National Breast Cancer Foundation                                Pilot Study Grants
 National Breast Cancer Foundation                                Project Grant (Formely known as Kathleen Cunningham
                                                                  Research Grant)

RPAG\Bac5bc17-a2d8-4863-9a2f-7784fa58a132.doc               21 February 2011                                                 16/46
Research Income Toolkit                                                  University of Melbourne Internal Use Only
Last updated: 21/02/2011                                                      Item 5- 2010 ACGR List (2009 Data)

 Sponsor Name                                                    Sponsor Scheme
 National Centre for Vocational Education Research Ltd           Adult Literacy Research Program
 (NCVER)
 National Centre for Vocational Education Research Ltd           Longitudinal Surveys of Australian Youth (LSAY) Research
 (NCVER)                                                         Innovation & Expansion Fund Analysis Grants Program
 National Food Industry Strategy                                 Food Centres of Excellence
 National Heart Foundation of Australia                          Strategic Research Program - Cardiovascular Disease &
                                                                 Depression
 NHMRC                                                           Electromagnetic Energy Research
 NHMRC                                                           International Collaborative Research Grant
 NHMRC                                                           Oral Health
 NHMRC                                                           Palliative Care
 Ophthalmic Research Institute of Australia (ORIA) (The)         Research Grants
 Pfizer Pty Ltd                                                  Cancer Research Grants

 Pfizer Pty Ltd                                                  Cardiovascular & Lipid Research Grants

 Pfizer Pty Ltd                                                  Neuroscience Research Grants

 Pharmacy Guild of Australia (The)                               Investigator Initiated Grants
 Royal Australian & New Zealand College of Ophthalmologists      National Collaborative Projects
 (RANZCO) Eye Foundation (The)
 Sea World Research & Rescue Foundation Inc                      Research Projects
 Sylvia and Charles Viertel Charitable Foundation                Clinical Investigatorships
 Sylvia and Charles Viertel Charitable Foundation                Senior Medical Research Fellowships




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Research Income Toolkit                                               University of Melbourne Internal Use Only
                                                                            Item 6- Research Income Categories

Item 6 – Research Income Categories

As part of the annual HERDC Research Income collection, DIISR8request that universities allocate their
research income into the following categories:


                     Category .           Category Description
                     Category 1           Australian Competitive Grant (ACG) Income
                       Category 1.1         Commonwealth Schemes
                       Category 1.2         Non Commonwealth Schemes
                     Category 2           Other Public Sector Research Funding
                                          Please note: this category includes government
                                          business enterprise as well as partly government
                                          owned or funded bodies
                       Category 2.1         Local Government
                       Category 2.2         State Government
                       Category 2.3         Commonwealth Government
                     Category 3           Industry and Other Funding for Research
                       Category 3.1         Australian Contracts
                       Category 3.2         Australian Grants
                       Category 3.3         Australian Donations, Bequests and Foundations
                       Category 3.5a        International Funding A: Competitive, Peer-
                                            Reviewed Research Grant Income
                       Category 3.5b        International Funding B: Other Income
                     Category 4           Cooperative Research Centre Funding




8
    DIISR: Department of Innovation, Industry, Science and Research
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Research Income Toolkit                                         University of Melbourne Internal Use Only
                                                   Item 7 - The University of Melbourne Chart of Accounts

Item 7 - The University of Melbourne Chart of Accounts

As any organisation, the University of Melbourne has a chart of accounts.

The chart of accounts used by The University has eight segments:
1. Company
2. Budget Unit (Dept)
3. Section
4. Natural Account
5. Project
6. Group Code
7. Activity Code (ie purpose)
8. Location

Here is a description of each of those segments

Segments      Segment Description               Significance to HERDC Research                 Example:
:                                               Income
Company:      Two-digit number used for         Essential.                              01      UoM
              core University business,         As only interest from Trusts can be
              trust and subsidiary:             included in HERDC, it is used to
               01: UoM                         identify trust and non-trust
               12: Trust                       transactions.
               52: AIHI
Budget        Department code:                  Essential.                              904     Res Instit
Unit          Eg:                               Used to allocate income to                      Funding
(Dept):        600: Faculty of Science         departments.
               421:Civil &                     While not reported to DIISR, it is
                Environmental                   however also used by Fin Ops to
                Engineering                     allocate Block Grant Funding to
                                                faculties.
Section:      Discretionary two-digit           Important                               19      HFI
              code used by departments          Assist some departments when
              to capture information on         checking their collection.
              areas of responsibility.          For example, the School of
              The meaning of the codes          Population Health has asked for their
              changes from department           Research Income spreadsheet to be
              to departments.                   reported by sections.
              Eg:
               05 in dept 500: AHWI
               05 in dept 654:
                Reproduction&
                development
Natural       Four-digits code to               Essential.                              4033    NHMR
A/C:          classifies transactions:          Used to categorised non-ACGR                    Distribution
              Eg:                               income:
               4061 – Grants – Local            Eg:
                Governments                       4061 = C2.1 – Local government
               4111 – Donations –                4111 = C3.3 – Aust Donations
                Personal




RPAG\Bac5bc17-a2d8-4863-9a2f-7784fa58a132.doc        21 February 2011                                        19/46
Research Income Toolkit                                         University of Melbourne Internal Use Only
                                                   Item 7 - The University of Melbourne Chart of Accounts

Segments      Segment Description               Significance to HERDC Research                Example:
:                                               Income
Project       Five-digit code.                  Essential.                            16019    Set up by Fin
Code:         There are two types of            Used to link the Project Code (GL              Ops, in this
              Project code:                     project) to its Themis ID in Themis            case this is
               Non-operating Projects:         Research and then extract the name             linked to a
                when a specific projects        of the sponsor and the name of the             NHMRC
                as been created for an          schemes.                                       Fellowships,
                agreement that has                                                             Themis
                meet a specific set of                                                         Research ID
                criterions                                                                     12181
               Operating Projects: for
                other projects, generic
                codes are used, such as
                00000, 00010, 00020
Group         Discretionary three-digit         Not Used                              GEN      General
Code:         code used by department
              to capture information on
              department activities not
              elsewhere captured.
Activity      Two-digit code used to            Essential.                            12       Research
Code:         capture the purpose of            This code is used to extract the
              the transaction.                  research transactions and exclude
              Eg:                               the non-research transactions.
               11: Teaching
               12: Research
               84: Student Support
Location:     Two-digits code used to           Not used.                             01       Parkville
              determine which campus
              the transaction belongs to
              Eg:
               01: Parkville
               09: VCA
               14: Burnley

For more information, please refer to the following webpage:
http://www.unimelb.edu.au/finops/pdf/fpp/Finance-system-FINAL_Practice-Guide-to-the-Chart-of-
Accounts.pdf




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HERDC Research Income Toolkit                                 University of Melbourne Internal Use Only
Last updated: 21/02/2011                              : Item 8 – GL Project Code Determination Criteria

Item 8 – GL project Code Determination Criteria

IF ANY OF THE FOLLOWING CRITERIA ARE SATISFIED, A PROJECT CODE WILL BE CREATED:
1. Agreement has a Financial Acquittal Deliverable (i.e. Is External Financial Reporting Required); or

2. For grants only: grant scheme appear on the Australian Competitive Grants Register; or

3. For contracts only: the agreement for a Co-operative Research Centre (CRC) where the University of
   Melbourne is a 'core participant'.

