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
PhD means a Level 10 Doctoral Degree (Research) or Doctoral Degree (Professional) qualification as described in the Australian Qualifications Framework for which at least two-thirds of the student load for the course is research work
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
RTP Fees Offset has the same meaning as in section i.v of the Commonwealth Scholarship Guidelines (Research) 2017
Note: Section i.v of the Commonwealth Scholarship Guidelines (Research) 2017 defines RTP Fees Offset as a type of Research Training Program scholarship to assist with course fees that would otherwise be payable by a student who is completing a higher degree by research (a Research Doctorate or Research Masters course for which at least two-thirds of the student load for the course is required as research work).
RTP Stipend has the same meaning as in section i.v of the Commonwealth Scholarship Guidelines (Research) 2017
Note: Section i.v of the Commonwealth Scholarship Guidelines (Research) 2017 defines RTP Stipend as a type of Research Training Program scholarship to assist students with general living costs.
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:
| 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.
CHAPTER 4—NATIONAL INDUSTRY PHD PROGRAM
4.1 Program
The National Industry PhD Program is specified for the purpose of supporting the training of research students, under item 8 of the table in subsection 41-10(1) of the Act.
4.5 Program objectives
The objectives of the National Industry PhD Program are to:
(a) develop talented PhD Candidates into researchers who can work in both industry and academic settings;
(b) support high calibre industry professionals into industry researchers and leaders, with the potential to work in academic settings;
(c) contribute to industry-focused innovation and development through university-industry collaboration;
(d) strengthen collaboration between Australian companies and universities; and
(e) support industry-focused PhD research projects that align with the priority areas as set by the Minister in the program guidelines.
4.10 Extra conditions of eligibility
(1) Grants under the National Industry PhD Program may only be provided to support PhD projects that are:
(a) co-designed by eligible higher education providers and industry (the Industry Linked PhD stream), or
(b) undertaken by industry professionals who are supported by their employer to undertake a PhD project in partnership with a university (the Industry Researcher PhD stream).
(2) Grants under the National Industry PhD Program will only be provided to eligible higher education providers that:
(a) are partnered with an industry partner that:
(i) is a business or organisation with an Australian Business Number (ABN) or an Australian Company Number (ACN);
(ii) undertakes research and development activities;
(iii) for the Industry Linked PhD stream, has entered into an agreement with the eligible higher education provider to provide a yearly cash contribution of at least $10,000 for four years for each full-time PhD Candidate associated with the industry partner’s research project, and a yearly cash contribution of at least $5,000 for up to eight years for each part-time PhD Candidate associated with the industry partner’s research project; and
(b) will enrol PhD candidates for the purposes of the National Industry PhD Program that:
(i) will be eligible for a RTP Fees Offset for the duration of their PhD candidature in the Program;
(ii) have not previously completed a PhD program at the time the PhD Candidate applies to participate in the Program;
(iii) will enrol in the year that they are offered a position in the Program;
(iv) will be in the first year of their PhD, or if they have already commenced another PhD program, they have received approval from the eligible higher education provider to transfer across to this Program;
(v) for the Industry Linked PhD stream, the PhD Candidate will be eligible for a stipend equivalent to the amount of the RTP Stipend for the duration of their PhD candidature; and
(vi) for the Industry Researcher PhD stream, the PhD Candidate must be employed by an industry partner and supported to participate in the Program by that employer.
4.15 Method by which the amount of grants under the program are determined
(1) The grant for a participating higher education provider will be made up of:
(a) an administrative component to assist with meeting the higher education provider’s costs in administering the program (administrative component);
(b) a student stipend component to meet the higher education provider’s obligation to pay the student an additional amount for the Industry Linked PhD stream under subsection 4.25(1) (student component); and
(c) an industry partner component to meet the higher education provider’s obligation to pay their industry partners an additional amount for the Industry Researcher PhD stream under subsection 4.25(2) (industry component).
Administrative component
(2) Subject to subsection (3), the administrative component for a participating higher education provider will be:
(a) $10,350 a year for up to four years for each full-time PhD Candidate; and
(b) $5,175 a year for up to eight years for each part-time PhD Candidate.
(3) A participating higher education provider will not be eligible to receive more than $41,400 in administrative component payments for a single PhD Candidate for the duration of their PhD project.
Student component
(4) The student component for a participating higher education provider will be:
(a) $6,210 a year for up to four years for each full-time PhD Candidate in the Industry Linked PhD stream; and
(b) $3,105 a year for up to eight years for each part-time PhD Candidate in the Industry Linked PhD stream.
