Other Grants Guidelines (Research) 2009
Higher Education Support Act 2003
I, KIM CARR, Minister for Innovation, Industry, Science and Research, pursuant to section 238-10 of the Higher Education Support Act 2003 ("the Act"), revoke the Other Grants Guidelines (Research) 2008, dated 11 November 2008, and all subsequent amendments insofar as they relate to the portfolio responsibilities specified in the Administrative Arrangements Orders dated 25 January 2008,in particular, section 41-10(1), items 7, 8, 10 and 11(b) of the Act, and make the attached Other Grants Guidelines (Research) 2009 for the purposes of section 41-5 of the Act.
Dated 24 September. 2009
KIM CARR
Senator the Hon Kim Carr
Minister for Innovation, Industry, Science and Research
Part 1 Preliminary
1 Name of Guidelines
These Guidelines may be cited as the Other Grants Guidelines (Research) 2009.
2 Commencement
These Guidelines commence on the day after they are registered.
3 Authority
These Guidelines are made under section 238‑10 of the Higher Education Support Act 2003 for the purposes of Part 2‑3 of the Act, insofar as they relate to the portfolio responsibilities specified in the Administrative Arrangements Orders dated 25 January 2008.
4 Revocation
The Other Grants Guidelines (Research) 2008, dated 11 November 2008, and all subsequent amendments in relation to section 41-10(1), items 7, 8, 10 and 11(b) of the Act are revoked.
5 Transitional Arrangements
The revocation of the Other Grants Guidelines (Research) 2008, dated 11 November 2008, 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) 2009
COMMONWEALTH OF AUSTRALIA
Higher Education Support Act 2003
TABLE OF CONTENTS page
CHAPTER i INTRODUCTION. 5
i.i PURPOSE. 5
i.v INTERPRETATION. 5
Transparent Costing Specification A document published by DIISR specifying the Staff Survey methodology, Indirect Cost Categories and Indirect Costs for use in determining the indirect costs of research funded by schemes on the ACGR. 6
i.x OTHER GRANT FUNDING APPROPRIATION AND PAYMENTS. 6
CHAPTER 1 GRANTS TO SUPPORT RESEARCH BY, AND THE RESEARCH CAPABILITY OF, HIGHER EDUCATION PROVIDERS 7
INTRODUCTION 7
1.1 Purpose. 7
RESEARCH INFRASTRUCTURE BLOCK GRANTS SCHEME. 7
1.10 RIBG Scheme Description. 7
1.12 RIBG Scheme Objectives. 7
1.14 Conditions that Apply to RIBG Scheme Grants. 7
1.16 RIBG Scheme Grant Amounts. 8
JOINT RESEARCH ENGAGEMENT. 8
1.30 JRE Description. 8
1.32 JRE Objectives. 8
1.34 Conditions that Apply to JRE Grants. 8
1.36 JRE Grant Amounts. 8
SUSTAINABLE RESEARCH EXCELLENCE (IN UNIVERSITIES) 8
1.50 SRE Description. 8
1.52 SRE Objectives. 9
1.54 Conditions that Apply to SRE Grants. 9
1.56 Extra Conditions of Eligibility for SRE Grants. 9
1.58 SRE Grant Amounts. 10
INSTITUTIONAL GRANTS SCHEME. 10
1.70 IGS Description. 10
1.72 IGS Objectives. 10
1.74 Conditions that Apply to IGS Grants. 10
1.76 IGS Grant Amounts. 10
CHAPTER 2 GRANTS TO SUPPORT THE TRAINING OF RESEARCH STUDENTS. 11
INTRODUCTION 11
2.1 Purpose. 11
RESEARCH TRAINING SCHEME. 11
2.10 RTS Description. 11
2.15 RTS Objectives. 11
2.20 Conditions that Apply to RTS Grants. 12
2.25 RTS Grant Amounts. 12
COMMERCIALISATION TRAINING SCHEME. 12
2.35 CTS Description. 12
2.40 CTS Objective. 12
2.45 Conditions that Apply to CTS Grants. 12
2.50 Extra Conditions of Eligibility for CTS Grants. 12
2.55 How CTS Grants will be Determined. 13
2.60 Payment of CTS Grants. 15
2.65 Use of CTS Grants. 15
2.70 Student Eligibility for CTS Training. 15
2.75 CTS Training. 16
2.80 Interruptions to CTS Training. 17
2.90 Application, Selection and Offer Processes for CTS Training. 18
Appendix 2A: Conditions of CTS Grants.