IF THE ABOVE CRITERIA ARE NOT SATISFIED , A PROJECT CODE WILL BE CREATED IF ALL OF THE FOLLOWING ARE
SATISFIED .

1. The agreement greater than $20,000 in value; and

2. The agreement have a specified end date; and

3. The agreement have a specified budget


What is a Financial Acquittal Deliverable?
The financial acquittal itemise how funds were used in the course of the project. It is produced by Financial
Operations for the funding body.




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HERDC Research Income Toolkit                                 University of Melbourne Internal Use Only
                                                                            Item 9 – Operating Accounts

Item 9 – Operating Accounts

00095 – RESEARCH PROJECTS <20K
This operating account should be used for research project less than $20K.

00080 – INTERNAL RESEARCH GRANT SCHEME
This operating account should only be used for internal grant awarded by Melbourne Research.

It should be used with natural account 4952 - Research & Graduate Studies (RAGS) Transfer

00000, 00010, 00020: CONTRACT, CONSULTANCY AND D ONATION INCOME
Where external bodies do not impose specific requirements on the financial management of funds, it is up
to the University, its researchers and administration to manage funds the best way possible to deliver any
technical requirements to the external body.

Any surplus between what is being paid for and the "cost" of providing the service are retained by the
Department for use in other areas of operation. (Eg depending upon the operation of the area, the
individual researcher may be approved to use the surplus to fund conference attendance or general
research activities.




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Research Income Toolkit                                       University of Melbourne Internal Use Only
                                                                             Item 10 - Activity Code List

Item 10 – Activity Code List

An activity code reflects the primary purpose of the transaction, eg teaching, research, marketing, etc.
For example, scholarship income can be categorised as either
     11 – Teaching: for a undergraduate scholarship
     12 – Research: for a research scholarship
     86 – Student Support: for a scholarship providing financial assistance to student

New
Activity                                                                                             Code
Teaching                                                                                            11
Research                                                                                            12
Research Training                                                                                   13
Consulting & Community Engagement                                                                   15
Financial Services                                                                                  21
Infrastructure Overheads                                                                            23
Facilities Management                                                                               24
Office Support                                                                                      25
HR Administration and processing, Systems and Policy                                                26
Governance and Management, Planning, Performance and Outcome Measurement                            27
Marketing, Media and Fundraising Services                                                           28
IT Services                                                                                         31
Library Services                                                                                    51
Public Services                                                                                     61
Cultural                                                                                            62
Commercialisation                                                                                   71
Research Training Support                                                                           79
Teaching Support Services                                                                           81
Research Support Services                                                                           82
Student Administration                                                                              83
Scholarship Administration                                                                          84
Student Support                                                                                     86
Recruit and Admit International Students                                                            87
Recruit and Admit Local Students                                                                    88
Balance Sheet                                                                                       00

<Updated 100408>




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Research Income Toolkit                                    University of Melbourne Internal Use Only
Last updated: 21/02/2011 Item 11 – Mapping of Natural Account to HERDC Research Income Categories

Item 11 – Mapping of Natural Account to HERDC Research Income Categories
 Income       Income Category name         Natural         Natural Account Name
 Cat                                       Account

 C2
 C2.1         Local Government                  4051       Local Government Grants
                                                4061       Grants - Local Government (Closed in Dec 09)
 C2.2         State Government                  4041       Victorian Government Recurrent Funding
                                                4046       Victorian Government Grant - for the Arts
                                                4047       Victorian Government Grant Income – Other –
                                                           renamed in 2011
                                                4221       Victorian Government Contract – New in 2011
                                                4049       Non Victorian State Grants
                                                4218       Hospital Shared Services - Salary
                                                4219       Hospital Shared Services - Non-Salary
 C2.3         Commonwealth                      4025       ARC Grants
              Government (other)
                                                4026       Specific Project Funds
                                                4028       Commonwealth Grant Income Other – renamed in
                                                           2011
                                                4222       Commonwealth Contracts – New in 2011
                                                4031       ARC Distributions (Central Use)
                                                4032       NH & MRC Grants (Central Use)
                                                4033       NH & MRC Distributions (Central Use)
 C3
 C3.1         Australian Contracts              4159       Management Fees – could be removed from included
                                                           income in 2011
                                                4216       Consultancy
                                                4217       Medical Services
                                                4084       Domestic Postgraduate Fees
 C3.2         Australian Grants                 4019       Medical Student Loadings (formerly Teaching
                                                           Hospitals Grants)
                                                4024       Medical Bonded Scholarship Grants
                                                4063       Grants - Domestic Commercial
                                                4067       Grants - Domestic Other (NFP & Individuals)
 C3.3         Australian Donations,             4111       Donations - Personal
              Bequests and
              Foundations
                                                4112       Donations - Domestic Corporate
                                                4114       Donations - External Trustee/Non Profit Org'n
                                                4115       Sponsorships
                                                4116       Bequests from Estate - Cash
                                                4117       Bequests from Estate - Non Cash
                                                4118       Endowment - Cash
                                                4119       Endowment - Non Cash
                                                4131       Interest Receivable (Trust only)
                                                4132       Dividends Receivable (Trust Only)
                                                4134       External Income from Trustees
                                                4135       Option Premium Income (Trust Only)
                                                4138       Interest Distribution
                                                4139       Unitised Pool Distribution
 C3.5         International Funding             4062       Grants - Overseas Government (Pls use this nat A/C
                                                           for overseas government contracts & consultancies
                                                           until further notice)


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Research Income Toolkit                                    University of Melbourne Internal Use Only
Last updated: 21/02/2011 Item 11 – Mapping of Natural Account to HERDC Research Income Categories

 Income       Income Category name         Natural         Natural Account Name
 Cat                                       Account

                                                4064       Grants - Overseas Other (Pls use this nat A/C for other
                                                           overseas contracts & consultancies until further notice)
                                                4113       Donations - Overseas
                                                4086       Overseas Postgraduate Fees
 Excluded
 Income
                                                4012       Base Operating Grant Teaching
                                                4013       Institutional Grants Scheme (Research Block Grant -
                                                           IGS)
                                                4014       Research Training Scheme (Research Block Grant -
                                                           RTS)
                                                4015       Systemic Infrastructure Grant
                                                4016       Research Infrastructure Block Grants (Research Block
                                                           Grant - RIBG)
                                                4017       Australia Postgraduate Awards Scheme (Reseach
                                                           Block Grant - APA)
                                                4018       International Postgraduate Awards Scheme (Research
                                                           Block Grant - IPRS)
                                                4027       HECS
                                                4029       Commonwealth Child Care Fee Assistance
                                                4036       CSP (CGS Component) Undergraduate
                                                4037       CSP (CGS Component) Postgraduate
                                                4048       Victorian Government Child Care Subsidy
                                                4068       Contributions from Higher Education Providers
                                                4083       Domestic Undergraduate Fees
                                                4085       Overseas Undergraduate Fees
                                                4088       Student Fees - Other
                                                4089       Communicty Access Fee (CAP)
                                                4091       External Course Charges
                                                4092       Library Fees (Closed in Dec 09)
                                                4093       Fines
                                                4094       Excursions
                                                4095       Examination Fees
                                                4097       Membership Fees (Closed in 2009)
                                                4105       Course Fee Discounts
                                                4131       Interest Receivable (non-trust)
                                                4133       Gain (Loss) on Sale of Investments
                                                4137       Gain (Loss) on Revaluation of Investments
                                                4140       Investments Administrative Fee
                                                4151       Amenities & Services Fee Fund Allocation (ASF)
                                                4152       Parking Fees
                                                4155       Commission on Sales
                                                4156       Earned / Unearned Discounts
                                                4157       Seminar / Conference / Event Registration
                                                4158       Membership Income
                                                4171       Rental of Property
                                                4172       Rental & Use of Equipment/ Facilities
                                                4173       Sale of Publications
                                                4174       Retail / Commercial Sales
                                                4177       Internet Services
                                                4178       Royalties & Intellectual Property (Research)
                                                4179       Printing
 Excluded (Cont)                                4181       Photocopying
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Research Income Toolkit                                    University of Melbourne Internal Use Only
Last updated: 21/02/2011 Item 11 – Mapping of Natural Account to HERDC Research Income Categories