(5) A participating higher education provider will not be eligible to receive more than $24,840 in student component payments for a single PhD Candidate for the duration of their PhD project.
Industry component
(6) The industry component for a participating higher education provider will be $20,700 a year for up to eight years for each part-time PhD Candidate in the Industry Researcher PhD stream.
(a) $41,400 a year for up to four years for each full-time PhD Candidate in the Industry Researcher PhD stream; and
(b) $20,700 a year for up to eight years for each part-time PhD Candidate in the Industry Researcher PhD stream.
(7) A participating higher education provider will not be eligible to receive more than $165,600 in industry component payments for a PhD Candidate’s employer for the duration of the PhD project.
4.20 Indexation
The amounts listed in section 4.15 are listed for the year 2023 and are to be indexed for subsequent years using the method of indexation set out in Part 5-6 of the Act.
4.25 Conditions that apply to grants
Conditions in respect of the student and industry components
(1) Subject to subsection (4), the participating higher education provider must provide the student component of the grant to each PhD Candidate in the Industry Linked PhD stream.
(2) Subject to subsection (5), the participating higher education provider must provide the industry component of the grant to each industry partner that employs a PhD Candidate in the Industry Researcher PhD stream.
(3) The participating higher education provider must not retain any amount of the student component or industry component of the grant.
(4) The participating higher education provider must not provide the student component of the grant to a PhD Candidate if:
(a) the PhD Candidate ceases to meet the requirements set out in paragraph 4.10(2)(b); or
(b) for the Industry Linked PhD stream, the relevant industry partner no longer meets the requirements set out in paragraph 4.10(2)(a).
(5) The participating higher education provider must not provide the industry component of the grant to an industry partner if the relevant industry partner no longer meets the requirements set out in paragraph 4.10(2)(a).
Conditions in respect of PhD Candidates
(6) PhD Candidates enrolled in the Industry Linked PhD stream must spend 20 to 50 per cent of the duration of their PhD Candidature undertaking work relevant to their PhD project in the industry partner’s facilities, unless an exception is approved by the department.
(7) PhD Candidates enrolled in the Industry Researcher PhD stream must spend 20 to 50 per cent of the duration of their PhD Candidature embedded in the participating higher education provider’s facilities, unless an exception is approved by the department.
Conditions in respect of the administration of the Program
(8) The participating higher education provider must provide appropriate PhD research supervisors, access to the provider’s facilities and infrastructure, learning and development opportunities and support for the development of research skills to PhD Candidates in the Program to ensure the PhD Candidates are making appropriate progress and to ensure the successful completion of the PhD project.
Conditions in respect of the agreement between the higher education provider and the industry partner
(9) The participating higher education provider must enter into an agreement with the relevant industry partner for each PhD project.
(10) The agreement referred to in subsection (9) must provide that:
(a) the industry partner must provide supervision for the PhD Candidate;
(b) the industry partner must provide appropriate access to appropriate facilities and infrastructure to support the PhD Candidate;
(c) the industry partner is responsible for all other expenses incurred in their participation in the Program, including the salary of the PhD Candidate, workplace accommodation, equipment and materials;
(d) the industry partner commits to supporting the PhD Candidate for the full duration of the PhD Project;
(e) the industry partner agrees to collect data specified by the department for the purpose of program assurance and provide that data to the higher education provider; and
(f) if the industry partner is not an ‘organisation’ for the purposes of the Privacy Act 1988, the industry partner agrees to comply with the Australian Privacy Principles as set out in Schedule 1 of the Privacy Act 1988, as if it were an ‘organisation’ for the purposes of the Privacy Act 1988.
(11) The agreement referred to in subsection (9) must also provide for how intellectual property rights created as part of the PhD project should be handled, and must allow the PhD Candidate to use and publish such intellectual property in their thesis or relevant publications.
Reporting
(12) The participating higher education provider must collect data specified by the department for the purpose of program assurance and give that data, and the data given to the provider under paragraph (9)(e), to the department annually.
(13) The participating higher education provider must, on request, provide a report on performance in the format requested by the department.
Privacy
(14) If the participating higher education provider is not an ‘organisation’ for the purposes of the Privacy Act 1988, the participating higher education provider must comply with the Australian Privacy Principles as set out in Schedule 1 of the Privacy Act 1988, as if it were an ‘organisation’ for the purposes of the Privacy Act 1988.