CHAPTER 3 GRANTS TO SUPPORT THE DEVELOPMENT OF SYSTEMIC INFRASTRUCTURE. 26
3.1 Purpose. 26
3.5 Bodies Corporate Eligible to Receive IAP and ASHER Grants. 26
AUSTRALIAN SCHEME FOR HIGHER EDUCATION REPOSITORIES. 26
3.15 ASHER Description. 26
3.20 ASHER Objective. 26
3.25 Conditions that Apply to ASHER Grants. 26
3.30 ASHER Grant Amounts. 27
IMPLEMENTATION ASSISTANCE PROGRAM.. 27
3.40 IAP Description. 27
3.45 IAP Objective. 27
3.50 Conditions that Apply to IAP Grants. 27
3.55 IAP Grant Amounts. 27
CHAPTER 4 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.. 28
4.1 Purpose. 28
HIGHER EDUCATION RESEARCH PROMOTION. 28
4.5 Bodies Corporate Eligible to Receive Grants. 28
4.10 HERP Description. 28
4.15 HERP Objectives. 28
4.20 Conditions that Apply to HERP Grants. 29
4.25 HERP Grant Amounts. 29
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 (the Act).
i.v INTERPRETATION
i.v.i Unless the contrary intention appears, the terms within the Other Grants Guidelines (Research) 2009 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
AAS Australian Academy of Science
AATSE Australian Academy of Technological Science and Engineering
ACGR Australian Competitive Grants Register
ANZAAS Australian and New Zealand Association for the Advancement of Science
APAs Australian Postgraduate Awards Scheme
ASCED Australian Standard Classification of Education
ASHER Australian Scheme for Higher Education Repositories
ASSA Academy of Social Sciences of Australia
CHASS Council for the Humanities, Arts and Social Sciences
CTS Commercialisation Training Scheme
DEEWR means the Australian Government Department of Education, Employment and Workplace Relations
DIISR means the Australian Government Department of Innovation, Industry, Science and Research
ERA Excellence in Research for Australia, a process for determining the quality of research in higher education providers that is administered by the Australian Research Council.
FASTS Federation Australian Scientific and Technological Societies
HDR Higher Degree by Research
HEP Higher Education Provider
HERDC is the Higher Education Research Data Collection which is managed by DIISR
HERP Higher Education Research Promotion
HESDC is the Higher Education Student Data Collection which is managed by DEEWR
IAP Implementation Assistance Program
IGS Institutional Grants Scheme
JRE Joint Research Engagement
NAF National Academies Forum
RIBG Research Infrastructure Block Grants
RTS Research Training Scheme
RPF Regional Protection Fund
SRE Sustainable Research Excellence (in Universities)
Transparent Costing Specification A document published by DIISR specifying the Staff Survey methodology, Indirect Cost Categories and Indirect Costs for use in determining the indirect costs of research funded by schemes on the ACGR.
i.v.iii Unless stated otherwise, references to paragraphs refer to paragraphs in these Guidelines
i.x OTHER GRANT FUNDING APPROPRIATION AND PAYMENTS
i.x.i 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
INTRODUCTION
1.1 Purpose
1.1.1 The purpose of this chapter is to specify:
(1) In accordance with section 41-15(1) of the Act for the purpose described at Item 7 of the table in section 41-10 of the Act:
(a) The Research Infrastructure Block Grants (RIBG) Scheme;
(b) The Joint Research Engagement (JRE) program;
(c) The Sustainable Research Excellence (SRE) in Universities program; and
(d) The Institutional Grants Scheme (IGS).
(2) Under section 41-15(2) of the Act, some other matters relevant to the Research Block Grants listed in paragraph 1.1.1(1) above.
RESEARCH INFRASTRUCTURE BLOCK GRANTS SCHEME
1.10 RIBG Scheme Description
1.10.1 The RIBG Scheme provides block grants, on a calendar year basis, to eligible Higher Education Provider (HEPs) to maintain and strengthen Australia’s knowledge base and research capabilities by developing an effective research and research training system.
1.12 RIBG Scheme Objectives
1.12.1 The objectives of the RIBG Scheme are to:
(1) Remedy deficiencies in current research infrastructure;
(2) Enhance support for areas of research strength; and
(3) 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 Conditions that Apply to RIBG Scheme Grants
1.14.1 Conditions that apply to RIBG scheme grants will be determined in writing by the Minister, or his or her delegate, under section 41-25(b)(i) of the Act. The latest version of the Conditions of Grant for the RIBG scheme is linked from the RIBG page on the Innovation Internet’s “Research Block Grants” web site.
1.16 RIBG Scheme Grant Amounts
1.16.1 The RIBG scheme grant amounts will be determined in writing by the Minister, or his or her delegate, under section 41-30(b) of the Act.
JOINT RESEARCH ENGAGEMENT
1.30 JRE Description
1.30.1 The JRE 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 (IGS). 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 JRE Objectives
1.32.1 The objectives of the JRE are to:
(1) Continue to support soft infrastructure;
(2) Continue to support the maintenance of capital items (not capital purchases); and
(3) Change the way that the level of funding for each university is calculated.
1.34 Conditions that Apply to JRE Grants
1.34.1 Conditions that apply to JRE grants will be determined in writing by the Minister, or his or her delegate, under section 41-25(b)(i) of the Act. The latest version of the Conditions of Grant for the JRE program is linked from the “JRE” page on the Innovation Internet’s “Research Block Grants” web site.
1.36 JRE Grant Amounts
1.36.1 The JRE grant amounts will be determined in writing by the Minister, or his or her delegate, under section 41-30(b) of the Act.
