Higher Education Support Act 2003 - Other Grants Guidelines (Research) 2008 (DIISR)
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Other Grants Guidelines (Research) 2008
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 2006, dated 22 November 2006 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, items 7, 8, 10 and 11(b) of the Act, and make the attached Other Grants Guidelines (Research) 2008 for the purposes of section 41-5 of the Act.
Dated 11 November 2008
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) 2008.
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 2006, dated 22 November 2006, and all subsequent amendments in relation to section 41-10, items 7, 8, 10 and 11(b) of the Act are revoked.
5 Transitional Arrangements
The revocation of the Other Grants Guidelines 2006, dated 22 November 2006, 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) 2008
COMMONWEALTH OF AUSTRALIA
Higher Education Support Act 2003
OTHER GRANTS GUIDELINES (RESEARCH) 2008
TABLE OF CONTENTS page
RESEARCH INFRASTRUCTURE BLOCK GRANTS (RIBG) SCHEME
1.20 Conditions that Apply to RIBG Scheme Grants
1.25 RIBG Scheme Grant Amounts
INSTITUTIONAL GRANTS SCHEME (IGS)
1.45 Conditions that Apply to IGS Grants
CHAPTER 2 GRANTS TO SUPPORT THE TRAINING OF RESEARCH STUDENTS
RESEARCH TRAINING SCHEME (RTS)
2.20 Conditions that Apply to RTS Grants
2.30 Commercialisation Training Scheme (CTS)
2.45 Conditions that Apply to CTS Grants
2.50 Extra Conditions of Eligibility for CTS Grants
2.70 Student Eligibility for CTS Training
2.80 Interruptions to CTS Training
2.85 Termination of CTS Training
2.90 Application, Selection and Offer Processes for CTS Training
Appendix 2A: Conditions of CTS Grants
CHAPTER 3 GRANTS TO SUPPORT THE DEVELOPMENT OF SYSTEMIC INFRASTRUCTURE USED BY HEPS
3.5 Programs under which grants may be paid
3.10 Bodies corporate eligible for grants
CHAPTER 4 GRANTS FOR ACTIVITIES THAT:
4.15 Bodies corporate eligible to receive grants
4.30 Conditions that Apply to ANZAAS Grants
- LEARNED ACADEMIES GRANT PROGRAM
4.50 Learned Academies Grant Amounts
4.55 Conditions that Apply to Learned Academies Grants
- FEDERATION OF AUSTRALIAN SCIENTIFIC AND TECHNOLOGICAL SOCIETIES GRANT PROGRAM
4.70 Federation of Australian Scientific and Technological Societies Program Grants Amounts
4.75 Conditions that Apply to Federation of Australian Scientific and Technological Societies Grants
- THE COUNCIL FOR THE HUMANITIES, ARTS AND SOCIAL SCIENCES GRANT PROGRAM
4.90 Council for the Humanities and Social Sciences Program Grant Amounts
4.95 Conditions that Apply to Council for the Humanities and Social Sciences Program Grants
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.ii INTERPRETATION
Unless the contrary intention appears, the terms within the Other Grants Guidelines (Research) 2008 have the same meaning as in the Act.
The following terms are defined specifically for these Guidelines:
ACGR Australian Competitive Grants Register
APA Australian Postgraduate Award
APA(I) Australian Postgraduate Award (Industry)
ASCED Australian Standard Classification of Education
ASHER Australian Scheme for Higher Education Repositories
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
HDR Higher Degree Research
HEP Higher Education Provider
HERDC Higher Education Research Data Collection
HESDC Higher Education Student Data Collection
IAP Implementation Assistance Program
IGS Institutional Grants Scheme
RIBG Research Infrastructure Block Grants
RTS Research Training Scheme
RPF Regional Protection Fund
The Act means the Higher Education Support Act 2003
CHAPTER 1 GRANTS TO SUPPORT RESEARCH BY, AND THE RESEARCH CAPABILITY OF, HIGHER EDUCATION PROVIDERS (HEPS)
INTRODUCTION
1.1 Purpose
1.1.1 The purpose of this chapter is to specify:
(a) In accordance with subsection 41-15(1) of the Act for the purpose described at Item 7 of the table at 41-10 of the Act:
(i) The Research Infrastructure Block Grants (RIBG) Scheme; and
(ii) The Institutional Grants Scheme (IGS) as programs under which grants can be paid for the purpose of supporting HEPs’ research and research training activities; and
(b) Under subsection 41-15(2) of the Act, some other matters relevant to the RIBG Scheme and the IGS.
