EXPLANATORY STATEMENT
Guidelines issued under section 238-10 of the Higher Education Support Act 2003
Other Grants Guidelines (Research) 2008
Issued by the authority of the Minister for Education
Subject: Higher Education Support Act 2003
Other Grants Guidelines (Research) 2008
Authority
Section 238-10 of the Higher Education Support Act 2003 (the Act) provides that the Minister may make guidelines providing for matters required or permitted by the Act necessary or convenient to be provided in order to carry out or give effect to the Act. In particular section 238-10 specifies the Minister may make Other Grants Guidelines to give effect to matters set out in Part 2-3 of the Act.
Section 41-15 of the Act provides that the Other Grants Guidelines may specify one or more programs under which grants for particular purposes specified in the table in subsection 41-10(1) are to be paid.
Purpose and operation
On 10 November 2006, the former Minister for Education, the Hon. Julie Bishop MP made the Other Grants Guidelines 2006. These were registered on 22 November 2006 [F2006L03785].
The purpose of this instrument is to revoke the Other Grants Guidelines 2006 and all subsequent amendments and to make the Other Grants Guidelines (Research) 2008, to be administered by the Minister for Innovation, Industry, Science and Research and the Other Grants Guidelines (Education) 2008 to be administered by the Minister for Education, Employment and Workplace Relations.
The Other Grants Guidelines (Research) 2008 has four chapters, each representing a purpose for which grants may be made under Part 2-3 of the Act.
General
The Administrative Arrangements Order (AAO) of 25 January 2008 revoked all administrative arrangements previously ordered and ordered that research matters be dealt with by the Minister for Innovation, Industry, Science and Research. Formerly, research matters were dealt with by the Minister for Education, Employment and Workplace Relations. Matters relating to grants for the purposes of research will not be included in Other Grants Guidelines (Education) 2008. These matters are dealt with in the Other Grants Guidelines (Research) 2008.
As part of the revocation of the Other Grants Guidelines 2006 and all subsequent amendments, minor updates have been made to the Other Grants Guidelines (Research) 2008 that are of a machinery nature which does not substantially alter existing arrangements for the higher education sector.
Sections of the Other Grants Guidelines 2006 referring to the Regional Protection Scheme have not been included in the Other Grants Guidelines (Research) 2008, as this program is terminating as at 31 December 2008.
References to “programme” have been changed to “program” and references to “the Department of Education, Science and Training” have been changed to “the Department of Innovation, Industry, Science and Research” to ensure consistency throughout the Other Grants Guidelines (Research) 2008.
Detail of the Other Grants Guidelines (Research) 2008
Chapter i
Chapter i sets out the purpose of and the defined terms used in the Other Grants Guidelines (Research) 2008.
Chapter 1 Grants to support research by, and the research capability of, higher education providers
Item 7 of the table in subsection 41-10(1) specifies that Table A providers and Table B providers are eligible for Grants to support research by, and the research capability of, higher education providers. Chapter 1 sets out the programs that will assist higher education providers to enhance the development and maintenance of research infrastructure and to support research and research training activities.
Research Infrastructure Block Grants (RIBG) Scheme
1.10 The Research Infrastructure Block Grants Scheme (RIBG) provides block grants, on a calendar year basis, to eligible higher education providers (HEPs) to enhance the development and maintenance of research infrastructure.
1.15 sets out the objectives of the RIBG Scheme which 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; and
- 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.
1.20 provides that conditions on RIBG Scheme grants will be determined in writing by the Minister, or his or her delegate, under subparagraph 41-25(b)(i) of the Act. This is so that conditions can be varied from year to year without needing to revoke and remake this Chapter of the Other Grants Guidelines (Research) 2008.
1.25 provides that RIBG Scheme grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act.
Institutional Grants Scheme (IGS)
1.35 states that the Institutional Grants Scheme (IGS) provides block grants, on a calendar year basis, to eligible HEPs to support research and research training activities.
1.40 provides the objective of the IGS are 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 IGS 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; and
- enhance support for areas of research strength.
1.45 provides that the conditions on IGS grants will be determined in writing by the Minister, or his or her delegate, under subparagraph 41-25(b)(i) of the Act. This is so that conditions can be varied from year to year without needing to revoke and remake this Chapter of the Other Grants Guidelines (Research) 2008.
1.50 provides that IGS grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act.
Chapter 2 Grants to support the training of research students
Item 8 of the table in subsection 41-10(1) of the Act specifies that Table A providers and Table B providers are eligible for grants to support the training of research students. Chapter 2 sets out the programs that will assist higher education providers to support the training of research students.
Introduction
2.1 sets out the purpose for this chapter of the Other Grants Guidelines (Research) 2008.