SUSTAINABLE RESEARCH EXCELLENCE (IN UNIVERSITIES)
1.50 SRE Description
1.50.1 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 SRE Objectives
1.52.1 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.
1.52.2 Specifically, the objectives of the SRE are to:
(1) Address an identified shortfall in the funding available to meet the indirect costs associated with Australian competitive grant research; and
(2) Support universities to build and maintain research excellence through the implementation of best practice financial management, performance and reporting frameworks.
1.54 Conditions that Apply to SRE Grants
1.54.1 Conditions that apply to SRE grants will be determined in writing by the Minister, or his or her delegate, under section 41-25(b)(i) of the Act.
1.56 Extra Conditions of Eligibility for SRE Grants
1.56.1 The SRE will have three separate funding elements:
(1) Base
(2) Threshold 1
(3) Threshold 2
1.56.2 Every HEP is eligible for funding under the Base element.
1.56.3 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.
1.56.4 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.
1.56.5 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.
1.56.6 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.
1.56.7 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 SRE Grant Amounts
1.58.1 The SRE grant amounts will be determined in writing by the Minister, or his or her delegate, under section 41-30(b) of the Act.
INSTITUTIONAL GRANTS SCHEME
1.70 IGS Description
1.70.1 The 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 IGS Objectives
1.72.1 The specific objectives of the IGS are to:
(1) Support the general fabric of HEP's research and research training activities;
(2) Allow HEPs to manage their own research activities and set their own priorities;
(3) Assist HEPs to respond flexibly to their research environment in accordance with their own strategies; and
(4) Enhance support for areas of research strength.
1.74 Conditions that Apply to IGS Grants
1.74.1 Conditions that apply to IGS grants will be determined in writing by the Minister, or his or her delegate, under subparagraph 41-25(b)(i) of the Act. The latest version of the Conditions of Grant for the IGS program is linked from the “IGS” page on the Innovation Internet’s “Research Block Grants” web site.
1.76 IGS Grant Amounts
1.76.1 The IGS grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act.
1.76.2 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
INTRODUCTION
2.1 Purpose
2.1.1 The purpose of this chapter is to specify:
(1) In accordance with section 41-15(1) of the Act for the purpose described at Item 8 of the table in section 41-10 of the Act:
(a) The Research Training Scheme (RTS) as a program under which grants can be paid for the purpose of supporting the training of higher degree by research (HDR) students; and
(b) The Commercialisation Training Scheme (CTS) as a program under which grants can be paid for the purpose of supporting the training of HDR students in research commercialisation.
(2) Under section 41-15(2) of the Act, some other matters relevant to the Research Block Grants listed in paragraph 2.1.1(1) above.
RESEARCH TRAINING SCHEME
2.10 RTS Description
2.10.1 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.
2.10.5 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 RTS Objectives
2.15.1 The objectives of the RTS are to:
(1) Enhance the quality of research training provision in Australia;
(2) Improve the responsiveness of HEPs to the needs of their research students;
(3) Encourage HEPs to develop their own research training profiles;
(4) Ensure the relevance of research degree programs to labour market requirements; and
(5) Improve the efficiency and effectiveness of research training.
2.20 Conditions that Apply to RTS Grants
2.20.1 Conditions that apply to RTS grants will be determined in writing by the Minister, or his or her delegate, under section 41-25(b)(i) of the Act. The latest version of the Conditions of Grant for the RTS program is linked from the “RTS” page on the Innovation Internet’s “Research Block Grants” web site.
2.25 RTS Grant Amounts
2.25.1 The RTS grant amounts will be determined in writing by the Minister, or his or her delegate, under section 41-30(b) of the Act.
COMMERCIALISATION TRAINING SCHEME
2.35 CTS Description
2.35.1 The CTS provides block grants, on a calendar year basis, to eligible HEPs to support research commercialisation training for domestic HDR students.
2.35.2 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 CTS Objective
2.40.1 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 Conditions that Apply to CTS Grants
2.45.1 Conditions that apply to CTS grants will be determined in writing by the Minister, or his or her delegate, under section 41-25(b)(i) of the Act. The latest version of the Conditions of Grant for the CTS program is linked from the “CTS” page on the Innovation Internet’s “Research Block Grants” web site.
2.50 Extra Conditions of Eligibility for CTS Grants
2.50.1 Before the end of the year immediately preceding any particular Grant Year, DIISR will contact all HEPs to seek written confirmation of their intention to comply with the requirements set out in these Guidelines for the CTS for the Grant Year. The process for seeking confirmation and its timing will be determined by DIISR and provided annually to HEPs.
2.50.2 Only HEPs that confirm their intent will be eligible for CTS funding in respect of the Grant Year.
2.55 How CTS Grants will be Determined
2.55.1 HEPs preliminary CTS grant amounts will be determined according to the total CTS funds available multiplied by each HEP's share of the initial CTS performance index which includes all eligible HEPs and is calculated according to paragraph 2.55.3. If all preliminary grant amounts are greater than the minimum CTS grant amount (as specified in paragraph 2.55.4), then the preliminary grant amounts become the final CTS grant amounts.
