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Other Grants Guidelines (Research) 2017

Authoritative Version
  • - F2019C00918
  • In force - Superseded Version
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Guides & Guidelines as amended, taking into account amendments up to Other Grants Guidelines (Research) Amendment (No. 1) 2019
This instrument revokes the Other Grants Guidelines (Research) 2012 and makes guidelines pursuant to section 238-10 of the Higher Education Support Act 2003.
Administered by: Education, Skills and Employment
Registered 19 Dec 2019
Start Date 06 Dec 2019
End Date 22 Jul 2020
Table of contents.

Other Grants Guidelines (Research) 2017

made under section 238-10 of the

Higher Education Support Act 2003

Compilation No. 1

Compilation date:                              6 December 2019

Includes amendments up to:            F2019L01575

Registered:                                         19 December 2019

 

About this compilation

This compilation

This is a compilation of the Other Grants Guidelines (Research) 2017 that shows the text of the law as amended and in force on 6 December 2019 (the compilation date).

The notes at the end of this compilation (the endnotes) include information about amending laws and the amendment history of provisions of the compiled law.

Uncommenced amendments

The effect of uncommenced amendments is not shown in the text of the compiled law. Any uncommenced amendments affecting the law are accessible on the Legislation Register (www.legislation.gov.au). The details of amendments made up to, but not commenced at, the compilation date are underlined in the endnotes. For more information on any uncommenced amendments, see the series page on the Legislation Register for the compiled law.

Application, saving and transitional provisions for provisions and amendments

If the operation of a provision or amendment of the compiled law is affected by an application, saving or transitional provision that is not included in this compilation, details are included in the endnotes.

Editorial changes

For more information about any editorial changes made in this compilation, see the endnotes.

Modifications

If the compiled law is modified by another law, the compiled law operates as modified but the modification does not amend the text of the law. Accordingly, this compilation does not show the text of the compiled law as modified. For more information on any modifications, see the series page on the Legislation Register for the compiled law.

Self‑repealing provisions

If a provision of the compiled law has been repealed in accordance with a provision of the law, details are included in the endnotes.

  

  

  


TABLE OF CONTENTS

CHAPTER i    INTRODUCTION.. 2

i.i     PURPOSE.. 2

i.v         INTERPRETATION.. 2

CHAPTER 1   GRANTS TO SUPPORT RESEARCH BY, AND THE RESEARCH CAPABILITY OF, HIGHER EDUCATION PROVIDERS. 4

1.1        Purpose. 4

RESEARCH SUPPORT PROGRAM... 4

1.2        Description. 4

1.3        Objectives. 4

1.4        Grant Amounts. 4

1.4.1        Determination of Grants and Indexation. 4

1.4.5        How Grant Amounts are Determined. 5

1.4.10      Basic Grant Amounts. 5

1.4.15      Transitional Safety Net 5

1.4.20          Grant Amounts for 2021 and future Grant Years. 6

1.4.25      Rounding Process. 6

1.4.26      Adjustments. 7

1.4.30      Rollover of Grant Amounts. 7

1.5        Conditions that Apply to RSP Grants. 7

CHAPTER 2   GRANTS FOR ACTIVITIES THAT FOSTER AN UNDERSTANDING OF THE IMPORTANCE OF, OR PROMOTE RESEARCH AND SCHOLARSHIP IN, SCIENCE, SOCIAL SCIENCE OR THE HUMANITIES IN AUSTRALIA.. 8

2.1        Purpose. 8

HIGHER EDUCATION RESEARCH PROMOTION.. 8

2.5        Organisations Eligible to Receive Grants. 8

2.10          HERP Description. 8

2.15          HERP Objectives. 9

2.20          Conditions that Apply to HERP Grants. 9

2.25          HERP Grant Amounts. 9

Endnotes. 10

Endnote 1—About the endnotes....................................................................... 10

Endnote 2—Abbreviation key........................................................................... 11

Endnote 3—Legislation history. 12

Endnote 4—Amendment history. 13


Part 1              Preliminary

 

1           Name of Guidelines

These Guidelines may be cited as the Other Grants Guidelines (Research) 2017.

