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Other Grants Guidelines (Research) 2017

Authoritative Version
Guides & Guidelines as amended, taking into account amendments up to Other Grants Guidelines (Research) Amendment (No. 2) 2020
Administered by: Education, Skills and Employment
Registered 27 Nov 2020
Start Date 18 Nov 2020
Table of contents.

Other Grants Guidelines (Research) 2017

made under section 238‑10 of the

Higher Education Support Act 2003

Compilation No. 3

Compilation date:                              18 November 2020

Includes amendments up to:            F2020L01437

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 18 November 2020 (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.

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If a provision of the compiled law has been repealed in accordance with a provision of the law, details are included in the endnotes.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. 4

1.4.10      Percentage Share of Competitive and Engagement Income. 5

1.4.15      RSP Base Grant Amounts. 5

1.4.20      Transitional Safety Net 6

1.4.25      RSP Base Grant Amounts for 2022 and future Grant Years. 6

1.4.30      COVID-19 Supplementary Grant Amounts. 6

1.4.35      Rounding Process. 7

1.4.40      Adjustments. 7

1.4.45      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.. 9

2.1        Purpose. 9

HIGHER EDUCATION RESEARCH PROMOTION.. 9

2.5        Organisations Eligible to Receive Grants. 9

2.10          HERP Description. 9

2.15          HERP Objectives. 10

2.20          Conditions that Apply to HERP Grants. 10

2.25          HERP Grant Amounts. 10

Endnotes. 11

Endnote 3—Legislation history. 13

Endnote 4—Amendment history. 14


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

AAHMS                                   Australian Academy of Health and Medical Sciences

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

COVID-19 Supplementary           is $1,000,000,000 for the 2021 Grant Year only

Funding Pool

COVID-19 Supplementary           is the amount determined under paragraph 1.4.30

Grant Amount

the department                        means the Commonwealth department responsible for administering the Act

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

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 Minister responsible for administering the Act

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

RSP Base Grant Amount          is the amount determined under paragraph 1.4.15

RSP Funding Pool                   is the total amount of funding for a given Grant Year for the RSP minus the COVID-19 Supplementary Funding Pool

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

For the purposes of paragraph 41-30(a) of the Act, the RSP Grant Amounts are determined in accordance with the method set out in paragraph 1.4.5 of these Guidelines. Note: The RSP Funding Pool is to be indexed in the same way as amounts are indexed under Part 5-6 of the Act.

1.4.5            How Grant Amounts are Determined

(1)        Subject to any adjustment that may be made under paragraph 1.4.40, the RSP Grant Amount paid to a HEP for the Grant Year is the sum of:

(a)      the HEP’s RSP Base Grant Amount calculated under paragraph 1.4.15 and any changes made through the application of the transitional safety net calculated under paragraph 1.4.20 (if applicable), and

(b)      the HEP’s COVID-19 Supplementary Grant Amount calculated under paragraph 1.4.30 (if applicable),

               as rounded in accordance with paragraph 1.4.35.

1.4.10          Percentage Share of Competitive and Engagement Income

The formula for calculating each HEP’s relative percentage share of competitive and engagement income is as follows:

COMPETITIVEi

=

 

Share of Category 1 income for HEP i calculated according to the following formula:

 

 

 

ENGAGEMENTi

 

=

 

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

 

 

 

 

where:

 

 

y

=

year for which the grant is given

y1,y2

=

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

i

=

HEP 1 to n, where n is the total number of HEPs

j

=

HEP 1 to n, where n is the total number of HEPs

1.4.15          RSP Base Grant Amounts

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

BGAi,y = (COMPETITIVEi × Ay × 47%) + (ENGAGEMENTi × Ay × 53%)

where:

 

 

COMPETITIVEi

=

the percentage share of competitive income determined under paragraph 1.4.10 for HEP i

ENGAGEMENTi

=

the percentage share of engagement income determined under paragraph 1.4.10 for HEP i

BGAi,y

=

RSP Base Grant Amount for HEP i in year y

Ay

=

RSP Funding Pool in year y

y

=

year for which the grant is given

i

=

HEP 1 to n, where n is the total number of HEPs

1.4.20          Transitional Safety Net

For the 2021 Grant Year, a transitional safety net is applied to ensure that no HEP’s RSP Base 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 by multiplying that amount by the indexation component. The indexation component is determined by dividing the RSP Funding Pool for the Grant Year by the RSP Funding Pool for the previous Grant Year.