Research Training Scheme (RTS)
2.10 states that the RTS provides block grants, on a calendar year basis, to eligible HEPs to support research training for students undertaking higher degrees by research – Doctorate and Masters degrees by research – including coursework components of these degrees, provided that the coursework components do not exceed one third of the degree.
2.15 provides that 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 programmes to labour market requirements; and
- improve the efficiency and effectiveness of research training.
2.20 provides that the conditions on RTS grants will be determined in writing by the Minister, or his or her delegate, under subparagraph 41-25(b)(i) of the Act. This has been done so that conditions can be varied from year to year without needing to revoke and remake this Chapter of the Other Grants Guidelines (Research) 2008.
2.25 provides that RTS grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act.
Commercialisation Training Scheme (CTS)
2.35 provides for Commercialisation Training Scheme (CTS) block grants to be paid to Table A and B (as listed in the Higher Education Support Act 2003 (HESA)) higher education providers each year to support research commercialisation training for domestic higher degree by research (HDR) students. It also provides an exemption to HDR students from paying student contribution amounts and tuition fees for units undertaken as part of CTS training.
2.40 states that 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.
2.45 provides for the conditions that apply to CTS grants in an appendix to chapter 2 of the Other Grants Guidelines (Research) 2008 called Appendix 2A. The conditions contained within the Appendix are standard to Department of Innovation, Industry, Science and Research block grant programs. The conditions comprise the following parts:
- ‘Meaning of Words’ sets out the meaning of defined terms;
- ‘The Grant’ specifies that grants are made in respect of the year and must be spent in accordance with the Conditions of Grants and the Other Grants Guidelines (Research) 2008. It also:
o allows unspent funds to be rolled-over to the next year in accordance with the relevant provisions of the Act;
o requires HEPs to notify the Minister (or the Minister’s delegate) in writing of any event that may significantly affect a HEP’s capacity to meet the Conditions of Grant; and
o requires HEPs to provide the Minister with such other information that the Minister by notice in writing requires from the HEP in respect of the grant or compliance by the recipient with the Conditions of Grants;
- ‘Reporting’ states that HEPs must provide to the Department of Innovation, Industry, Science and Research with a number of reports at certain times of the year;
- ‘Dissemination’ allows the Commonwealth to publicise the award of any grant to a HEP and information about any aspect of these Conditions of Grant at any time, in such manner and to such parties as it sees fit;
- ‘Acknowledgments, publications and publicity’ states that in all CTS training related promotional material, publications, speeches, media releases, and brochures a HEP must acknowledge the contribution made by the Commonwealth as set out at Part 4;
- ‘Disclosure of information’ states that the Department of Innovation, Industry, Science and Research gives no undertaking to keep confidential the Conditions of Grant or any information in the reports;
- ‘Indemnity’ requires that HEPs must indemnify the Commonwealth against any loss or liability from arising from the actions of the HEP;
- ‘Access to premises and records’ requires HEPs to give prescribed government officers access to employees, premises and materials relevant to any grant subject to reasonable prior notice and reasonable security procedures;
- ‘Intellectual Property Rights in the reports’ provides that the ownership of and the Intellectual Property Rights in the reports vests immediately in HEPs. This part sets out the other Intellectual Property requirements which include that HEPS must grant the Commonwealth a broad licence (including a right of sub-licence) to use, reproduce, adapt the Intellectual Property Rights in the Reports for any purpose;
- ‘Compliance with laws and policies’ requires HEPs (or any contractors they engage) to comply with the Information Privacy Principles (as defined in the Privacy Act) and deal with personal information received, created or held by the HEP for the purposes of the Conditions of Grant only to fulfil its obligations under the Conditions of Grant.
2.50 sets out an extra condition of eligibility for CTS grants. DIISR will contact all HEPs to seek written confirmation of their intention to comply with the requirements set out in CTS guidelines for the grant year. Only HEPs that confirm their intent will be eligible for CTS funding in respect of the grant year.
2.55 sets out the formula for determining how CTS Grants will be determined. The grants are determined by multiplying each HEP's share of the CTS performance index by the total amounts available. The method for calculating the CTS performance index is detailed as is the minimum CTS grant amount for 2007, arrangements for indexing the minimum grant amount in later years, and the method for adjusting grants to a take into account the possible allocation of minimum grant amounts.
2.60 provides for CTS grants to be made by instalments in the manner and at the times determined by the Minister and the Secretary, respectively, under the relevant sections of the Act.
2.65 requires that CTS funds to be spent on providing CTS training to HDR students or payments to another HEP to provide CTS training on behalf of a HEP in accordance with a separate written agreement between the HEPs. It also makes provision for payments to HDR students in order to assist them to meet the direct costs of undertaking CTS training through the provision of a stipend for living costs or the provision of allowances.