 

3           Authority

These Guidelines are made under section 238-10 of the Act for the purposes of items 7 and 11(b) of the table in subsection 41-10(1).

 

5           Transitional Arrangements

The revocation of the Other Grants Guidelines (Research) 2012 dated 24 September 2012 does not affect the validity of a payment or decision made under those guidelines.

 

A decision made under those guidelines is taken to continue to have effect as if it were made under these Guidelines.

 


 

Part 2              Other Grants Guidelines (Research) 2017

 

COMMONWEALTH OF AUSTRALIA

 

Higher Education Support Act 2003

 

CHAPTER i         INTRODUCTION

i.i       PURPOSE

The purpose of these Guidelines is to provide for Other Grants under Part 2-3 of the Higher Education Support Act 2003.

i.v      INTERPRETATION

i.v.i        Unless the contrary intention appears, the terms used within the Other Grants Guidelines (Research) 2017 have the same meaning as in the Act.

i.v.ii       The following terms are defined specifically for these Guidelines:

the Act                                                 means the Higher Education Support Act 2003

AAH                                        Australian Academy of the Humanities

AAS                                         Australian Academy of Science

ASSA                                       Academy of Social Sciences in Australia Incorporated

ATSE                                       Australian Academy of Technological Sciences and Engineering

ACoLA                                    Australian Council of Learned Academies

ANZAAS                                  Australian and New Zealand Association for the Advancement of Science

Category 1                              is Australian competitive grants R&D income in HERDC

Category 2                              is other public sector R&D income in HERDC

Category 3                              is industry and other R&D income in HERDC

Category 4                              is Cooperative Research Centre R&D income in HERDC

the department                        means the Commonwealth Department of Education

R&D or research                     means Research and Experimental Development as defined in the Frascati Manual 2015 maintained by the Organisation for Economic Cooperation and Development

Funding Pool                          is the total amount of funding available to the department for a given Grant Year for the RSP

Funding Pool A                       is the Funding Pool amount minus Funding Pool B         

Funding Pool B                       is $50,000,000 for the 2017 Grant Year, indexed in later years in accordance with paragraph 1.4.1

Grant Year                              means the year in respect of which the grant is made, and of which the department has notified the relevant HEP

Guidelines                               means these Other Grant Guidelines (Research) 2017

HEP                                        means a higher education provider as specified in section 16-15 of the Act (Table A Providers) or section 16-20 of the Act (Table B Providers)

HERDC                                  means the Higher Education Research Data Collection maintained by the department

HERP                                      Higher Education Research Promotion

the Minister                             means the Commonwealth Minister for Education and Training

research                                  means Research and Experimental Development as defined in the Frascati Manual 2015 maintained by the Organisation for Economic Cooperation and Development

RSP                                         means the Research Support Program

i.v.iii      Unless stated otherwise, references to paragraphs refer to paragraphs in these Guidelines.


 

CHAPTER 1        GRANTS TO SUPPORT RESEARCH BY, AND THE RESEARCH CAPABILITY OF, HIGHER EDUCATION PROVIDERS

1.1               Purpose

The purpose of this chapter is to specify:

 

(1)          in accordance with subsection 41-15(1) of the Act for the purpose described at item 7 of the table in subsection 41-10(1) of the Act, the RSP; and

 

(2)          under subsection 41-15(2) of the Act, some other matters relevant to the RSP.

 

RESEARCH SUPPORT PROGRAM

1.2               Description

The RSP provides block grants, on a calendar year basis, to HEPs to support the systemic costs of research.

1.3               Objectives

The objectives of the RSP are to:

 

(1)          provide a flexible funding stream to support the systemic costs of research   by Australian HEPs, including the indirect costs of Australian competitive grant research;

 

(2)          support the delivery of world class research; and

 

(3)          support collaboration between HEPs and industry and other research end-users.

1.4               Grant Amounts

1.4.1            Determination of Grants and Indexation

In accordance with subsection 41-30(a) of the Act, the RSP Grant Amounts will be determined in accordance with the method set out in paragraph 1.4.5 of these Guidelines.