 Income       Income Category name         Natural         Natural Account Name
 Cat                                       Account

                                                4186       Subscriptions
                                                4187       Licence Fees (Research)
                                                4188       Patent / Copyright
                                                4189       Child Care Fees - Permanent Care
                                                4190       Child Care Fees - Casual Care
                                                4191       Sporting Activities
                                                4192       Sale of Minor Assets
                                                4193       Affiliate Grants from University (Closed)
                                                4211       Testing and Services - Domestic Business
                                                4212       Testing and Services - Domestic Non Business
                                                4213       Testing and Services - Overseas
                                                4231       Sale of Animals & Livestock
                                                4232       Sale of Harvest
                                                4233       Sale of Produce
                                                4241       Accommodation Provided
                                                4242       Catering & Meals Provided
                                                4261       Proceeds of Sale - Gain
                                                4262       Net Book Value retired - Gain
                                                4271       Proceeds of Sale - Loss
                                                4272       Net Book Value retired - Loss
                                                4273       Cost of Disposal - Loss
                                                4952       Research & Graduate Studies (RAGS) Transfer
                                                4953       Finance Committee Transfer
                                                4954       Trust Income Transfer
                                                4956       Administrative Transfer
                                                4957       General University Costs (GUC) Transfer
                                                4958       Contribution from/to Faculty/Department
                                                4959       Uni.Affiliates Trf.(B/n Affiliates-Internal Use only)
                                                4960       Inter Account Transfer
                                                4964       Dept Student Fees Transfer
                                                4965       Workcover Premiums




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Research Income Toolkit                                         University of Melbourne Internal Use Only
Last updated: 21/02/2011                                    Item 12 – External Transfers Natural Accounts

Item 12 – External Transfers Natural Accounts

NATURAL ACCOUNT 5731 – BURSARIES & GRANTS - STUDENTS
Natural account 5731 should be used for all student places such as AMS9. A common misunderstanding is
to use 5733 which is for Grants to Affiliated Institute.

Therefore, even if the payment of the student place is made to an affiliated institute listed under University
Statutes and Regulations (See Item M), natural account 5731 should be used
NATURAL ACCOUNT 5733 – GRANTS TO AFFILIATED INSTITUTES (NOT SHARED GRANTS )
Account 5733 is used for grant payments made to an organization listed under University Statutes and
Regulations, Chapter 9 - Affiliated Colleges and other Establishments and Institutions (Refer to Item M).

For HERDC purposes, this account is used for grants passed onto the Research Institute affiliated with the
University and is not a shared grant.

This primarily occurs where the grant is made by the University of Melbourne through the Melbourne
Research Office where the Chief Investigator is an honorary staff member of the University. Account 5733
is used for grant payments passed onto these Affiliated Institutes.

This Natural Account is deducted from income recorded for the HERDC unless a ‘special’ relationship exists
between The University and the organisation.
NATURAL ACCOUNT 5734 - SHARED GRANTS (TO HEP OR ORPO)
A grant is considered a shared grant where a component of the research income from an agency for a
particular program, project or grant is passed from the University of Melbourne to another Higher
Education Provider (HEP), the staff of a HEP, or other research performing organization (excluding affiliated
organizations as per the list included in Account 5733). Natural Account 5734 Shared Grant (to HEP or
ORPO) should be used when you are making a payment of a shared grant (and/or for payment share of
joint venture income).

The shared grantee is named as a party in the contract/agreement for the grant, or tender/application for
funding. Therefore, it is important to refer to the parties to the agreement when assessing the nature of
the grant.

A research performing organization is any other organization where the primary purpose is to conduct
research activity, excluding affiliated organizations as per the list included in Account 5733.

Grants with Affiliated Institutes are not shared grants as the university applies on their behalf for the grant,
or in other cases they are operated through the department. A shared grant would only apply if it is shared
with a Non-Affiliated Research Institute and it is a party to the agreement.

A shared grant will normally arise where the University is the first named Chief Investigator on the grant
and where there are also External Chief Investigators named on the grant. This information can be viewed
through participant details of an Agreement in UOM Research Self Service.

This natural account is deducted against income for the purpose of HERDC. It is only used to record
payment of a ‘Shared Grant’. Incorrect classification of expenditure will result in a reduction of
Commonwealth infrastructure grant funding for the Faculty and Department concerned.




2
    Advanced Medical Science
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Research Income Toolkit                                       University of Melbourne Internal Use Only
Last updated: 21/02/2011                                  Item 12 – External Transfers Natural Accounts

NATURAL ACCOUNT 5735 - CONTRIBUTIONS TO HIGHER EDUCATION P ROVIDER
A new natural account has been created to post The University of Melbourne contributions paid to other
Universities.

This account is for payments of cash contributions from the University (ie, Faculties/Departments) for
research grants administered by other Universities eg, ARC Research Network, ARC LIEF grants. These
payments would normally occur from the Department’s operating funds.

These Cash Contributions/Payments will be specifically stated in the agreement document, schedule of
payment details and/or application of agreement. This should not be confused with a shared grant
payment which is the payment of the share grant’s income.
NATURAL ACCOUNT 5732 – OTHER GRANTS
This Natural Account captures all other types of grant payments not specifically mentioned above and not
for budgeted expenditure.

For HERDC purposes this account applies to all other grants which are not shared grants and not grants to
affiliated institutes such as agreements between the State Government and the University with grant
monies passed on to Melbourne Health, Austin Health, Alfred Health, or Prince of Wales Hospital.

This Natural Account is now deducted from income recorded under the HERDC.

Please be aware all transactions recorded against accounts 5731, 5732, 5733, 5734 and 5735 will be
analysed to ensure they are being used correctly.

Payments for goods and services are not transfers and expenditure natural account starting with 55xx
must be used.