2.55.2 Where one or more HEPs have a preliminary grant amount less than or equal to the minimum CTS grant amount, but greater than zero, these HEPs’ final CTS grant amount will be equal to the minimum CTS grant amount. The final CTS grant amounts for all “remaining HEPs” (i.e. those HEPs not allocated a minimum grant amount) are then determined according to a formula calculated as follows:
(1- ratio) x secondary grant amount + minimum CTS grant amount
Where:
(1) The "ratio” is equal to the “excess amount” divided by the sum of the remaining HEPs’ “secondary CTS grant amounts”; and
(2) The excess amount is equal to the remaining HEPs preliminary grant amounts plus all minimum grant amounts previously allocated minus the total CTS funds available for the Grant Year; and
(3) For each remaining HEP, the secondary CTS grant amount is equal to its preliminary CTS grant amount minus the minimum CTS grant amount.
The CTS performance index
2.55.3 The CTS performance index is a list of the relative performances of a group of HEPs defined for a particular purpose.
(1) The relative performances are expressed as a percentage of the sum of all performances within the defined group. Each HEP’s percentage is known as a share.
(2) A share is the sum of three performance components after each has been multiplied by a proportioning factor:
(a) HDR student completions performance has a proportioning factor of 0.5;
(b) Research Income performance has a proportioning factor of 0.4; and
(c) Research Publications performance has a proportioning factor of 0.1.
HDR student completions performance
(3) HDR student completions performance for a HEP is equal to a HEP’s weighted completions divided by total weighted completions of a defined group of HEPs.
(4) Weighted completions equals the sum of all categories of completions after each has been multiplied by the specified weighting factor:
(a) Doctorate degree by research has a weighting factor of 2; and
(b) Masters degree by research has a weighting factor of 1.
(5) Each category of data is the average of the most recent two years for which data is available and is sourced from the Higher Educations Student Data Collection (HESDC).
Research income performance
(6) Research income performance for a HEP is equal to a HEP’s weighted research income divided by total weighted Research income of a defined group of HEPs.
(7) Weighted research income equals the sum of all categories of research income after each has been multiplied by the specified weighting factor:
(a) Australian Competitive Grants Income has a weighting factor of 1;
(b) Other Public Sector Research Income has a weighting factor of 1;
(c) Industry and Other Research Income has a weighting factor of 1; and
(d) Cooperative Research Centres Research Income has a weighting factor of 1.
(8) Each category of data is the average of the most recent two years for which data is available and is sourced from the Higher Education Research Data Collection (HERDC).
Research publications performance
(9) Research publications performance for a HEP is equal to a HEP’s weighted research publications divided by total weighted research publications of a defined group of HEPs.
(10) Weighted research publications equals the sum of all categories of research publications after each has been multiplied by the specified weighting factor:
(a) Books have a weighting factor of 5 ;
(b) Book chapters have a weighting factor of 1;
(c) Journal articles have a weighting factor of 1; and
(d) Conference papers have a weighting factor of 1.
(11) Each category of data is the average of the most recent two years for which data is available and is sourced from the HERDC.
Minimum Grant Amounts
2.55.4 2009. The minimum CTS grant in respect of 2009 was $21,671 for a HEP.
2.55.5 2010 and Later Years. The minimum CTS grant amount of $21,671 that applied in 2009 will be indexed for subsequent years in accordance with the method of indexation set out in Part 5‑6 of the Act.
2.60 Payment of CTS Grants
2.60.1 CTS grants will be made to the HEPs by instalments in the manner and at the times determined by the Minister and the Secretary, respectively, under sections 164-5(1) and (2) of the Act.
2.65 Use of CTS Grants
2.65.1 A HEP must spend CTS grants only on:
(1) Providing CTS training to its CTS students; or
(2) Payments to another HEP to provide CTS training on behalf of the HEP in accordance with a separate written agreement between the HEPs.
2.65.2 In addition to providing CTS training as specified in paragraph 2.65.1, a HEP may make payments to its CTS students in order to assist them to meet the direct costs of undertaking CTS training such as the provision of a stipend for living costs or the provision of allowances.
2.70 Student Eligibility for CTS Training
2.70.1 To be eligible to receive benefit under the CTS, a student must:
(1) Be enrolled in a HDR; and
(2) Be a domestic student, as defined in the Act; and
(3) Not have previously completed CTS training or training consistent with that described in paragraph 2.75.
2.70.2 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 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 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.
2.70.5 HEPs must monitor students’ ongoing eligibility to ensure that each student continues to meet the eligibility requirements set out in these Guidelines.
Provision of False Information
2.70.6 If a HEP knows or has reason to believe that a student in receipt of benefit under the program has provided false or misleading information to the HEP in relation to the program, the HEP must immediately:
(1) Re-assess the student’s entitlement to benefit under the program; and
(2) Notify DIISR of the suspected offence and provide a copy of the student’s application and any other relevant information requested by DIISR.