RESEARCH INFRASTRUCTURE BLOCK GRANTS (RIBG) SCHEME
1.10 RIBG Scheme Description
1.10.1 The RIBG Scheme provides block grants, on a calendar year basis, to eligible HEPs to enhance the development and maintenance of research infrastructure.
1.15 RIBG Scheme Objectives
1.15.1 The objectives of the RIBG Scheme 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 Conditions that Apply to RIBG Scheme Grants
1.20.1 Conditions that apply to 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.
1.25 RIBG Scheme Grant Amounts
1.25.1 The 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 IGS Description
1.35.1 The IGS provides block grants, on a calendar year basis, to eligible HEPs to support research and research training activities. HEPs have discretion in the way they spend their IGS grant.
1.40 IGS Objectives
1.40.1 The purpose of the IGS is 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.
1.40.5 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 Conditions that Apply to IGS Grants
1.45.1 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.
1.50 IGS Grant Amounts
1.50.1 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.
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:
- In accordance with subsection 41-15(1) of the Act for the purpose described at Item 8 of the table at 41-10 of the Act:
- 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
-
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; and
-
Under subsection 41-15(2) of the Act, some other matters relevant to RTS and CTS.
RESEARCH TRAINING SCHEME (RTS)
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 students undertaking HDRs - 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.
2.10.5 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:
- 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 programs to labour market requirements; and
- 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 subparagraph 41-25(b)(i) of the Act.
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 paragraph 41-30(b) of the Act.
2.30 Commercialisation Training Scheme (CTS)
2.35 CTS Description
2.35.1 The CTS provides block grants, in respect of the 2007 calendar year and each later year (the "Grant Years"), 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 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 are set out in Appendix 2A of this chapter 2 of the Guidelines.
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.
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:
(a) the "ratio” is equal to the “excess amount” divided by the sum of the remaining HEPs’ “secondary CTS grant amounts”; and
(b) 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
(c) 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.
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.
A share is the sum of three performance components after each has been multiplied by a proportioning factor:
HDR student completions performance has a proportioning factor of 0.5
Research Income performance has a proportioning factor of 0.4
Research Publications performance has a proportioning factor of 0.1
HDR student completions performance
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.
Weighted completions equals the sum of all categories of completions after each has been multiplied by the specified weighting factor:
Doctorate degree by research has a weighting factor of 2;
Masters degree by research has a weighting factor of 1.
Each category of data is the average of the most recent two years for which data is available and is sourced from the HESDC.
Research income performance
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.
Weighted research income equals the sum of all categories of research income after each has been multiplied by the specified weighting factor:
Australian Competitive Grants Income has a weighting factor of 1;
Other Public Sector Research Income has a weighting factor of 1;
Industry and Other Research Income has a weighting factor of 1;
Cooperative Research Centres Research Income has a weighting factor of 1.
Each category of data is the average of the most recent two years for which data is available and is sourced from the HERDC.
Research publications performance
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.
Weighted research publications equals the sum of all categories of research publications after each has been multiplied by the specified weighting factor:
Books have a weighting factor of 5 ;
Book chapters have a weighting factor of 1;
Journal articles have a weighting factor of 1;
Conference papers have a weighting factor of 1.