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Research Income Toolkit                                         University of Melbourne Internal Use Only
Last updated: 21/02/2011                                                      Item 13 – Affiliated Institutes

Item 13 – Affiliated Institutes

Source: University Statutes and Regulations, Chapter 9 - Affiliated Colleges and Other Establishments and
Institutions, Part 2 - Affiliated or Connected Educational Establishments

 ACIL Tasman Pty Ltd (See below Tasman Institute Ltd and Tasman Asia Pacific Pty Ltd)- Statute 9.46

 Anti-Cancer Council Of Victoria (The) - Statute 9.51

 Australia and New Zealand School of Government Limited (The) - Statute 9.52

 Australian Antarctic Division - Statute 9.49

 Australian Institute of Family Studies - Statute 9.41

 Bionic Ear Institute (The) - Statute 9.45

 Brain Research Institute (the) - Statute 9.53

 Bureau of Meteorology - Statute 9.48

 Centre for Eye Research Australia - Statute 9.57

 Centre For The Study of Sexually Transmissible Diseases - Statute 9.39

 Council of The Museum of Victoria - Statute 9.13

 CSIRO - Statute 9.35

 Howard Florey Institute of Experimental Physiology And Medicine (The) -Statute 9.14

 Institute of Postcolonial Studies Limited - Statute 9.50

 Leo Cussen Institute For Continuing Legal Education (The) - Statute 9.15

 Macfarlane Burnet Institute For Medical Research And Public Health Ltd (The) - Statute 9.32

 Melbourne Business School Limited - Statute 9.28

 Melbourne College of Divinity - Statute 9.38

 Mental Health Research Institute of Victoria Incorporated (The) - Statute 9.16

 Murdoch Children’s Research Institute - Statute 9.17

 National Ageing Research Institute Incorporated - Statute 9.40

 Peter MacCallum Cancer Institute - Statute 9.55

 Royal Botanic Gardens Board - Statute 9.44

 School of Forestry, Creswick Ltd (The) - Statute 9.24

 Skin And Cancer Foundation Incorporated - Statute 9.42

 St. Vincent's Institute of Medical Research - Statute 9.19

 Tasman Institute Limited and Tasman Asia Pacific Pty. Ltd - Statute 9.46

 Turning Point Alcohol And Drug Centre Incorporated - Statute 9.43

 Victorian College of Agriculture And Horticulture Ltd (The) - Statute 9.37

 Victorian College of Optometry (The) - Statute 9.21
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Research Income Toolkit                                           University of Melbourne Internal Use Only
Last updated: 21/02/2011                                                        Item 13 – Affiliated Institutes

 Victorian Institute of Forensic Pathology (The) - Statute 9.25

 Victorian Institute of Marine Sciences - Statute 9.23

 Walter and Eliza Hall Institute of Medical Research (The) - Statute 9.56

 Zoological Board of Victoria - Statute 9.30



Source: http://www.unimelb.edu.au/Statutes/Chapter 9 - Affiliated Colleges and other Establishments and Institutions

THE FOLLOWING INSTITUTES ARE NOT AFFILIATED WITH THE UNIVERSITY OF MELBOURNE :

 Alfred Health
    Affiliated with La Trobe University and Monash University
 Hearth Research Centre (The)
    Affiliated with La Trobe University and Swinburne University
 Western Australian Institute for Medical Research (The)
    Affiliated with The University of Western Australia




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Research Income Toolkit                                      University of Melbourne Internal Use Only
                                                   Item 14 – List of Higher Education Providers (HEPs)

Item 14- List of Higher Education Providers (HEPs)

Higher Education Providers (i.e. those HEPs identified as Table A or B in the Higher Education Support Act,
2003) are as follows.

Table A - Higher Education Providers
Central Queensland University
Charles Darwin University
Charles Sturt University
Curtin University of Technology
Deakin University
Edith Cowan University
Griffith University
James Cook University
La Trobe University
Macquarie University
Monash University
Murdoch University
Queensland University of Technology
Royal Melbourne Institute of Technology
Southern Cross University
Swinburne University of Technology
The Australian National University
The Flinders University of South Australia
The University of Adelaide
The University of Melbourne
The University of Queensland
The University of Sydney
The University of Western Australia
University of Ballarat
University of Canberra
University of Newcastle
University of New England
University of New South Wales
University of South Australia
University of Southern Queensland
University of Tasmania
University of Technology, Sydney
University of the Sunshine Coast
University of Western Sydney
University of Wollongong
Victoria University of Technology
Australian Catholic University
Australian Maritime College
Bachelor Institute of Indigenous Tertiary Education

Table B - Higher Education Providers
Bond University
The University of Notre Dame Australia
Melbourne College of Divinity

Source: Higher Education Support Act, 2003


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Research Income Toolkit                                         University of Melbourne Internal Use Only
Last updated: 21/02/2011                                       Item 15 – CRCs Where UoM is a Signatory

Item 15 –CRCs where UoM is a Signatory

The Cooperative Research Centres (CRCs) Involving The University Of Melbourne (The University of
Melbourne Contact)

1.        CRC for Aboriginal Health
          Professor Ian Anderson, Department of Public Health, Faculty of Medicine, Dentistry and Health
          Sciences.

2.        Australian Poultry CRC
          Associate Professor Glenn Browning, Faculty of Veterinary Science.

3.        Bushfire CRC Limited (Incorporated)
          Dr Alan York, Department of Forest and Ecosystem Science, Melbourne School of Land and
          Environment.

4.        eWater CRC (Incorporated)
          Associate Professor Andrew Western, Department of Civil and Environmental Engineering,
          Melbourne School of Engineering.

5.        CRC for Forestry (Incorporated)
          Dr Gerd Bossinger, Department of Forest and Ecosystem Science, Melbourne School of Land and
          Environment.

6.        Future Farm Industries CRC (Incorporated)
          Associate Professor Bill Malcolm, Department of Agriculture and Food Systems, Melbourne School
          of Land and Environment.

7.        CRC for Greenhouse Gas Technologies
          Professor Geoff Stevens, Department of Chemical and Biomolecular Engineering, Melbourne School
          of Engineering.

8.        The HEARing CRC (Incorporated)
          Associate Professor Robert Cowan, Department of Otolaryngology, Faculty of Medicine, Dentistry
          and Health Sciences.

9.        CRC for Irrigation Futures
          Associate Professor Hector Malano, Department of Civil and Environmental Engineering,
          Melbourne School of Engineering.

10.       CRC for Oral Health Science (Incorporated)
          Professor Eric Reynolds, School of Dental Science, Faculty of Medicine, Dentistry and Health
          Sciences.

11.       CRC for Polymers (Incorporated)
          Associate Professor Greg Qiao, Department of Chemical and Biomolecular Engineering, Melbourne
          School of Engineering.

12.       CRC for Spatial Information
          Professor Clive Fraser, Department of Geomatics, Melbourne School of Engineering.

Office of the Deputy Vice-Chancellor (Research) 9 October 2008


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Research Income Toolkit                                   University of Melbourne Internal Use Only
Last updated: 21/02/2011         Item 16 – Research Income Excluded from HERDC Collection

Item 16 –Research Income Excluded from HERDC Collection

The following types of research Income must be excluded from the collection.


CONFERENCE /WORKSHOPS (ATTENDING OR ORGANISING)
Use Natural Account 4157-Seminar/Conference/Event Registration when coding such income.
DATA COLLECTION
General purpose or routine data collection are excluded from the collection.
FEASIBILITY STUDIES
Feasibility studies are excluded from the collection unless they are into research and experimental
development projects.
HONOURS STUDENT SCHOLARSHIP
income received by honours students, or by HEPs on behalf of honours students, for the research
component of their honours degrees, including externally funded scholarships or stipends.
INCOME FROM OTHER UNIVERSITIES (UNLESS A SHARED GRANTS)
Income received from other universities cannot be included in the collection unless they are part of a
shared agreement.
    For example,
    1. if we are contracted out by Monash to perform some new testing and Monash will pay us from
       their own funds, the income cannot be included.
    2. If we receive contribution from Monash as part of a grant (eg LIEF, ARC Research Network), the
       income cannot be included.
    Unless it is a shared agreement, income from other universities must be coded 4068 – Contribution
    from Higher Education Provider
INTEREST INCOME
Interests accruing from grants and contracts are excluded; however interest from trust is eligible.
PUBLICATIONS I NCOME
Income received to produce a research publication is excluded.
REIMBURSEMENT OF EXPENSES
Reimbursement of expense is not income and should never be code under the 4000 natural account
series.
RENTAL / USE OF FACILITIES
Any income received by a HEP or its subsidiaries for the rental and use of its facilities and
accommodation, even if this is related to the conduct of research.
ROUTINE TESTING AND SERVICES
Provision of services to other than our own staff engaged in Research, standardisation and routine
testing are excluded from the collection.
The reason for their exclusion is that these activities do not meet the definition of research because they
are not creative work (already created) nor are they characterised by originality.
However, a new test created for a project meeting the definition of research can be included