 

Funding Pool and Funding Pool B amounts for the RSP are indexed in accordance with Part 5-6 of the Act.

1.4.5            How Grant Amounts are Determined

Subject to any adjustment that may be made under paragraph 1.4.26, the RSP Grant Amount allocated to a HEP for the Grant Year comprises the sum of:

 

(a)          the HEP’s RSP Basic Grant Amount calculated in paragraph 1.4.10, and

 

(b)          any adjustments made through the application of the transitional safety net calculated in paragraph 1.4.15 (if applicable)

 

as rounded in accordance with paragraph 1.4.25.

1.4.10          Basic Grant Amounts

The formula for calculating each HEP’s Basic Grant Amount for the Grant Year is:

 

 

where:

=

Basic Grant Amount from the RSP for ith HEP in year y

=

Funding Pool A in year y

=

Funding Pool B in year y

=

Share of Category 1 income for ith provider calculated according to the following formula:

 

 

=

Share of Category 2, Category 3 and Category 4 income for ith provider calculated according to the following formula:

 

 

=

Year for which the grant is given

=

the most recent (y1) and second most recent (y2) years for which data is available

=

1...n, where n is the total number of HEPs

1.4.15          Transitional Safety Net

For the Grant Years 2017, 2018, 2019 and 2020, a transitional safety net is applied to ensure that no HEP’s RSP Grant Amount for the Grant Year will fall below 95 per cent of that HEP’s indexed RSP Grant Amount for the previous Grant Year.

 


 

The transitional safety net is applied as follows:

 

(1)          Each HEP’s RSP Grant Amount for the previous Grant Year is indexed to current prices by multiplying that amount by the indexation component. The indexation component is determined by dividing the Funding Pool for the Grant Year by the Funding Pool for the previous Grant Year.

 

a)   For the 2017 Grant Year only, each HEP’s RSP Grant Amount for the previous Grant Year is equal to the total of grant amounts received by that HEP in 2016 under the former Joint Research Engagement, Research Infrastructure Block Grants and Sustainable Research Excellence programs.

 

b)   For the 2017 Grant Year only, the Funding Pool for the previous Grant Year is equal to the total of grant amounts allocated to all HEPs in 2016 under the former Joint Research Engagement, Research Infrastructure Block Grants and Sustainable Research Excellence programs.

 

(2)          For each HEP whose Basic Grant Amount calculated in paragraph 1.4.10 is greater than the indexed amount calculated in subparagraph 1.4.15(1), the difference between the two amounts is placed in the safety net pool.

 

(3)          For each HEP whose Basic Grant Amount calculated in paragraph 1.4.10 is less than 95 per cent of the indexed amount calculated in subparagraph 1.4.15(1), funds are taken from the safety net pool created in subparagraph 1.4.15(2) to top up the HEP’s RSP Grant Amount to 95 per cent of that HEP’s indexed RSP Grant Amount for the previous Grant Year.

 

(4)          After the calculation at subparagraph 1.4.15(3), any funds remaining in the safety net pool are then returned to HEPs that contributed to the safety net pool in subparagraph 1.4.15(2), based on their percentage contribution to the safety net pool.

1.4.20          Grant Amounts for 2021 and future Grant Years

Subject to any adjustment that may be made under paragraph 1.4.26, for the 2021 and future Grant Years, each HEP’s RSP Grant Amount is equal to that HEP’s Basic Grant Amount calculated in paragraph 1.4.10.

1.4.25          Rounding Process

The rounding process for RSP Grant Amounts is as follows:

 

(1)          The Grant Amount calculated for each HEP under paragraphs 1.4.15 or 1.4.20 is rounded down to the nearest whole dollar. The difference in cents between a HEP’s rounded and unrounded RSP Grant Amount is its Remainder. The sum of all Remainders is the Unallocated Dollars.

 

(2)          Each HEP is ranked in descending order based on its Remainder’s closeness to one hundred. One dollar is assigned to each HEP in order of ranking until all Unallocated Dollars are exhausted.

