EXPLANATORY STATEMENT
Guidelines issued under section 238-10 of the Higher Education Support Act 2003
Other Grants Guidelines (Research) 2009
Issued by the authority of the Minister for Innovation, Industry, Science and Research
Subject: Higher Education Support Act 2003
Other Grants Guidelines (Research) 2009
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 11 November 2008, the Minister for Innovation, Industry, Science and Research, the Hon. Kim Carr Senator made the Other Grants Guidelines (Research) 2008. These were registered on 26 November 2008 [F2008L04398].
The purpose of this instrument is to revoke the Other Grants Guidelines (Research) 2008 and all subsequent amendments and to make the Other Grants Guidelines (Research) 2009, to be administered by the Minister for Innovation, Industry, Science and Research.
The Other Grants Guidelines (Research) 2009 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 are to be dealt with in the Other Grants Guidelines (Research).
As part of the revocation of the Other Grants Guidelines (Research) 2008 and all subsequent amendments, minor updates have been made to the Other Grants Guidelines (Research) 2009 that are of a machinery nature which does not substantially alter existing arrangements for the higher education sector.
Chapter 1 of the Other Grants Guidelines (Research) 2009 includes details of two new programs which were approved under Program 2.1 of the Portfolio Budget Statements 2009-10 for Innovation, Industry, Science and Research. The two new programs are Joint Research Engagement and Sustainable Research Excellence (in Universities).
There are no substantive changes to the other Chapters.
Detail of the Other Grants Guidelines (Research) 2009
Chapter i
Chapter i sets out the purpose of, the defined terms used in the Other Grants Guidelines (Research) 2009 and advises that the funding for the Other Grants (Research) grants are appropriated on a financial year basis but calculated and paid on a calendar year basis.
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) of the Act 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 maintain and strengthen Australia’s knowledge base and research capabilities by developing an effective research and research training system.
1.12 sets out the objectives of the RIBG Scheme which are to:
- Remedy deficiencies in current research infrastructure;
- Enhance support for areas of research strength; and
- Ensure that areas of recognised research potential, in which institutions have taken steps to initiate high quality research activity, have access to the support necessary for development.
1.14 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) 2009.
1.16 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.
Joint Research Engagement (JRE)
1.30 states that the Joint Research Engagement (JRE) program will provide block grants, on a calendar year basis, to eligible HEPs. . From 1 January 2010, the JRE will replace the existing Institutional Grant Scheme. The JRE will give greater emphasis to end-user research by encouraging and supporting collaborative research activities between universities, industry and end-users, beyond those specifically supported by competitive grants.
1.32 sets out the objectives of the JRE which are to:
- Continue to support soft infrastructure;
- Continue to support the maintenance of capital items (not capital purchases); and
- Change the way that the level of funding for each university is calculated.
1.34 provides that the conditions on JRE 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) 2009.
1.36 provides that JRE grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act.
Sustainable Research Excellence (SRE) in Universities
1.50 states that from 1 January 2010, the SRE program will provide block grants on a calendar year basis to eligible HEPs to ensure that these institutions are better placed to meet the indirect cost of research activities that are not entirely met by the various competitive grant programs.
1.52 provides that the SRE will ensure that institutions are better placed to meet the cost of research activities that are not entirely met by the various grant programs listed on the ACGR. In addition, it will contribute to the sustainability of current research strategies within universities over the longer term. Specifically, the objectives of the SRE are to:
- Address an identified shortfall in the funding available to meet the indirect costs associated with Australian competitive grant research; and
- Support universities to build and maintain research excellence through the implementation of best practice financial management, performance and reporting frameworks.
1.54 provides that the conditions on SRE 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) 2009.
1.56 provides extra conditions of eligibility for SRE grants which will have three separate funding elements being a Base element; Threshold 1 and Threshold 2. Details regarding the elements are:
- Every HEP is eligible for funding under the Base element.
- Only those HEPs that agree to participate in transparent costing of the indirect costs of research and the ERA process will be eligible for funding under Threshold 1.
- Only those HEPs that agree to participate in transparent costing of indirect costs of research and the ERA process will be eligible for funding under Threshold 2.
- The process for undertaking transparent costing process will be determined by the Transparent Costing Specification and the process will occur annually or at some lesser frequency as determined by DIISR.
- For each year where DIISR determines that the transparent costing process is required, DIISR will, before the end of the year immediately preceding that year, contact all HEPs to seek written confirmation of their intention to participate in the process in accordance with the Transparent Costing Specification. The process for seeking confirmation and its timing will be determined by DIISR.
- Only HEPs that confirm their intention will be eligible for funding under the SRE Threshold 1 and Threshold 2 elements in respect of all Grant Years to which the transparent costing process outcomes apply.
1.58 provides that SRE 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)
1.70 states that the Institutional Grants Scheme (IGS) provides block grants, on a calendar year basis, to eligible HEPs. The IGS program will be terminated as at 31 December 2009. Commencing in the 2010 academic year, the IGS will be refocused into the new JRE program.
1.72 sets out that 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 HEP's research and research training activities;
- 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.
1.74 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) 2009.
1.76 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 and that the IGS grants are terminating payments under the Act with the last payments made in 2009. The IGS remains a program under the Act until all IGS approved rollover grants are expended.
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) 2009.
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 domestic students undertaking Doctorate and Masters Degrees by research and that these students, referred to as ‘RTS students’, are exempt from payment of student contribution amounts and tuition fees for units undertaken as part of an HDR course of study.
