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
The purpose of these Guidelines is to provide for Other Grants under Part 2‑3 of the Higher Education Support Act 2003.
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.
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
The RSP provides block grants, on a calendar year basis, to HEPs to support the systemic costs of research.
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.
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) 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.
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.
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.
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).
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.
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.
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.
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.
CHAPTER 3—AUSTRALIA’S ECONOMIC ACCELERATOR LAUNCH PROGRAM
The Australia’s Economic Accelerator Launch Program (AEA Launch Program) is specified for the purposes of:
(a) supporting research by, and the research capability of, higher education providers; and
(b) encouraging higher education providers to engage with industry.
The objectives of the AEA Launch Program are to:
(a) Support higher education providers to bridge the divide between basic research activities and commercialisation outcomes, through closer engagement with industry partners;
(b) support research activities aligned to national priority areas, undertaken by higher education providers;
(c) boost the research capability of higher education providers to conduct research with high commercialisation potential;
(d) foster a culture of collaboration between universities and industry; and
(e) encourage industry engagement with university research, boosting research capability in areas with the greatest potential for economic impact.
(1) Grants under the AEA Launch Program may only be provided to support projects that align with one of the priority areas as set by the Minister in program guidelines.
(2) Grants under the AEA Launch Program may be provided across two stages:
(a) The first stage will operate as follows—eligible higher education providers seeking a grant at this stage must demonstrate industry engagement with the proposed project, and be able to demonstrate that the project activities are designed to provide:
(i) an experimental proof of concept;
(ii) that the technology will be validated in a laboratory (or equivalent setting); or
(iii) that the technology will be validated in an industrially relevant environment.
(b) The second stage will operate as follows—eligible higher education providers seeking a grant at this stage must provide a project plan that demonstrates a plan, developed in association with an industry partner, in respect of the technology proposed in their project:
(i) that the technology will be validated in an industrially relevant environment;
(ii) that the technology will be demonstrated in an industrially relevant environment; or
(ii) the system prototype will be demonstrated in an operational environment.
Grants under the AEA Launch Program will be:
(a) approved by the Minister in writing;
(b) made in respect of projects; and
(c) subject to conditions imposed on the grant by the Minister in writing under paragraph 41-25(1)(c) of the Act.