 

(3)          Each HEP’s RSP Grant Amount is equal to the rounded amount calculated in subparagraph 1.4.25(1) plus any whole dollars assigned in subparagraph 1.4.25(2).

1.4.26          Adjustments

(1)          If a HEP provides incorrect HERDC data used to calculate the HEP’s RSP Grant Amount for a Grant Year, the HEP must correct the information provided to the department (‘corrected data’).

 

(2)          If the HEP provides corrected data on or before 1 October in the year the data was first provided the department will take into account the corrected data when calculating RSP Grant Amounts under paragraphs 1.4.5 or 1.4.20.

 

(3)          Subject to subparagraph 1.4.26(4), if a HEP provides corrected data after 1 October in the year the data was first provided, the corrected data will not be used to calculate, or adjust, the HEP’s RSP Grant Amount for a Grant Year.

 

(4)          Where corrected data is provided in accordance with subparagraph 1.4.26(3), the department will use the method specified in paragraphs 1.4.5 or 1.4.20 to determine the Grant Amount the HEP would have been paid for the Grant Year if the corrected data had been used. If the department determines that a HEP has received an overpayment in respect of the Grant Year, the HEP must repay the amount of the overpayment to the department.

1.4.30          Rollover of Grant Amounts

A RSP grant is made in respect of the relevant Grant Year for the purpose of section 41-40 of the Act.

 

1.5               Conditions that Apply to RSP Grants

 

Conditions that apply to RSP grants will be determined in writing by the Minister, or his or her delegate, under subsection 41-25(b)(i) of the Act. The latest version of the Conditions of Grant for the RSP is linked from the RSP page on the department’s web site.

CHAPTER 2        GRANTS FOR ACTIVITIES THAT FOSTER AN UNDERSTANDING OF THE IMPORTANCE OF, OR PROMOTE RESEARCH AND SCHOLARSHIP IN, SCIENCE, SOCIAL SCIENCE OR THE HUMANITIES IN AUSTRALIA

2.1               Purpose

 

The purpose of this chapter is to specify:

 

(1)          in accordance with subsection 41-15(1) of the Act, for the purpose described at item 11(b) of the table in subsection 41-10(1) of the Act, the HERP; and

 

(2)          under subsection 41-15(2) of the Act, some other matters relevant to the HERP grants.

 

HIGHER EDUCATION RESEARCH PROMOTION

2.5               Organisations Eligible to Receive Grants

The following organisations are eligible to receive grants under the HERP

(1)          Australian and New Zealand Association for the Advancement of Science (ANZAAS);

 

(2)          Australian Council of Learned Academies (ACoLA) (peak body for the Learned Academies);

 

(3)          The Learned Academies:

 

(a)      Australian Academy of the Humanities (AAH);

 

(b)      Australian Academy of Science (AAS);

 

(c)      Australian Academy of Technological Sciences and Engineering (ATSE); and

 

(d)     Academy of Social Sciences in Australia Incorporated (ASSA).

 

2.10             HERP Description

The HERP provides grants under the Act to foster an understanding of the importance of, and/or promote research and scholarship in, science, social science or the humanities in Australia.

2.15             HERP Objectives

The objectives for each HERP grant to each of the relevant eligible organisations are: 

(1)          ANZAAS: To cover the costs of transportation and accommodation for approximately five students from each Australian State and Territory to attend the annual Youth Conference;

 

(2)          ACoLA (peak administrative body for the Learned Academies): To support cooperation between the four Learned Academies, to provide a common point of access to the four Learned Academies for outside organisations and individuals, and promote a unified national vision, helping to enhance interactions between the four Learned Academies without compromising their individual priorities or activities;

 

(3)          Learned Academies:

(a)      The AAS, ATSE, AAH, and ASSA: To provide secretariat and other administrative support to enable the Academies and their fellows to contribute advice and assistance on issues of national importance, to conduct workshops, forums, symposia and similar events so that the Academies and their fellows can engage on issues of national importance, to manage the development and conduct of policy, education and other programs, and to support relationships with international communities including exchange programs and joint research programs.

2.20             Conditions that Apply to HERP Grants

Conditions that apply to the HERP grants will be determined in writing by the Minister, or his or her delegate, under subsection 41-25(b)(i) of the Act.

