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Data inputs for research block grant schemes
Grant amounts under the research block grant schemes are driven entirely by metrics (one or more of research income, research publications, higher degree by research (HDR) student completions, HDR student load and staff numbers).
Data inputs are collected by the Department of Industry, Innovation, Science, Research and Tertiary Education (DIISRTE). The Higher Education Research Data Collection (HERDC) is managed by the Research Funding and Data Section of DIISRTE and the Higher Education Student Data Collection (HESDC) and Higher Education Staff Data Collection are jointly managed by Higher Education Group (HEG) and Information Strategy Group (ISG).
Research Income
The first set of data inputs relates to research income received by higher education institutions. Research income is reported under the HERDC against four categories:
- Category 1 Australian competitive grants research income
- Category 2 Other public sector research income
- Category 3 Industry and other research income
- Category 4 Cooperative Research Centres (CRC) research income
For use in the research block grant calculations, research income data is averaged over the two most recent years for which it is available, and the four research income categories are unweighted.
For the Research Training Scheme (RTS) and the Australian Postgraduate Awards (APA) grant amounts, research income comprises 40% of the performance indexes.
For the Joint Research Engagement (JRE) grant amounts, research income (from Categories 2, 3, and 4) comprises 60% of the performance index.
For the Research Infrastructure Block Grants (RIBG) scheme grant amounts, only Category 1 Australian competitive grants research income comprises the performance index.
Publications
The second set of data inputs relates to institutions' capacity to disseminate research results in mainly peer-reviewed research publications. Research publications are reported under HERDC against four categories:
- Books
- Book Chapters
- Journal Articles
- Conference Papers
For use in the research block grant calculations, research publications data is averaged over the two most recent years for which it is available, and books are weighted by a factor of 5 and the other three categories are weighted by a factor of 1 (i.e. unweighted).
For RTS, JRE and APAs grant amounts, research publications comprises 10% of the performance indexes.
Student Completions
The third data input relates to the successful completions of HDR degrees by students in higher education institutions.
HDR student completions data is collected under HESDC and, for use in research block grant calculations, is weighted by level of course (i.e. Doctorate or Masters degree by research) and/or by course cost (i.e. whether the course is identified as a high cost course or a low cost course). HDR student completions data is averaged over the two most recent years for which it is available.
For RTS grant amounts, completions comprises 50% of the performance index and are weighted by level of course and by cost of course, as follows:
- High Cost Doctorate Degree by Research weighted at: 4.7
- High Cost Masters Degree by Research weighted at: 2.35
- Low Cost Doctorate Degree by Research weighted at: 2.0
- Low Cost Masters Degree by Research weighted at: 1.0
For APAs and CTS grant amounts, completions comprise 50% of the performance indexes and are weighted by level of course only, as follows:
- Doctorate Degree by Research weighted at: 2.0
- Masters Degree by Research weighted at: 1.0
Student Load
The fourth data input relates to each higher education institution's Commonwealth Funded HDR student load. HDR student load is collected under the HESDC and, for research block grant calculations, is weighted by course cost, as follows:
- RTS High Cost Places weighted at: 4.7
- RTS Low Cost Places weighed at: 2.0
For JRE grant amounts, HDR student load comprises 30% of the performance index. Data is sourced from the most recent year available.
Calculation logic for 2012 Research Training Scheme (RTS) grant amounts
- Index each institution's 2009, 2010 and 2011 RTS grant amounts to 2012 prices.
- Calculate each institution's share of the RTS performance index, which comprises 50% HDR completions, 40% research income and 10% publications and uses data averaged over two years:
0.5 * (institution's total average 2009 and 2010 weighted HDR completions / ∑ institutions' total average 2009 and 2010 weighted HDR completions) + 0.4 * (institution's total average 2009 and 2010 research income / ∑ institutions' total average 2009 and 2010 research income) + 0.1 * (institution's total average 2009 and 2010 publications / ∑ institutions' total average 2009 and 2010 publications).