2.75 CTS Training
2.75.1 General Requirements. CST training must:
(1) Result in a Graduate Certificate qualification being awarded by a Table A or Table B HEP (as specified in section 16-15 or section 16-20 of the Act) to students that complete CTS training to the satisfaction of the HEP; and
(2) Take no longer than six months full-time study or equivalent part-time study to complete; and
(3) Be in addition to a student’s HDR course load; and
(4) Add value to a student’s HDR experience; and
(5) Enhance a student’s career prospects; and
(6) Be customised to meet individual student needs wherever possible; and
(7) Involve industry and other relevant expertise in the on-going development, delivery and evaluation of the training.
2.75.2 Course Requirements. CTS Training courses must demonstrate capacity to provide learning in three knowledge areas being commercialisation know-how, technical commercialisation skills and organisational behaviour skills. Details are:
(1) Commercialisation know-how: Students must gain an understanding of commercialisation processes and activities commonly employed to bring research based ideas, inventions and innovations to market;
(2) Technical commercialisation skills: Students must gain a comprehensive understanding of relevant technical commercialisation subject areas. Intellectual Property management is a mandatory area of learning. Other technical commercialisation subject areas covered may be determined by HEPs taking into account individual student needs but, wherever possible, should include financial management, project management and market research; and
(3) Organisational behaviour skills: Students must gain a comprehensive understanding of subject areas that cover interpersonal and communication skills relevant to research commercialisation activities including leadership, teamwork and presentation skills.
2.75.3 CTS 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 The requirements at paragraphs 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 Interruptions to CTS Training
2.80.1 Suspensions. Students may apply to their HEP for a suspension of their CTS training. The approval of suspensions will be at the discretion of the HEP.
2.80.2 Leave. Students may apply to their HEP for leave during their CTS training. The approval of leave will be at the discretion of the HEP.
2.80.3 Transfer to another HEP. Students who transfer to another HEP may continue to receive CTS training from the new HEP and associated assistance only 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 Termination of CTS Training
2.85.1 A HEP must terminate a student’s CTS training:
(1) If the student ceases to meet the eligibility criteria specified in paragraph 2.70.1, other than during a period in which the CTS training has been suspended or during a period of leave under paragraphs 2.80.1 or 2.80.2; or
(2) When the student completes the course of study; or
(3) If the HEP determines that:
(a) The 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
(b) The student has committed serious misconduct, including, but not limited to the provision of false or misleading information in terms of paragraph 2.70.6.
2.85.2 If CTS training is terminated, it cannot be re-activated unless the termination occurred in error.
2.90 Application, Selection and Offer Processes for CTS Training
2.90.1 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 The HEP must conduct a competitive application process for selecting students to receive CTS training.
2.90.3 All applications by students for CTS training must be submitted to the HEP in the form approved and by the date determined by the HEP.
2.90.4 The HEP must include the following statement on the application form, immediately prior to the applicant’s signature block: “Giving false or misleading information is a serious offence under the Criminal Code (Commonwealth)”.
Selection Process
2.90.5 The HEP must maintain a CTS selection policy which accords with these Guidelines and the relevant provisions in the Act, including the fairness requirements in Subdivision 19-D of Part 2-1 of the Act. A HEP must select students for CTS training in accordance with the policy.
2.90.6 The HEP must preferentially select students the HEP considers will have the best prospects of pursuing a career that will utilise the skills, knowledge and experience gained during CTS training.
2.90.7 The HEP must be satisfied that CTS training would neither unduly hinder a student’s HDR progress nor compromise the quality of the outputs of the HDR.
Offer Process
2.90.8 The HEP must offer CTS training to as many students as it can support through its CTS grant, taking into account:
(1) Any liabilities arising from previous offers of CTS training to students;
(2) Any liabilities arising from CTS training arrangements with other HEPs to deliver CTS training; and
(3) Any roll-over of grant amounts as provided for in section 41-40 of the Act.
2.90.9 The HEP must only offer a student CTS training as a result of:
(1) An application lodged as part of a competitive application process; or
(2) The HEPs agreeing to continue CTS training for a student who is transferring from another HEP.
2.90.10 The HEP must offer CTS training to a student in writing and advise the student in writing of the assistance to which they are entitled and the conditions of CTS training. The written offer must detail any arrangements under which CTS training will be delivered by another HEP or the Graduate Certificate qualification will be conferred by another HEP or jointly with another HEP.
Appendix 2A: Conditions of CTS Grants
Note: Under subparagraph 41-25(b)(i) of the Act, the Other Grant Guidelines (which are defined in section 41-5 of the Act) may specify conditions that apply to a grant.