2.70 sets out the student eligibility requirements for CTS training. These are a student:
- must be enrolled in a HDR;
- must be a domestic student; and
- must not have previously completed CTS or equivalent training.
Additional conditions relate to the following:
- students may be entitled to receive credit towards the CTS qualification from prior studies can only receive benefit under the CTS for the remaining period of study necessary to complete CTS training;
- students who fail to complete CTS training within 24 months from the date of commencement (plus any periods of suspension or leave approved by HEPs) are ineligible to receive further support under the CTS;
- students who have commenced CTS training prior to submitting their HDR thesis can be exempted from being enrolled in a HDR for a period of 6 months from the date of submission of their HDR thesis in order to complete CTS training.
2.75 sets out the requirements of CTS training:
- 2.75.1 sets out the general training requirements;
- 2.75.2 sets out the course requirements which are to demonstrate the capacity to provide learning in three knowledge areas: commercialisation know-how, technical commercialisation skills (of which intellectual property management is compulsory) and organisational behaviour skills.
- 2.75.3 requires that the training must provide for significant elements of practical, non-lecture based learning where students are given the opportunity to participate in team-based learning exercises centred on research commercialisation scenarios.
- 2.75.4 states the requirements at 2.75.2 and 2.75.3 comprise the minimum requirements only and may be supplemented by HEPs on condition that any additional training is consistent with the program objective.
2.80 allows students to apply to their HEP for a suspension of their CTS training or to take leave during CTS training or to transfer to another HEP. In the last circumstance, students may be able to continue to receive CTS training from the new HEP and associated assistance if their new HEP agrees to its continuation and subject to the new HEP having sufficient CTS grant amounts of its own available.
2.85 states the circumstances in which a HEP must terminate a student’s CTS Training:
- if a student ceases to meet the eligibility criteria
- where a student completes the course of study;
- a HEP determines that CTS training is not being carried out with competence and / or diligence by the student or in accordance with the offer of CTS training; or
- a student has committed serious misconduct.
If CTS training is terminated, it cannot be re-activated unless the termination occurred in error.
2.90 states that HEPs are responsible for CTS training application, selection and offer processes and must make information about the processes, policies and conditions readily and publicly available.
Application Process
- 2.90.2-2.90.4 sets out the application process for HEPs to select students to receive CTS training;
- 2.90.5-2.90.7 sets out the selection process that a HEP must follow;
- 2.90.8-2.90.10 sets out the offer process that a HEP must follow.
Chapter 3 Grants to support the development of systemic infrastructure used by HEPs
Chapter 3 specifies the Implementation Assistance Program (IAP) and the Australian Scheme for Higher Education Repositories (ASHER) as programs to provide funding to universities (Table A providers) and specified bodies corporate for systemic research infrastructure in accordance with subsection 41-15(1) of the Act.
Subsection 41-10(1) of the Act specifies the bodies corporate that are specified in the Other Grants Guidelines (Research) 2008 which are eligible for grants to support the development of systemic infrastructure used by HEPs.
3.1.1 sets out the purpose of Chapter 3 of the Other Grants Guidelines (Research) 2008.
3.5.1 specifies the programs under which grants can be paid for the purpose specified in item 10 of the table in subsection 41-10(1) of the Act.
3.10.1 sets out the bodies corporate eligible for grants under the Implementation Assistance Program and the Australian Scheme for Higher Education Repositories.
Chapter 4 Grants for activities:
The purpose of this Chapter is to specify the bodies corporate that are eligible for grants in accordance with subsection 41-10(1) of the Act.
Grants for activities that foster an understanding of importance of, or promote research and scholarship in, science, social science or the humanities in Australia
4.10 sets out the purpose of the subchapter which is to specify the Learned Academies Program and the Australian and New Zealand Association for the Advancement of Science Youth Conference Grant Program as programs from which grants to foster understanding of the importance of, and provide research and scholarship in, science social science or humanities in Australia may be paid.
4.15 states that the following bodies corporate are eligible for grants under the Learned Academies Grant Program:
a. The Australian and New Zealand Association for the Advancement of Science;
b. The Australian Academy of Technological Sciences and Engineering;
c. The Australian Academy of Science;
d. The Australian Academy of the Humanities; and
e. The Academy of the Social Sciences in Australia.
f. The Federation of Australian Scientific and Technological Societies Incorporated; and
g. The Council for the Humanities, Arts and Socials Sciences.
4.20 specifies the Australian and New Zealand Association for the Advancement of Science Youth Conference Grant Program (“the ANZAAS program”) as a program under which grants are made to foster understanding of the importance of, and provide research and scholarship in, science social science or the humanities in Australia. Grants under the program are provided to cover the costs of transportation and accommodation for approximately five promising young scientists to provide them with an opportunity to mix with peers and internationally acclaimed scientists.