(2)          For each HEP whose RSP Base Grant Amount calculated under paragraph 1.4.15 is greater than the indexed amount calculated under subparagraph 1.4.20(1), the difference between the two amounts is included in what would be a notional safety net pool.

(3)          For each HEP whose RSP Base Grant Amount calculated under paragraph 1.4.15 is less than 95 per cent of the indexed amount calculated under subparagraph 1.4.20(1), funds are taken from the notional safety net pool created in subparagraph 1.4.20(2) to top up the HEP’s RSP Base 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 1.4.20(3), any funds remaining in the notional safety net pool are then returned to HEPs that added to the notional safety net pool under subparagraph 1.4.20(2), based on their percentage contribution to the safety net pool.

1.4.25          RSP Base Grant Amounts for 2022 and future Grant Years

For 2022 and future Grant Years, the transitional safety net as specified in paragraph 1.4.20 is not applied to RSP Base Grant Amounts.

1.4.30          COVID-19 Supplementary Grant Amounts

For the 2021 Grant Year, the COVID-19 Supplementary Grant Amount for a HEP will be calculated using the same method for calculating a RSP Base Grant Amount specified in paragraph 1.4.15 with the RSP Funding Pool substituted with the
COVID-19 Supplementary Funding Pool
. The Transitional Safety Net outlined in paragraph 1.4.20 will not be applied to COVID-19 Supplementary Grant Amounts.

1.4.35          Rounding Process

The rounding process for RSP Grant Amounts is as follows:

(1)          The Grant Amount calculated for each HEP under paragraph 1.4.5 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 how close the HEP’s remainder is to one hundred cents. One dollar is paid to each HEP in order of ranking until all Unallocated Dollars are paid.

(3)          Each HEP’s RSP Grant Amount is equal to the rounded amount calculated under subparagraph 1.4.35(1) plus any whole dollars assigned in subparagraph 1.4.35(2).

1.4.40          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 paragraph 1.4.5.

(3)          Subject to subparagraph 1.4.40(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 1.4.40(3), the department will use the method specified in paragraph 1.4.5 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 the HEP has received an overpayment in respect of the Grant Year, the HEP must repay the amount of the overpayment to the department.

1.4.45          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:

 

(aa)    Australian Academy of Health and Medical Sciences (AAHMS);

 

(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 five Learned Academies, to provide a common point of access to the five Learned Academies for outside organisations and individuals, and promote a unified national vision, helping to enhance interactions between the five Learned Academies without compromising their individual priorities or activities;

 

(3)          Learned Academies:

(a)      The AAS, ATSE, AAH, ASSA and AAHMS: 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.

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)

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)

Other Grants Guidelines (Research) Amendment (No. 1) 2020

22 July 2020 (F2020L00936)

23 July 2020 (s 2(1) item 1)

Other Grants Guidelines (Research) Amendment (No. 2) 2020

17 Nov 2020

(F2020L01437)

18 November 2020 (s 2(1) item 1)

Section 5

 

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; F2020L00936; F2020L01437

Chapter 1

 

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

rs F2019L01575

1.4.15.......................................

am F2020L00936

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

rs F2019L01575; F2020L00936

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

ad F2019L01575

1.4

rs F2020L01437

Chapter 2

 

2.5

ad F2020L01437

2.15

am F2020L01437