MEANING OF WORDS
“Act” means the Higher Education Support Act 2003;
“Auditor-General” means the office established under the Auditor-General Act 1997 and includes any other entity that may, from time to time, perform the functions of that office;
“Conditions of Grant” means these conditions of grant;
“Department” or “DIISR” means the Commonwealth Department of Innovation, Industry, Science and Research;
“Grant” means a CTS grant;
“Grant Amount” means the amount of the Grant calculated in accordance with chapter 2 of the Guidelines, and of which the Department has notified the Recipient;
“HERDC Specifications” means the specifications for “Higher Education Research Data Collection”, detailed at: http://www.innovation.gov.au/ScienceAndResearch/programs_funding/Pages/highereducationresearchdatacollection.aspx
“HDR” means higher degree by research which is a Doctorate or Masters course for which at least two-thirds of the student load for the course is required as research work;
“HEP” has the same meaning as it does in the Act;
“Intellectual Property Rights” or “IPRs” includes all copyright (including rights in relation to phonograms and broadcasts), all rights in relation to inventions (including patent rights), plant varieties, registered and unregistered trademarks (including service marks), registered designs, circuit layouts and all other rights resulting from intellectual activity in the industrial, scientific, literary or artistic fields;
“Material” means any document, software (including source code and object code), or information or data stored by any means;
“Minister” means the Commonwealth Minister for Innovation, Industry, Science and Research;
“personal information” has the same meaning as it does in the Privacy Act;
“Privacy Act” means the Privacy Act 1988;
“Program” means the Commercialisation Training Scheme;
“Program Delegate” means the person from time to time holding the office of Director in the Department’s Research Policy and Programs Section;
“Recipient” means the body corporate to which the Grant is made, being a Table A provider or a Table B provider specified in section 16-15 or section 16-20 of the Act;
“Reporting Year” means the year following the year in respect of which the Grant is made;
“Reports” means the reports specified in clause 2.1;
“Secretary” means the Secretary of the Department of Innovation, Industry, Science and Research;
“Third-party IPRs” means the IPRs in any Third-party Material;
“Third-party Material” means any Material incorporated or supplied with the Reports in which the IPRs are owned by a third party alone or jointly with any other party; and
“Year” means the year in respect of which the Grant is made, and of which the Department has notified the Recipient.
1. THE GRANT
1.1. The Grant is made in respect of the Year, and must be spent only in accordance with the Conditions of Grant and chapter 8 of the Other Grants Guidelines (Research) made under section 238-10 of the Act.
1.2. If the Recipient fails to spend an amount of the Grant (the “Unspent Amount”), the Recipient may request in writing to the Secretary, or the Program Delegate, in accordance with requirements for the “Request for Rollover of Unspent Grant Amount” (the “Request”) specified in clauses 1.3 and 1.4, that the Secretary:
1.2.1. determine under paragraph 41-40(1)(b) of the Act that section 41-40 of the Act applies to the Recipient in respect of the Grant;
1.2.2. specify under subsection 41-40(1) of the Act a part of the Unspent Amount that is taken to be granted to the Recipient under Part 2-3 of the Act in respect of the year next following the Year (the “Rollover Grant”); and
1.2.3. determine under paragraph 41-40(3)(b) such other conditions under which the Rollover Grant is taken to be made.
1.3. Requirements concerning Requests (including a proforma that the Recipient may use for making a Request) are set out at: http://www.innovation.gov.au/ScienceAndResearch/programs_funding/Pages/About_RBG.aspx
1.4. The Recipient must not spend any of the Unspent Amount for any purpose without first receiving written notice from the Secretary (or a person acting on behalf of the Secretary) giving details of the Secretary’s determinations and specification referred to in clauses 1.2.1 to 1.2.3, above.
1.5. The Recipient must:
1.5.1. notify the Minister (or the Minister’s delegate) in writing of any event that may significantly affect the Recipient’s capacity to meet these Conditions of Grant; and
1.5.2. provide the Minister (in the form required by the Minister and at such times specified by the Minister) with such other information that the Minister by notice in writing requires from the Recipient in respect of the Grant or compliance by the Recipient with these Conditions of Grant.
2. REPORTING
2.1. The Recipient must provide DIISR with the Reports and other information specified in the following table in accordance with any requirements specified in the table or in clause 2.2:
Description of Report
Form of Submission
Due Date
Request for Rollover of Unspent Grant Amount
Electronic
30 June of the Reporting Year (or unless otherwise notified)
HERDC Research Income Return-Return 1, as specified in the HERDC Specifications
Electronic
HERDC Research Publications Return-Return 2, as specified in the HERDC Specifications
Electronic
HERDC Audit Certificate
Hard Copy
HERDC Vice-Chancellor’s Certification Statement
Hard Copy
Commercialisation Training Scheme Non-Financial Report
Electronic
2.2. From time to time, the Department will notify the Recipient of any requirements applying to electronic submission of Reports under clause 2.1.
3. DISSEMINATION
3.1. The Commonwealth may publicise the award of any Grant to the Recipient and information about any aspect of these Conditions of Grant at any time, in such manner and to such parties as it sees fit.
4. ACKNOWLEDGMENTS, PUBLICATIONS AND PUBLICITY
4.1. In all CTS training related promotional material, publications, speeches, media releases, and brochures the Recipient must acknowledge the contribution made by the Commonwealth. In particular, the Recipient should ensure that:
4.1.1. the acknowledgment is prominently recorded and commensurate with that given to state or local government, corporate or other sponsors;
4.1.2. any formal statement issued in relation to any aspect of the project, including speeches, media releases, brochures, should make reference to the Commonwealth contribution;
4.1.3. any signs and plaques erected in association with a project must acknowledge the Commonwealth’s assistance; and
4.1.4. where an official opening or launch is proposed for a project the Commonwealth Minister is to be invited to attend or to send a representative.