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 CTS Grant Amount: 2007
2.55.4 The minimum CTS grant in respect of 2007 is $20,810 for a HEP.
Minimum CTS Grant Amount: 2008 and later years
2.55.5 The minimum CTS grant amount of $20,810 applying in 2007 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 Grants
2.60.1 CTS grants will be made by instalments in the manner and at the times determined by the Minister and the Secretary, respectively, under subsections 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:
(a) providing CTS training to its CTS students; or
(b) 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 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:
(a) be enrolled in a HDR; and
(b) be a domestic student, as defined in the Act; and
(c) not have previously completed CTS training or training consistent with that described in 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 2.70.1 (a) for a period of 6 months from the date of submission of their HDR thesis (subject to 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:
(a) re-assess the student’s entitlement to benefit under the program; and
(b) 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
CTS Training - General Requirements
2.75.1 CTS training must:
(a) 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
(b) take no longer than six months full-time study or equivalent part-time study to complete; and
(c) be in addition to a student’s HDR course load; and
(d) add value to a student’s HDR experience; and
(e) enhance a student’s career prospects; and
(f) be customised to meet individual student needs wherever possible; and
(g) involve industry and other relevant expertise in the on-going development, delivery and evaluation of the training.
CTS Training - Course Requirements
2.75.2 CTS Training courses must demonstrate capacity to provide learning in three knowledge areas: Commercialisation Know-how, Technical Commercialisation Skills and Organisational Behaviour Skills.
(a) With regard to 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.
(b) With regard to 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.
(c) With regard to 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 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
Suspensions
2.80.1 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.
Leave
2.80.2 Students may apply to their HEP for leave during their CTS training. The approval of leave will be at the discretion of the HEP.
Transfer to another HEP
2.80.3 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:
(a) if the student ceases to meet the eligibility criteria specified in paragraph 2.70.1 of these Guidelines, 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 of these Guidelines; or
(b) when the student completes the course of study; or
(c) if the HEP determines that:
(i) 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
(ii) 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 of these Guidelines.
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:
(a) any liabilities arising from previous offers of CTS training to students; and
(b) any liabilities arising from CTS training arrangements with other HEPs to deliver CTS training; and
(c) 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:
(a) an application lodged as part of a competitive application process; or
(b) the HEP’s 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 not exclusive of, 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 USED BY HEPS
3.1 Purpose
3.1.1 The purpose of this chapter is to specify under subsection 41-15(1) of the Act:
(a) the Implementation Assistance Program as a program under which grants to support the development of systemic infrastructure used by eligible HEPs may be paid and to specify bodies corporate eligible for grants pursuant to item 10 of the table in subsection 41-10(1) of the Act; and
(b) the Australian Scheme for Higher Education Repositories as a program under which grants to support the development of systemic infrastructure used by eligible HEPs may be paid and to specify bodies corporate eligible for grants pursuant to item 10 of the table in subsection 41-10(1) of the Act.
IMPLEMENTATION ASSISTANCE PROGRAM AND AUSTRALIAN SCHEME FOR HIGHER EDUCATION REPOSITORIES
3.5 Programs under which grants may be paid
3.5.1 Under subsection 41-15(1) of the Act, grants may be paid under the following programs for the purpose specified in item 10 of the table in subsection 41-10(1) of the Act:
(a) The Implementation Assistance Program; and
(b) The Australian Scheme for Higher Education Repositories.
3.10 Bodies corporate eligible for grants
3.10.1 Pursuant to item 10 of the table in subsection 41-10(1) of the Act, the following bodies corporate are eligible for grants under the programs specified in paragraph 3.5.1 of these Guidelines:
(a) Bond University Limited;
(b) The University of Notre Dame Australia; and
(c) Melbourne College of Divinity.
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
4.10 Purpose
4.10.1 The purpose of this Chapter is to specify:
(a) the bodies corporate that are eligible for grants under item 11b) of the table in subsection
41-10(1) of the Act;
(b) the Learned Academies Program, the Australian New Zealand Association for the Advancement of Science Youth Conference Grant Program, the Federation of Australian Scientific and Technological Societies Program; and the Council for the Humanities, Arts and Social Sciences Program as programs from which grants to foster understanding of the importance of, or promote research and scholarship in, science, social science or the humanities in Australia may be paid under subsection 41- 15(1) of the Act; and
(c) some of the matters set out in paragraphs 41-15(2)(a) to (g) of the Act for the programs referred to in subparagraph 4.20.1(b) of these Guidelines.
4.15 Bodies corporate eligible to receive grants
4.15.1 The following bodies corporate are eligible for grants:
(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;
- The Academy of the Social Sciences in Australia;
- The Federation of Australian Scientific and Technological Societies Incorporated; and
- The Council for the Humanities, Arts and Social Sciences Incorporated.