4.25 sets out the program objectives which are to cover the costs of transportation and accommodation for approximately five promising young scientists to provide them with an opportunity to mix with peers and internationally acclaimed scientists.
4.30 sets out the method by which a grant is calculated in a year. The total grant amount to be allocated to ANZAAS for the purposes of supporting the Youth Conference in 2005 is $18,000. Subject to appropriation, this amount will be indexed in accordance with Division 198 of Part 5-6 of the Act, as in force from time to time. The ANZAAS Youth Conference Grant Programme is funded on an annual, calendar year basis and payments are made in respect of a year.
4.35 provides that Australian and New Zealand Association for the Advancement of Science Youth Conference grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act.
Learned Academies Grants Program
4.40 sets out the purpose of this chapter to specify the Learned Academies Grant Program as a program under which grants are made to foster understanding of the importance of, and provide research and scholarship in, science social science or humanities in Australia.
4.45 sets out the program objectives Learned Academies Grant Program, which is to
- Assist in maintaining the Learned Academies, as independent organisations that promote and undertake research and scholarship in the natural and applied sciences, technological development and applied technology, the social sciences and the humanities;
- Maintain the Learned Academies as focal points for contact with the communities represented by the Academies and as sources of advice for the Government relating to their fields of expertise; and
- Assist in providing support for affiliations with appropriate international organisations.
4.50 sets out the method by which a grant is calculated in a year. Total funds available for the Learned Academies Grant Program each year will be the amount appropriated for that purpose. Subject to appropriation, the amount will be indexed in accordance with Division 198 of Part 5-6 of the Act, as in force from time to time. The Learned Academies Grant Program is funded on an annual, calendar year basis, and grants are made in respect of a year.
4.55 provides that conditions on Learned Academy Program grants will be determined in writing by the Minister, or his or her delegate, under subparagraph 41-25(b)(i) of the Act.
Federation of Australian Scientific and Technological Societies Grants Program
4.60 sets out the purpose of this part of the chapter to specify the Federation of Australian Scientific and Technological Societies Grants Program as a program under which grants are made to foster understanding of the importance of, and provide research and scholarship in, science social science or humanities in Australia,and to specify the matters set out in paragraphs 41-15(2)(a),(c),(d) and (f) of the Act.
4.65 sets out the program objective which is to assist in supporting the activities of the Federation of Australian Scientific and Technological Societies, including the Federation’s role in policy formulation; raising public awareness and promoting the importance of science and technology in addressing important national issues.
4.70 sets out the method by which a grant is calculated in a year. Total funds available for the Learned Academies Grant Program each year will be the amount appropriated for that purpose. Subject to appropriation, the amount will be indexed in accordance with Division 198 of Part 5-6 of the Act, as in force from time to time. The Learned Academies Grant Program is funded on an annual, calendar year basis, and grants are made in respect of a year.
4.75 provides that conditions on Learned Academy Program grants will be determined in writing by the Minister, or his or her delegate, under subparagraph 41-25(b)(i) of the Act.
The Council for the Humanities, Arts and Social Sciences Grants Program.
4.80 sets out the purpose of this part of the chapter to specify the Council for the Humanities, Arts and Social Sciences Grants Program as a program under which grants are made to foster understanding of the importance of, and provide research and scholarship in, science social science or humanities in Australia, and to specify the matters set out in paragraphs 41-15(2)(a),(c),(d) and (f) of the Act.
4.85 sets out the program objective which is to help the Council for the Humanities, Arts and Social Sciences build the contribution of the arts, humanities and social sciences to the national innovation system.
4.90 sets out the method by which a grant is calculated in a year. Total funds available for the Council for the Humanities, Arts and Social Sciences Grants Program each year will be the amount appropriated for that purpose. Subject to appropriation, the amount will be indexed in accordance with Division 198 of Part 5-6 of the Act, as in force from time to time. The Council for the Humanities, Arts and Social Sciences Grants Program is funded on an annual, calendar year basis, and grants are made in respect of a year.
4.95 provides that conditions on the Council for the Humanities, Arts and Social Sciences Grants Program will be determined in writing by the Minister, or his or her delegate, under subparagraph 41-25(b)(i) of the Act.
Consultations
As stated previously, the Other Grants Guidelines 2006 have been revoked to reflect the Administrative Arrangement Order issued on 25 January 2008. All subsequent amendments, minor updates that have also been made to the guidelines are of a minor and machinery nature which do not substantially alter existing arrangements for the higher education sector. Therefore, the Guidelines were not distributed for consultation.
Commencements
The Other Grants Guidelines (Research) 2008 will take affect the day after they are registered on the Federal Register of Legislative Instruments.