5. DISCLOSURE OF INFORMATION
5.1. DIISR gives no undertaking to keep confidential the Conditions of Grant or any information in the Reports.
6. INDEMNITY
6.1. The Recipient must indemnify the Commonwealth against any:
6.1.1. loss or liability incurred by the Commonwealth;
6.1.2. loss of or damage to Commonwealth property; or
6.1.3. loss or expense incurred by the Commonwealth in dealing with any claim against the Commonwealth, including legal costs and expenses on a solicitor/own client basis and the cost of time spent, resources used, or disbursements paid by the Commonwealth;
arising from:
6.1.4. any act or omission by the Recipient, or any of the Recipient’s employees, agents, or subcontractors in connection with these Conditions of Grant, where there was fault on the part of the person whose conduct gave rise to that liability, loss, damage, or expense;
6.1.5. any breach by the Recipient or any of the Recipient’s employees, agents, or subcontractors of obligations or warranties under these Conditions of Grant;
6.1.6. any use or disclosure by the Recipient, or its officers, employees, agents or subcontractors of personal information held or controlled in connection with these Conditions of Grant; or
6.1.7. the use by the Commonwealth of the Reports, including any claims by third parties about the ownership or right to use Intellectual Property Rights (including moral rights, as defined in the Copyright Act 1968) in the Reports.
6.2. The Recipient’s liability to indemnify the Commonwealth will be reduced proportionally to the extent that any fault on the part of the Commonwealth contributed to the relevant loss, damage, expense, or liability.
6.3. The Commonwealth’s right to be indemnified is in addition to, and does not exclude, any other right, power, or remedy provided by law, but the Commonwealth is not entitled to be compensated in excess of the amount of the relevant loss, damage, expense or liability.
6.4. In this clause 6, “fault” means any negligent or unlawful act or omission or wilful misconduct.
7. ACCESS TO PREMISES AND RECORDS
7.1. The Recipient must at all reasonable times give:
7.1.1. the Auditor-General;
7.1.2. the Privacy Commissioner (meaning the Office of the Privacy Commissioner, established under the Privacy Act, including any other entity that may, from time to time, perform the functions of that Office);
7.1.3. the person occupying the position of Head of Science and Research Division in DIISR;
7.1.4. or any person authorised in writing by the Secretary:
(i) reasonable access to:
A. the Recipient’s employees;
B. premises occupied by the Recipient;
C. Material; and
(ii) reasonable assistance to:
A. locate and inspect Material;
B. make copies of Material and remove those copies,
relevant to any Grant.
7.2. The rights referred to in clause 7.1 are subject to:
7.2.1. the provision of reasonable prior notice to the Recipient; and
7.2.2. the Recipient’s reasonable security procedures.
7.3. If a matter is being investigated which, in the opinion of any person authorised in writing by the Secretary of DIISR, may involve an actual or apprehended breach of the law, clause 7.2.1 will not apply.
7.4. The requirement for access specified in clause 7.1 does not in any way reduce the Recipient’s responsibility to perform its obligations under these Conditions of Grant.
8. INTELLECTUAL PROPERTY RIGHTS IN THE REPORTS
8.1. Subject to this clause 8, ownership of the Reports and the Intellectual Property Rights in them vest immediately in the Recipient.
8.2. The Recipient grants to the Commonwealth a permanent, irrevocable, free, world wide, non-exclusive licence (including a right of sub-licence) to use, reproduce, adapt the Intellectual Property Rights in the Reports for any purpose.
8.3. If requested to do so, the Recipient must arrange for the grant to the Commonwealth of a licence over Third-party IPRs in the same terms as set out in clause 8.2.
8.4. The Recipient must, if requested by the Commonwealth to do so, bring into existence, sign, execute or otherwise deal with any document which may be necessary or desirable to give effect to this clause 8.
8.5. The Recipient warrants that it:
8.5.1. is entitled, or will be entitled at the relevant time, to deal with the Intellectual Property Rights in the Reports (including Third-party IPRs) in accordance with this clause 8; and
8.5.2. will obtain valid written consents from all authors (including any authorised subcontractors under these Conditions of Grant) involved in creating Reports and Third-party Material so that the Commonwealth’s use of the Reports or Third-party Material in any way will not infringe any author’s moral rights under the Copyright Act 1968.
9. COMPLIANCE WITH LAWS AND POLICIES
9.1. The Recipient must:
9.1.1. comply with the “Information Privacy Principles” (as defined in the Privacy Act) when doing any act or engaging in any practice in relation to personal information for the purposes of these Conditions of Grant as if the Recipient were an agency as defined in the Privacy Act; and
9.1.2. deal with personal information received, created or held by the Recipient for the purposes of these Conditions of Grant only to fulfil its obligations under these Conditions of Grant; and
9.1.3. ensure that any contractor engaged by the Recipient to perform any of the Recipient’s obligations under these Conditions of Grant are contractually bound to comply with the Information Privacy Principles.
9.2. The Recipient acknowledges that where it is required to give information to DIISR, giving false or misleading information is a serious offence under the Criminal Code.