- AUSTRALIAN AND NEW ZEALAND ASSOCIATION FOR THE ADVANCEMENT OF SCIENCE YOUTH CONFERENCE GRANT PROGRAM
4.20 Purpose
4.20.1 The purpose of this part is to specify the Australian New Zealand Association for the Advancement of Science Youth Conference Grant Program (“the ANZAAS program”) as a program under which grants to foster understanding of the importance of, and provides research and scholarship in, science social science or the humanities in Australia, and to specify matters set out in paragraphs 41-15(2)(a),(c),(d) and (f) of the Act.
4.25 Program Objectives
4.25.1 Grants under the program are provided to cover the costs of transportation and accommodation for approximately five students from each Australian State and Territory to attend the annual ANZAAS Youth Conference.
4.25.5 The aim of the program is to provide promising young scientists with an opportunity to mix with peers and internationally acclaimed scientists.
4.25.10 The ANZAAS Youth Conference contributes to the broader aims of ANZAAS which are to:
(a) Promote communication and interaction between scientists in different disciplines;
(b) Foster public interest in science and technology, and awareness of their role in every day life; and
(c) Encourage the curiosity of children about the natural and man made world around them.
4.30 Conditions that Apply to ANZAAS Grants
4.30.1 Conditions that apply to the ANZAAS grant will be determined in writing by the Minister, or his or her delegate, under subparagraph 41-25(b)(i) of the Act.
4.35 ANZAAS Grant Amount
4.35.1 The ANZAAS grant amount will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act.
4.35.2 The ANZAAS Youth Conference Grant Program is funded on an annual, calendar year basis and payments are made in respect of a year.
- LEARNED ACADEMIES GRANT PROGRAM
4.40 Purpose
4.40.1 The purpose of this part is to specify the Learned Academies Grant Program as a program under which grants 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 subsection 41-15(2)(a) and (d) of the Act.
4.45 Program Objectives
4.45.1 The objectives of the Learned Academies Grant Program are to:
(a) 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;
(b) 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
(c) Assist in providing support for affiliations with appropriate international organisations.
4.50 Learned Academies Grant Amounts
4.50.1 The Learned Academies grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act.
4.50.2 The Learned Academies Grant Program is funded on an annual, calendar year basis, and grants are made in respect of a year.
4.55 Conditions that Apply to Learned Academies Grants
4.55.1 Conditions that apply to Learned Academies 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 GRANT PROGRAM
4.60 Purpose
4.60.1 The purpose of this part is to specify the Federation of Australian Scientific and Technological Societies Program as a program under which grants to foster understanding of the importance of, or promote research and scholarship in, science, social science or the 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 Program Objective
4.65.1 The objective of the Federation of Australian Scientific and Technological Societies Program 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 Federation of Australian Scientific and Technological Societies Program Grants Amounts
4.70.1 The Federation of Australian Scientific and Technological Societies Program grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act..
4.70.2 The Federation of Australian Scientific and Technological Societies Program is funded on a calendar year basis, and grants are made in respect of a calendar year.
4.75 Conditions that Apply to Federation of Australian Scientific and Technological Societies Grants
4.75.1 Conditions that apply to Federation of Australian Scientific and Technological Societies 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 GRANT PROGRAM
4.80 Purpose
4.80.1 The purpose of this part is to specify the Council for the Humanities and Social Sciences Program as a program under which grants to foster understanding of the importance of, or promote research and scholarship in, science, social science or the 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 Program Objective
4.85.1 The objective of the Council for the Humanities and Social Sciences Program is to help the Council for the Humanities and Social Sciences build the contribution of the arts, humanities and social sciences to the national innovation system.
4.90 Council for the Humanities and Social Sciences Program Grant Amounts
4.90.1 The Council for the Humanities and Social Sciences Program grant amounts will be determined in writing by the Minister, or his or her delegate, under paragraph 41-30(b) of the Act.
4.90.2 The Council for the Humanities and Social Sciences Program is funded on a calendar year basis, and grants are made in respect of a calendar year.
4.95 Conditions that Apply to Council for the Humanities and Social Sciences Program Grants
4.95.1 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.