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Research Income Toolkit                                     University of Melbourne Internal Use Only
Last updated: 21/02/2011           Item 16 – Research Income Excluded from HERDC Collection

For the purpose of the HERDC Collection, income received for routine testing and services should be
coded against the following natural accounts
      1. 4211 -Testing and Services – Domestic Business
      2. 4212 – Testing and Services – Domestic Non Business
      3. 4213 – Testing and Services – Overseas.
These natural accounts are excluded from the HERDC collection.
SCHEMES EXCLUDED FROM COLLECTION
The following schemes and programs cannot be included in the HERDC collection:
          APAC -Australian Partnership for Advanced Computing
          ARC LIEF
          ARC Research Network
          EIF (Education Investment Funds)
          HEEF (Higher Education Endowment Fund) – Now part of the EIF.
          HPCCP (High Performance Computing & Communications Program
          NCRIS (National Collaborative Research Infrastructure Strategy)
          NHMRC IIRIS (Independent Research Institutes Infrastructure Support Scheme)
          All RBGs (Research Block Grants)
THIRD PARTY INCOME AND “SPECIAL RELATIONSHIP ”
Third party income is income received by a university that is then distributed to other research
organisations to undertake the research (it is therefore not expenditure)

As at 2010 HERDC Collection (2009 data), all third party income must be deducted unless there is a “Special
Relationship” between the University and the other research institute, that is:
    1.    Employment appointment exists between researcher and UoM (min FTE: 0.3? Not finalised)
And
    2.    Grants is expended via UoM accounting system (ie no lump sum payment to research institute)

Payment of goods and services does not constitute third party income and does not need to be deducted
from the collection.
DIISR LIST OF EXCLUDED INCOME
The following is the complete list of excluded income extracted from the 2010 HERDC Specification

      7.3 Research income which cannot be included in the Research Income Return -Return 1
        1.   income received in 2010 in respect of the year 2011
          2.    any income above the amount of net receipted income
          3.    any research income received by the HEP from its subsidiaries
          4.    any research income received by the HEP from any other Australian HEP or its
                subsidiaries except in respect of shared research income (in accordance with section
                7.8 of Part A) or transfers (in accordance with section 7.9 of Part A)
          5.    any income received by a HEP or its subsidiaries for the rental and use of its facilities
                and accommodation, even if this is related to the conduct of research
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Last updated: 21/02/2011          Item 16 – Research Income Excluded from HERDC Collection

        6.      any third party income (except where the third party is a subsidiary of the HEP or
                where the HEP has made payments for goods and services in support of the conduct
                of research under the control of the HEP)
        7.      any scholarships or grants that are provided by the HEP for its own students
        8.      income received in respect of fees that have been charged by a HEP to a domestic
                HDR student who has exhausted his/her RTS funding entitlement and has continued
                his/her enrolment
        9.      income received in respect of Commonwealth contributions paid by the Australian
                Government directly to HEPs for Commonwealth supported places
        10.     income received by honours students, or by HEPs on behalf of honours students, for
                the research component of their honours degrees, including externally funded
                scholarships or stipends
        11.     any research income not related to a HEP but received by its affiliated organisation/s
        12.     in-kind contributions
        13.     capital grants
        14.     National Collaborative Research Infrastructure Strategy (NCRIS), Australian Research
                Council (ARC) Linkage-Infrastructure, Equipment and Facilities (LIEF), and
                Independent Research Institutes Infrastructure Support Scheme (IIRIS) grants
        15.     grants from the Higher Education Endowment Fund (HEEF) or the Education
                Investment Fund (EIF)
        16.     funds received through the ARC’s Research Networks scheme
        17.     funds from the Commonwealth Grants Scheme (CGS)
        18.     for the HERDC reference year, income received from a general or untied grant from an
                Australian government (whether Commonwealth, state, territory or local) that cannot be
                attributed as to be expended on the direct costs of conducting research, even if the
                income was provided for research purposes. HEPs must not include indirect costs of
                conducting research that are to be expended from the grant (see section 7.6)
        19.     income received from government grants that are for other purposes which have been
                specified by the funding source or sponsor (such as teaching), even if a proportion of
                income is to be expended on the conduct of research at the HEP’s discretion
        20.     income received by HEPs from the sale of assets, even if that income is to be
                expended on the conduct of research at the HEP’s discretion
        21.     funds provided specifically for the purpose of hosting, organising or travel to and
                attending a conference, workshop or meeting unless funds are specifically for enabling
                access to a program of research
        22.     funds provided specifically for the purpose of producing research publications (that is,
                for publishing research rather than conducting it)
        23.     consultancy fees for projects that do not meet the definition of research
        24.     interest income accruing to research grants and contract research grants
        25.     research income received by independent operations which do not meet the definition
                of a subsidiary as defined at section 1.3.13
        26.     income from the High Performance Computing and Communications Program, to or
                through the Australian Partnership for Advanced Computing
        27.     income provided for preparation for teaching
        28.     funds used for:
                28.1. scientific and technical information services
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Last updated: 21/02/2011          Item 16 – Research Income Excluded from HERDC Collection

                28.2. general purpose or routine data collection
                28.3. standardisation and routine testing
                28.4. feasibility studies (except into research and experimental development projects)
                28.5. specialised routine medical care
                28.6. commercial, legal and administrative aspects of patenting, copyright or licensing
                      activities
                28.7. routine computer programming, systems work or software maintenance
        29.     grants from the following DIISR programs:
                29.1. Research Training Scheme (RTS)
                29.2. Joint Research Engagement (JRE)
                29.3. Sustainable Research Excellence (SRE)
                29.4. Research Infrastructure Block Grants (RIBG)
                29.5. Commercialisation Training Scheme (CTS)
                29.6. Australian Postgraduate Awards (APA)
                29.7. International Postgraduate Research Scheme Awards (IPRS)




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Research Income Toolkit                                      University of Melbourne Internal Use Only
                                     Item 17 – Research Block Grant Funding & Cents per Dollar Earning

Item 17 –Research Block Grants Funding & Cents per Dollars Earning

 Grant       Year          RBG Allocations All Unis              RBG Allocations Melbourne      Estimated
                                                                                                    ¢/$