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CHAPTER 3 GRANTS TO SUPPORT THE DEVELOPMENT OF SYSTEMIC INFRASTRUCTURE
3.1 Purpose
3.1.1 The purpose of this chapter is to specify:
(1) In accordance with section 41-15(1) of the Act for the purpose described at Item 10 of the table in section 41-10 of the Act:
(a) The Australian Scheme for Higher Education Repositories (ASHER); and
(b) The Implementation Assistance Program (IAP).
3.5 Bodies Corporate Eligible to Receive IAP and ASHER Grants
3.5.1 In addition to the provision of IAP and ASHER grants to eligible HEPs, pursuant to item 10 of the table in section 41-10(1) of the Act the following bodies corporate are eligible to receive grants under the ASHER and the IAP:
(1) Bond University Limited;
(2) The University of Notre Dame Australia; and
(3) Melbourne College of Divinity.
AUSTRALIAN SCHEME FOR HIGHER EDUCATION REPOSITORIES
3.15 ASHER Description
3.15.1 The ASHER assists eligible HEPs and the bodies corporate listed in paragraph 3.5.1 with establishing university digital data storage.
3.20 ASHER Objective
3.20.1 The objectives of ASHER are to:
(1) Provide support to establish and refine a digital repository; and
(2) Provide support to populate digital repositories with research outputs and publications with the aim of increasing the amount of open access material.
3.25 Conditions that Apply to ASHER Grants
3.25.1 Conditions that apply to ASHER grants will be determined in writing by the Minister, or his or her delegate, under section 41-25(b)(i) of the Act.
3.30 ASHER Grant Amounts
3.30.1 The ASHER grant amounts will be determined in writing by the Minister, or his or her delegate, under section 41-30(b) of the Act.
3.30.2 The ASHER grants are terminating payments under the Act with the last payments due in calendar year 2009.
IMPLEMENTATION ASSISTANCE PROGRAM
3.40 IAP Description
3.40.1 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 IAP Objective
3.45.1 The objectives of the IAP are to provide support to:
(1) 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
(2) Meet the costs of gathering and reporting bibliometrics and other data.
3.50 Conditions that Apply to IAP Grants
3.50.1 Conditions that apply to IAP grants will be determined in writing by the Minister, or his or her delegate, under section 41-25(b)(i) of the Act.
3.55 IAP Grant Amounts
3.55.1 The IAP grant amounts will be determined in writing by the Minister, or his or her delegate, under section 41-30(b) of the Act.
3.55.2 The IAP grants are terminating payments under the Act with the last payment due in calendar year 2010.
CHAPTER 4 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
4.1 Purpose
4.1.1 The purpose of this Chapter is to specify:
(1) In accordance with section 41-15(1) of the Act, for the purpose described at Item 11(b) of the table in section 41-10 of the Act, the Higher Education Research Promotion (HERP); and
(2) Under section 41-15(2) of the Act, some other matters relevant to the HERP’s grants.
HIGHER EDUCATION RESEARCH PROMOTION
4.5 Bodies Corporate Eligible to Receive Grants
4.5.1 The following bodies corporate are eligible to receive grants under the HERP:
(1) The Australian and New Zealand Association for the Advancement of Science (ANZAAS);
(2) The Council for the Humanities, the Arts and the Social Sciences (CHASS);
(3) The Federation of Australian Societies for the Technological Sciences (FASTS); and
(4) The Learned Academies as follows:
(a) The Australian Academy of the Humanities (AAH);
(b) The Australian Academy of Science (AAS);
(c) The Australian Academy of Technological Sciences and Engineering (AATSE);
(d) The Academy of Social Sciences in Australia (ASSA); and
(e) The National Academies Forum (NAF) (peak body for the Learned Academies).
4.10 HERP Description
4.10.1 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 HERP Objectives
4.15.1 The objectives for each HERP grant to eligible bodies corporate 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) CHASS: To promote and provide advocacy for the humanities, arts and social sciences, and to serve as a coordinating forum for academies, students, business, practitioners and the broader community;
(3) FASTS: To support FASTS' role in policy formulation, raising public awareness, and promoting the importance of science and technology in addressing important national issues; and
(4) Learned Academies, as follows:
(a) The NAF (peak administrative body for the Learned Academies): To support cooperation between the four Learned Academies, to provide a common point of access to the four Learned Academies for outside organisations and individuals, and promote a unified national vision, helping to enhance interactions between the four Learned Academies without compromising their individual priorities or activities; and
(b) The AAS, AATSE, AAH, and ASSA: To provide secretariat and other administrative support to enable the Academies and their fellows 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.
4.15.2 Additional details regarding the HERP grant recipients is available on their respective Internet web sites.
4.20 Conditions that Apply to HERP Grants
4.20.1 Conditions that apply to the HERP grants will be determined in writing by the Minister, or his or her delegate, under section 41-25(b)(i) of the Act.
4.25 HERP Grant Amounts
4.25.1 The HERP grant amounts will be determined in writing by the Minister, or his or her delegate, under section 41-30(b) of the Act.