2.15 sets out 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 program 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) 2009.
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 states that the CTS provides block grants, on a calendar year basis, to eligible HEPs to support research commercialisation training for domestic HDR students and that these students, referred to as ‘CTS students’, are exempt from payment of student contribution amounts and tuition fees for units undertaken as part of CTS training.
2.40 sets out that the objective of the CTS is to provide high quality research commercialisation training for the next generation of Australian researchers (Doctorate and masters by research students) 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 that the conditions that apply to CTS 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) 2009. The conditions that apply to CTS grants as per Appendix 2A to Chapter 2 of the Other Grants Guidelines (Research) 2008 is not included in the Other Grants Guidelines (Research) 2009 because these conditions to the CTS grants will be used as the basis for standalone 2010 CTS Conditions of Grants.
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. The minimum CTS grant amount for 2009 is provided and advice regarding the arrangements for indexing the minimum grant amount in later years.
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 as defined in the Act; and
- must not have previously completed CTS training or training consistent with that described in paragraph 2.75 of the Guidelines.
Additional conditions relate to the following:
- 2.70.2 states students who, under any circumstances, are 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;
- 2.70.3 states 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;
- 2.70.4 states students who have commenced CTS training prior to submitting their HDR thesis may be exempted from paragraph 2.70.1(a) for a period of six months from the date of submission of their HDR thesis (subject to paragraph 2.70.3) only to allow them to complete CTS training; and
- 2.70.5 states HEPs must monitor students’ ongoing eligibility to ensure that each student continues to meet the eligibility requirements set out in these Guidelines.
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 a mandatory area of learning) 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 sets out when CTS training can be interrupted. Students may 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.
- 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
Item 10 of the table in subsection 41-10(1) of the Act specifies that Table A providers and bodies corporate that are specified in the Other Grants Guidelines for the purposes of this item are eligible for Grants to support the development of systemic infrastructure used by higher education providers. Chapter 3 specifies the Australian Scheme for Higher Education Repositories (ASHER) and the Implementation Assistance Program (IAP) 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.
3.1 sets out the purpose of Chapter 3 of the Other Grants Guidelines (Research) 2009.
3.5 in addition to eligible HEPS, sets out the bodies corporate eligible for grants under the ASHER and the IAP.
Australian Scheme for Higher Education Repositories (ASHER)
3.15 states that the ASHER assists eligible HEPs and the bodies corporate listed in paragraph 3.5.1 with establishing university digital data storage.
3.20 Sets out that the objectives of the ASHER are to:
- Provide support to establish and refine a digital repository; and
- Provide support to populate digital repositories with research outputs and publications with the aim of increasing the amount of open access material.
3.25 provides that the conditions that apply to ASHER grants will be determined in writing by the Minister, or his or her delegate, under subparagraph 41-25(b)(i) of the Act.
3.30 provides that ASHER grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act and that the ASHER grants are terminating payments under the Act with the last payments due in calendar year 2009.
Implementation Assistance Program (IAP)
3.40 states that the IAP assists eligible HEPs and the bodies corporate listed in paragraph 3.5.1 in meeting the costs of changing the nature and amount of information they collect about researchers and research.
3.45 Sets out that the objectives of the IAP are to:
- Develop and implement new data gathering and reporting systems for bibliometrics and other data as part of the Excellence in Research for Australia (ERA) initiative; and
- Meet the costs of gathering and reporting bibliometrics and other data.
3.50 provides that the conditions that apply to IAP grants will be determined in writing by the Minister, or his or her delegate, under subparagraph 41-25(b)(i) of the Act.
3.55 provides that IAP grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act and that the IAP grants are terminating payments under the Act with the last payments due in calendar year 2010.
Chapter 4 Grants for activities that foster an understanding of importance of, or promote research and scholarship in, science, social science or the humanities in Australia
Item 11(b) of the table in subsection 41-10(1) of the Act specifies that Table A providers and bodies corporate that are specified in the Other Grants Guidelines for the purposes of this item are eligible for Grants to foster an understanding of importance of, or promote research and scholarship in, science, social science or the humanities in Australia. Chapter 4 specifies the program that is eligible to receive grants to foster an understanding of importance of, or promote research and scholarship in, science, social science or the humanities in Australia This program is known as the Higher Education Research Promotion (HERP).
4.1 sets out the purpose of Chapter 4 of the Other Grants Guidelines (Research) 2009.
4.5 sets out the bodies corporate eligible for grants under the HERP and these are:
- The Australian and New Zealand Association for the Advancement of Science (ANZAAS);
- The Council for the Humanities, the Arts and the Social Sciences (CHASS);
- The Federation of Australian Societies for the Technological Sciences (FASTS); and
- The Learned Academies as follows:
- The Australian Academy of the Humanities (AAH);
- The Australian Academy of Science (AAS);
- The Australian Academy of Technological Sciences and Engineering (AATSE);
- The Academy of Social Sciences in Australia (ASSA); and
- The National Academies Forum (NAF) (peak body for the Learned Academies) with the funding provided through the ASSA.
4.10 states that 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.
4.15 sets out the objectives for each of the body corporate grant recipients.
4.20 provides that the conditions that apply to the HERP grants will be determined in writing by the Minister, or his or her delegate, under subparagraph 41-25(b)(i) of the Act.
4.25 provide that the HERP grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act.