                                 $              Yearly %              $     Yearly %    % of
                                                  +/-                         +/-       Total
 APA            2003      $87,126,000                        $9,210,981                 10.6%      3.1
       APA      2004      $89,298,000            +2.5%       $9,650,949       +4.8%     10.8%      2.9
       APA      2005      $91,180,000            +2.1%       $10,163,803      +5.3%     11.1%      2.7
       APA      2006      $93,121,000            +2.1%       $10,560,034      +3.9%     11.3%      2.4
       APA      2007      $95,346,000            +2.4%       $10,930,806      +3.5%     11.5%      2.2
       APA      2008      $97,767,000            +2.5%       $11,154,359      +2.0%     11.4%      1.9
       APA      2009      $121,240,000          +24.0%       $13,477,462     +20.8%     11.1%      2.1
       APA      2010      $164,827,753          +36.0%       $18,155,179     +34.7%     11.0%      2.5
 CTS            2007       $5,300,000                         $603,126                  11.4%      0.1
       CTS      2008       $5,406,000            -93.8%       $607,553       +0.7%      11.2%      0.1
       CTS      2009       $5,520,000            -94.4%       $584,945       -3.7%      10.6%      0.1
       CTS      2010       $5,745,335            -95.3%       $621,763       +6.3%      10.8%      0.1
 IGS            2003      $277,564,000                       $29,811,614                10.7%     15.0
       IGS      2004      $284,614,000           +2.5%       $31,395,168     +5.3%      11.0%     14.0
       IGS      2005      $290,591,000           +2.1%       $32,771,643     +4.4%      11.3%     12.7
       IGS      2006      $296,113,000           +1.9%       $33,985,085     +3.7%      11.5%     11.5
       IGS      2007      $302,035,000           +2.0%       $35,583,288     +4.7%      11.8%     10.6
       IGS      2008      $308,076,000           +2.0%       $36,915,207     +3.7%      12.0%      9.2
       IGS      2009      $314,545,000           +2.1%       $36,364,394     -1.5%      11.6%      8.0
 JRE            2010      $321,150,000           +2.1%       $37,170,658     +2.2%      11.6%     12.4
 IPRS           2003      $17,302,000                        $1,510,000                 8.7%       0.6
     IPRS       2004      $17,742,000            +2.5%       $1,740,693      +15.3%     9.8%       0.6
     IPRS       2005      $18,037,006            +1.7%       $1,937,574      +11.3%     10.7%      0.5
     IPRS       2009      $19,607,516                        $2,296,065                 11.7%      0.3
     IPRS       2010      $20,019,000            +2.1%       $2,312,649      +0.7%      11.6%      0.3
 RIBG           2003      $136,732,000                       $17,591,788                12.9%     27.7
     RIBG       2004      $160,311,000          +17.2%       $21,901,068     +24.5%     13.7%     31.0
     RIBG       2005      $182,982,000          +14.1%       $25,038,357     +14.3%     13.7%     30.9
     RIBG       2006      $199,908,000           +9.3%       $26,050,735      +4.0%     13.0%     28.9
     RIBG       2007      $203,907,000           +2.0%       $25,779,668      -1.0%     12.6%     25.8
     RIBG       2008      $207,985,000           +2.0%       $27,095,313      +5.1%     13.0%     23.1
     RIBG       2009      $212,352,000           +2.1%       $29,070,545      +7.3%     13.7%     21.1
     RIBG       2010      $216,811,000           +2.1%       $30,331,384      +4.3%     14.0%     19.7
 SRE            2010      $85,000,000                        $10,621,955                12.5%      6.9




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Research Income Toolkit                                      University of Melbourne Internal Use Only
                                     Item 17 – Research Block Grant Funding & Cents per Dollar Earning

 Grant       Year          RBG Allocations All Unis              RBG Allocations Melbourne      Estimated
                                                                                                    ¢/$

                                 $              Yearly %              $     Yearly %    % of
                                                  +/-                         +/-       Total
 RTS            2003      $527,399,000                       $52,388,328                9.9%      19.0
       RTS      2004      $540,797,000           +2.5%       $53,772,689     +2.6%      9.9%      17.8
       RTS      2005      $552,153,000           +2.1%       $56,851,292     +5.7%      10.3%     16.1
       RTS      2006      $562,644,000           +1.9%       $59,906,570     +5.4%      10.6%     14.6
       RTS      2007      $573,897,000           +2.0%       $63,502,430     +6.0%      11.1%     13.4
       RTS      2008      $585,375,000           +2.0%       $66,370,836     +4.5%      11.3%     11.6
       RTS      2009      $597,668,000           +2.1%       $68,155,890     +2.7%      11.4%     10.2
       RTS      2010      $610,218,271           +2.1%       $69,701,704     +2.3%      11.4%      9.2
 Total          2003     $1,046,123,000                      $110,512,711               10.6%
 RBG
 Total          2004     $1,092,762,000          +4.5%       $118,460,567    +7.2%      10.8%
 RBG
 Total          2005     $1,134,943,006          +3.9%       $126,762,669    +7.0%      11.2%
 RBG
 Total          2006     $1,151,786,000          +1.5%       $130,502,424    +3.0%      11.3%
 RBG
 Total          2007     $1,180,485,000          +2.5%       $136,399,318    +4.5%      11.6%
 RBG
 Total          2008     $1,204,609,000          +2.0%       $142,143,268    +4.2%      11.8%
 RBG
 Total          2009     $1,270,932,516          +5.5%       $149,949,301    +5.5%      11.8%
 RBG
 Total          2010     $1,423,771,359         +12.0%       $168,915,292    +12.6%     11.9%
 RBG




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Research Income Toolkit                                           University of Melbourne Internal Use Only
                                                                                                   Glossary

Glossary
 Name/            Meaning & Item Ref is         Description
 Abbreviation     available.
 ACG              Australian Competitive         ACG are competitive research grants offered to Higher
                  Grant                            Education Providers.
                  See Item 1 – Definitions of    Only DIISR decides whether a scheme is a ACG or not
                  Research                       Only a sponsor can apply to DIISR.
 ACGR             Australian Competitive         The ACGR is a list of ACG schemes compiled by DIISR.
                  Grant Register                 Only sponsor can apply to DIISR to have their scheme listed
                                                   on the ACGR.
                  See Item 5 – 2011 ACGR List    The income Higher Education Providers receive from
                  (2010 & 2011 data)               schemes listed on the ACGR drives the allocation of over
                                                   $200 million of Research Infrastructure Block Grants
                                                   (RIBG) each year.
                                                 As at 2010, it will also drive the Sustainable Research
                                                   Excellence program (SRE).
 Activity         See Item 10 – Activity Code   One of the eight segments of the chart of accounts used by The
 Code             List                          University of Melbourne.

                                                It is a two-digit number identifying the purpose of the
                                                transaction.
                                                It is extremely important to select the correct activity code as
                                                only activity code 12, 13, 79 and 82 are included in the
                                                HERDC Research Income collection.
 ADI              Applications Desktop          This is the form to fill to request journal entries to research
                  Integrator                    income transactions (eg change of natural accounts, etc).
                                                Once filled it must be sent to Orazio Francavilla with cc to
                  Form to be filled to          Nathalie Bourgois
                  request journal entries.
 APA              Australia Postgraduate        One of the seven block grants.
                  Award                         Objectives of the APA program are to:
                  See Item 3 – 2010 Research     support postgraduate research training in the higher
                  Block Grants                      education sector; and
                                                 provide financial support to domestic postgraduate students
                                                    of exceptional research promise who undertake their higher
                                                    degree by research at an eligible Australian higher education
                                                    provider.
 APAC             Australia Partnership for                            Excluded Income!
                  Advanced Computing            Includes the High Performance Computing & Communications
                  Item 16 –Research Income      Program.
                  Excluded from HERDC
                  Collection




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Research Income Toolkit                                              University of Melbourne Internal Use Only
                                                                                                      Glossary

 Name/            Meaning & Item Ref is            Description
 Abbreviation     available.
 Block            Research Block Grants            Programs managed by government (presently DIISR
 Grants                                            Department) to support research and research training in
                  See Item 3 – 2010 Research       Australia.
                  Block Grants                     Allocation to each university based on:
                                                    HERDC collections (income and publications)
                                                    Higher Education Student Collection (HD student load and
                                                      completions)
                                                   As at 2009, there were seven Block Grants:
                                                   1. APA: Australian Post Graduate Award
                                                   2. CTS: Commercialisation Training Scheme
                                                   3. IGS: Institutional Grant Scheme
                                                   4. IPR: International Postgraduate Research Scholarship - New
                                                      in 2009-09-22
                                                   5. RIBG: Research Infrastructure Block Grants Scheme
                                                   6. RTS: Research Training Scheme

                                                   The RPS (Regional Protection Scheme) was terminated in 2008
 Budget           See Item 7 - The University of   One of the eight segments of the chart of accounts used by The
 Units            Melbourne Chart of Account       University of Melbourne.