2.25             HERP Grant Amounts

The HERP grant amounts will be determined in writing by the Minister, or his or her delegate, under subsection 41-30(b) of the Act. Grants made through the HERP are indexed in accordance with Part 5-6 of the Act.

 


Endnotes

Endnote 1—About the endnotes

The endnotes provide information about this compilation and the compiled law.

The following endnotes are included in every compilation:

Endnote 1—About the endnotes

Endnote 2—Abbreviation key

Endnote 3—Legislation history

Endnote 4—Amendment history

Abbreviation key—Endnote 2

The abbreviation key sets out abbreviations that may be used in the endnotes.

Legislation history and amendment history—Endnotes 3 and 4

Amending laws are annotated in the legislation history and amendment history.

The legislation history in endnote 3 provides information about each law that has amended (or will amend) the compiled law. The information includes commencement details for amending laws and details of any application, saving or transitional provisions that are not included in this compilation.

The amendment history in endnote 4 provides information about amendments at the provision (generally section or equivalent) level. It also includes information about any provision of the compiled law that has been repealed in accordance with a provision of the law.

Editorial changes

The Legislation Act 2003 authorises First Parliamentary Counsel to make editorial and presentational changes to a compiled law in preparing a compilation of the law for registration. The changes must not change the effect of the law. Editorial changes take effect from the compilation registration date.

If the compilation includes editorial changes, the endnotes include a brief outline of the changes in general terms. Full details of any changes can be obtained from the Office of Parliamentary Counsel.

Misdescribed amendments

A misdescribed amendment is an amendment that does not accurately describe the amendment to be made. If, despite the misdescription, the amendment can be given effect as intended, the amendment is incorporated into the compiled law and the abbreviation “(md)” added to the details of the amendment included in the amendment history.

If a misdescribed amendment cannot be given effect as intended, the abbreviation “(md not incorp)” is added to the details of the amendment included in the amendment history.

Endnote 2—Abbreviation key

 

ad = added or inserted

o = order(s)

am = amended

Ord = Ordinance

amdt = amendment

orig = original

c = clause(s)

par = paragraph(s)/subparagraph(s)

C[x] = Compilation No. x

    /sub‑subparagraph(s)

Ch = Chapter(s)

pres = present

def = definition(s)

prev = previous

Dict = Dictionary

(prev…) = previously

disallowed = disallowed by Parliament

Pt = Part(s)

Div = Division(s)

r = regulation(s)/rule(s)

ed = editorial change

reloc = relocated

exp = expires/expired or ceases/ceased to have

renum = renumbered

    effect

rep = repealed

F = Federal Register of Legislation

rs = repealed and substituted

gaz = gazette

s = section(s)/subsection(s)

LA = Legislation Act 2003

Sch = Schedule(s)

LIA = Legislative Instruments Act 2003

Sdiv = Subdivision(s)

(md) = misdescribed amendment can be given

SLI = Select Legislative Instrument

    effect

SR = Statutory Rules

(md not incorp) = misdescribed amendment

Sub‑Ch = Sub‑Chapter(s)

    cannot be given effect

SubPt = Subpart(s)

mod = modified/modification

underlining = whole or part not

No. = Number(s)

    commenced or to be commenced

 

Endnote 3—Legislation history

 

Name

Registration

Commencement

Application, saving and transitional provisions

Other Grants Guidelines (Research) 2017

10 Oct 2015 (F2016L01603)

11 Oct 2015 (s 2)

 

Other Grants Guidelines (Research) Amendment (No. 1) 2019

5 Dec 2019 (F2019L01575)

6 Dec 2019 (s 2)

 

Endnote 4—Amendment history

 

Provision affected

How affected

Part 1

 

s 2.............................................

rep LA s 48D

s 4.............................................

rep LA s 48C

Chapter i

 

s i.v...........................................

am F2019L01575

Chapter 1

 

1.4.5.........................................

rs F2019L01575

1.4.20.......................................

rs F2019L01575

1.4.26.......................................

ad F2019L01575