                                                   It is a three-digit number identifying the department
 C1, C2, C3,      See Item 6 – Research Income     Research Income Categories, as reported to DIISR during
 C4               Categories, Item 11 –            HERDC Research Income collection exercise.
                  Mapping of Natural Account
                  to HERDC Research
                  Income Categories

 Chart of         See Item 7 - The University of   A chart of accounts is a list of account names and numbers used
 Accounts         Melbourne Chart of Account       in an organisation company's general ledger.
                                                   The chart of accounts used by The University has eight
                                                   segments:
                                                    9. Company
                                                    10. Budget Unit (Dept)
                                                    11. Section
                                                    12. Natural Account
                                                    13. Project
                                                    14. Group Code
                                                    15. Activity Code (ie purpose)
                                                    16. Location
 Company          See Item 7 - The University of   One of the eight segments of the chart of accounts used by The
 Code             Melbourne Chart of Account       University of Melbourne.

                                                   It is a two-digit number identifying the core business unit, eg:
                                                    University business
                                                    Trust
                                                    Semi-autonomous bodies
                                                    Subsidiaries
 CRC              Cooperative Research             The CRC Program links researchers with industry and
                  Centre                           government with a focus towards research application. The
                  See Item 15 –CRCs where          close interaction between researchers and the end users is the
                  UoM is a Signatory               defining characteristic of the Program. Moreover, it allows end
                                                   users to help plan the direction of the research as well as to
                                                   monitor its progress.


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Research Income Toolkit                                              University of Melbourne Internal Use Only
                                                                                                      Glossary

 Name/            Meaning & Item Ref is            Description
 Abbreviation     available.
 CTS              The Commercialisation            One of the seven block grants.
                  Training Scheme                  Objectives of the CTS program is to provide high quality
                                                   research commercialisation training for the next generation of
                  See Item 3 – 2010 Research       Australian researchers as a means of equipping them with the
                  Block Grants                     skills, knowledge and experience necessary to bring research-
                                                   based ideas, inventions and innovations to market.
 DEEWR            Department of                    Commonwealth departments allocating block grants to
                  Education, Employment            universities.
                  and Workplace
                  Relations
 DIISR            Department of                    Commonwealth department collecting the HERDC Research
                  Innovation, Industry,            Income and Research Publications data.
                  Science and Research
 EIF              Education Investment                                    Excluded Income!
                  Fund
                  Item 16 –Research Income
                  Excluded from HERDC
                  Collection

 ERA              Excellence in Research           ERA is the new research quality and evaluation system that
                  for Australia                    replaced the Research Quality Framework in 2008.

                                                   ERA assesses research quality within Australia's higher
                                                   education institutions using a combination of indicators and
                                                   expert review by committees comprising experienced,
                                                   internationally-recognised experts

                                                   ERA will detail by institution and by discipline those areas that
                                                   are internationally competitive, together with emerging areas
                                                   where there are opportunities for development and further
                                                   investment
 GL Code          Project Code                     See Project Code
 GL Project       Project Code                     See Project Code
 Group Code       See Item 7 - The University of   One of the eight segments of the chart of accounts used by The
                  Melbourne Chart of Account       University of Melbourne.

                                                   It is a three-digit number used at the discretion of department to
                                                   capture information not captured by other segments.
 HEEF             Higher Education                                         Excluded Income!
                  Endowment Fund                   Now integrated with the EIF scheme
                  Item 16 –Research Income
                  Excluded from HERDC
                  Collection

 HEP              Higher Education                 There are three types of HEP:
                  Providers                        1. Universities;
                  See Item 14- List of Higher      2. Self-accrediting provider (eg Melbourne College of
                  Education Providers (HEPs)          Divinity);
                                                   3. Non self-accrediting provider (eg William Angliss Institute
                                                      of TAFE)
 HERDC            Higher Education                 Collection of research income and research publications data.
                  Research Data                    Used by the government to calculate Block Grants.
                  Collection



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Research Income Toolkit                                              University of Melbourne Internal Use Only
                                                                                                      Glossary

 Name/            Meaning & Item Ref is            Description
 Abbreviation     available.
 HESA             Higher Education                 Legislative instrument regulating block grants.
                  Support Act (2003)
                  See Item 3 – 2010 Research
                  Block Grants
 IGS              Institutional Grant              Ex block grants, replaced in 2010 by the JRE
                  Scheme
                  See Item 3 – 2010 Research       Objectives of the IGS were to assist HEPs supporting research
                  Block Grants                     and research training activities. HEPs had discretion in the way
                                                   they spend their IGS grant.
 IIRIS            Independent Research                                    Excluded Income!
                  Institutes Infrastructure        NHMRC scheme.
                  Support Scheme
                  Item 16 –Research Income
                  Excluded from HERDC
                  Collection

 IPR              International                    One of the seven block grants, introduced in 2009.
                  Postgraduate Research            Objectives of the IPRS program are to:
                  Scholarship                       attract top quality international postgraduate students to areas
                  See Item 3 – 2010 Research           of research strength in Australian higher education providers;
                  Block Grants                         and
                                                    support Australia's research effort
 JRE              Joint Research                   One of the seven block grants, replaced the IGS in 2010
                  Engagement                       Unlike the IGS, the JRE excludes ACGR income from its
                  See Item 3 – 2010 Research       calculations.
                  Block Grants
                                                   Objectives of the JRE are to:
                                                    support the general fabric of the research and research
                                                      training activities of HEPs
                                                    allow HEPs to manage their own research activities and set
                                                      their own priorities
                                                    assist HEPs to respond flexibly to their research environment
                                                      in accordance with their own strategies
                                                    enhance support for areas of research strength.
 Location         See Item 7 - The University of   One of the eight segments of the chart of accounts used by The
 Code             Melbourne Chart of Account       University of Melbourne.

                                                   It is a two-digit number identifying the campus the transactions
                                                   belongs to, eg Parkville, hospitals, etc.
 MCCP             Melbourne Consulting             Formerly called the School of Enterprise, the Melbourne
                  & Custom Programs                Consulting & Custom Programs is a multidisciplinary provider
                                                   of consultancy and professional education services for and in
                                                   partnership with government and corporate clients
 Natural          See Item 7 - The University of   One of the eight segments of the chart of accounts used by The
 Account          Melbourne Chart of Account,      University of Melbourne.
                  Item 11 – Mapping of Natural
                  Account to HERDC
                                                   It is a four-digit number collecting information on:
                  Research Income                   Assets (codes 1000-1999)
                  Categories                        Liabilities (codes 2000-2999)
                                                    Ownership/Equity (codes 3000-3999)
                                                    Revenue/Income (codes 4000-4999)
                                                    Expenditure/Expenses (codes 5000-5999)
                                                    Recoveries and transfers/internal trading (coes 700-7999)


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Research Income Toolkit                                              University of Melbourne Internal Use Only
                                                                                                      Glossary

 Name/            Meaning & Item Ref is            Description
 Abbreviation     available.
 NCRIS            National Collaboration                                   Excluded Income!
                  Research Infrastructure
                  Strategy
                  Item 16 –Research Income
                  Excluded from HERDC
                  Collection

 OECD             Organisation for                 The OECD has produced definitions of research and research
                  Economic Co-operation            terms used by the Australian Commonwealth.
                  and Development
                  See Item 1 – Definitions of
                  Research
 ORPO             Other Research                 Used in the context of shared grants.
                  Performing Organisation
 Project          See Item 7 - The University of One of the eight segments of the chart of accounts used by The
 Code             Melbourne Chart of Account,    University of Melbourne.
                  Item 8 – GL project Code
                  Determination Criteria,          It is a five-digit number identifying the grant, contract, trust
                  Item 9 – Operating Accounts
 RBG              Research Block Grants            See Block Grants

                  See Item 3 – 2010 Research
                  Block Grants
 RHD              Research High Degrees            Research High Degrees are Research Masters and PhDs
 RIBG             Research Infrastructure          One of the seven block grants.
                  Block Grants                     Objectives of the RIBG program are to:
                  See Item 3 – 2010 Research        enhance the development and maintenance of research
                  Block Grants                        infrastructure in HEPs for the support of high quality
                                                      research in all disciplines
                                                    meet project-related infrastructure costs associated with
                                                      Australian Competitive Grants
                                                    remedy deficiencies in current research infrastructure
                                                    ensure that areas of recognised research potential, in which
                                                      HEPs have taken steps to initiate high quality research
                                                      activity, have access to the support necessary for
                                                      development.
 RTS              Research Training                One of the seven block grants.
                  Scheme                           Objectives of the RTS program are to:
                  See Item 3 – 2010 Research        enhance the quality of research training provision in
                  Block Grants                        Australia
                                                    improve the responsiveness of HEPs to the needs of their
                                                      research students
                                                    encourage HEPs to develop their own research training
                                                      profiles
                                                    ensure the relevance of research degree programs to labour
                                                      market requirements
                                                    improve the efficiency and effectiveness of research training.
 Section          See Item 7 - The University of   One of the eight segments of the chart of accounts used by The
 Codes            Melbourne Chart of Account       University of Melbourne.

                                                   It is a two-digit number identifying the section within a
                                                   department




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Research Income Toolkit                                           University of Melbourne Internal Use Only
                                                                                                   Glossary

 Name/            Meaning & Item Ref is         Description
 Abbreviation     available.
 SRE              Sustainable Research          One of the seven block grants.
                  Excellence                    Objectives of the SRE program are to:
                                                 help address an identified shortfall in the funding available to
                  See Item 3 – 2010 Research       meet the indirect costs associated with ACG research;
                  Block Grants
                                                 support universities to build and maintain research
                                                   excellence through the implementation of best practice
                                                   financial management, performance and reporting
                                                   frameworks.
 TC               Transparent Costing           Methodology used to calculate SRE.




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Research Income Toolkit
                                                                                                       Index


Index

“Special Relationship” _____________________________________________________________________________ 34

ACGR __________________________________________________________________________________________ 11
ACGR List ____________________________________________________________________________________ 12, 39
Activity Code _________________________________________________________________________________ 23, 39
Affiliated Institutes _______________________________________________________________________________ 29
APAC___________________________________________________________________________________________ 34
Applied Research __________________________________________________________________________________ 3
ARC LIEF ________________________________________________________________________________________ 34
ARC Research Network ____________________________________________________________________________ 34
Australian Competitive Grant Register ________________________________________________________________ 11
Australian Postgraduate Awards (APA) ________________________________________________________________ 7

Bursaries & Grants - Students _______________________________________________________________________ 27

Cents per Dollars Earning __________________________________________________________________________ 37
Chart of Accounts ________________________________________________________________________________ 19
Conference/workshops ____________________________________________________________________________ 33
Contributions to Higher Education Provider ____________________________________________________________ 28
CRCs ________________________________________________________________________________________ 32, 40
CTS _____________________________________________________________________________________________ 7

Data Collection __________________________________________________________________________________ 33
Definitions of Research _____________________________________________________________________________ 3

EIF (Education Investment Funds) ___________________________________________________________________ 34
Experimental Development _________________________________________________________________________ 4
External Transfers ________________________________________________________________________________ 27

feasibility studies _________________________________________________________________________________ 33

GL project Code _______________________________________________________________________________ 21, 43
Grants to Affiliated Institutes _______________________________________________________________________ 27

HEEF (Higher Education Endowment Fund) ____________________________________________________________ 34
Higher Education Providers ______________________________________________________________________ 31, 41
honours student scholarship________________________________________________________________________ 33
HPCCP (High Performance Computing & Communications Program) ________________________________________ 34

Income from other universities _____________________________________________________________________ 33
Interest Income __________________________________________________________________________________ 33
International Postgraduate Research Scholarships (IPRS) __________________________________________________ 8

Joint research engagement (JRE) _____________________________________________________________________ 8

Natural Account ____________________________________________________________________________ 24, 40, 43
Natural account 5731 – Bursaries & Grants - Students ___________________________________________________ 27
Natural Account 5732 – Other Grants ________________________________________________________________ 28
Natural Account 5733 – Grants to Affiliated Institutes ___________________________________________________ 27
Natural Account 5734 - Shared Grants ________________________________________________________________ 27
Natural Account 5735 - Contributions to Higher Education Provider ________________________________________ 28
NCRIS (National Collaborative Research Infrastructure Strategy) ___________________________________________ 34
NHMRC IIRIS (Independent Research Institutes Infrastructure Support Scheme) ______________________________ 34


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Research Income Toolkit
                                                                                                        Index


Operating Accounts _______________________________________________________________________________ 22

publications Income ______________________________________________________________________________ 33
Pure Basic Research________________________________________________________________________________ 4

RBG (Research Block Grants) _______________________________________________________________________ 34
Reimbursement of expenses________________________________________________________________________ 33
Rental/use of facilties _____________________________________________________________________________ 33
Research Block Grants ______________________________________________________________________________ 6
Research Block Grants Funding______________________________________________________________________ 37
Research Income Categories ________________________________________________________________________ 18
Research Income Category 2 _______________________________________________________________________ 18
Research Income Category 3 _______________________________________________________________________ 18
Research Income Category 4 _______________________________________________________________________ 18
Research Income Excluded from Collection ________________________________________________ 33, 39, 41, 42, 43
Research Infrastructure Block Grants Scheme (RIBG) _____________________________________________________ 9
Research institutes not affiliated with The University of Melbourne ________________________________________ 30
Reserach Income Category 1 _______________________________________________________________________ 18
Routine testing and Services ________________________________________________________________________ 33
RTS _____________________________________________________________________________________________ 9

Schemes Excluded from Collection ___________________________________________________________________ 34
Shared Grant _____________________________________________________________________________________ 5
Shared Grants ___________________________________________________________________________________ 27
Strategic (Oriented) Basic Research ___________________________________________________________________ 4
Sustainable Research Excellence (SRE) _________________________________________________________________ 9

Third Party Income _______________________________________________________________________________ 34




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