- Determine each institution's pre-safety net grant as per the Australian Vice-Chancellor's Committee (AVCC) model. For 2012 RTS grant amounts, the formula is:
(A x 0.25) + (B - (0.75 x A)) + (C - (B - (0.75 x A)) - (0.50 x A))[1] + (D x each institution's share of the RTS performance index) where
A = each HEP's 2009 RTS grant indexed to 2012 prices
B = each HEP's 2010 RTS grant indexed to 2012 prices
C = each HEP's 2011 RTS grant indexed to 2012 prices
D = 2012 RTS program legislated amount multiplied by 0.25[2]
- Determine the variation between institutions' pre-safety net grant amounts and their 2011 RTS grant amounts in 2012 prices.
- Determine any increase in funds from 2011 and total these funds into a "funding pool".
- Distribute funds from the pool to those institutions whose pre-safety net grants are less than 95% of their 2011 RTS grants (in 2012 prices) to bring their 2012 RTS grant amounts up to the 95% level.
- Return the funds remaining in the pool to contributors based on their contribution.
- For institutions whose 2012 pre-safety net grants are less than 95% of their indexed 2011 RTS grants, their final 2012 RTS grants equal their pre-safety net grant plus funds required to bring them up to the 95% level.
- For institutions whose pre-safety net grants are greater than 95% of their indexed 2011 RTS grants, their final 2012 RTS grants equal their pre-safety net grant minus funds required for the funding pool plus funds returned based on their percentage contribution.
[1] This is a complicated formula expression; however, it is expressed this way to give effect to the AVCC's model of returning 75% of the total RTS funds available for a calendar year from previous year's RTS grant amounts indexed to 2011 prices.
[2] Under the RTS, only 25% of the total RTS funds available are allocated on the basis of institutional performance.
Calculation logic for 2012 Joint Research Engagement (JRE) grant amounts
1) Calculate JRE Grant Amount
- Calculate an amount equal to each institution's 2011 JRE grant amount indexed to 2012 prices.
- Calculate each institution's share of the JRE performance index, which comprises 60% research income, 30% HDR student load and 10% publications and uses data averaged over two years (for income and publications). Load data uses the most recent year available:
0.6 * (institution's total average 2009 and 2010 research income Categories 2,3 &4 / ∑ institutions' total average 2009 and 2010 research income Categories 2,3 &4) + 0.3 * (institution's total 2010 weighted HDR student load / ∑ institutions' total 2010 weighted HDR student load) + 0.1 * (institution's total average 2009 and 2010 publications / ∑ institutions' total average 2009 and 2010 publications).
- Determine each institution's pre-safety net grant, which is each institution's share of the JRE performance index multiplied by the JRE total funds available for 2012 (i.e. program legislated amount)[1].
- Determine the variation between institutions' 2012 pre-safety net grant amounts and an amount equal to their 2011 JRE grant amounts in 2012 prices.
- Determine any increase in funds from 2011 and total these funds into a "funding pool".
- Distribute funds from the pool to those institutions whose 2012 pre-safety net grants are less than an amount equal to 95% of their 2011 JRE grants (in 2012 prices) to bring their 2012 JRE grant amounts up to the 95% level.
- Return the funds remaining in the pool to contributors based on their contribution.
- For institutions whose 2012 pre-safety net grants are less than an amount equal to 95% of their indexed 2011 JRE grants, their final 2012 JRE grants equal their pre-safety net grant plus funds required to bring them up to the 95% level.
- For institutions whose 2012 pre-safety net grants are greater than an amount equal to 95% of their indexed 2011 JRE grants, their final 2012 JRE grants equal their pre-safety net grant minus funds required for the funding pool plus funds returned based on their percentage contribution.
2) Calculate JRE Cadetships Grant Amount
a) Calculate number of new JRE cadetships
- Calculate each institution's share of the JRE performance index, which comprises 60% research income, 30% student load and 10% publications and uses data averaged over two years:
0.6 * (institution's total average 2009 and 2010 research income Categories 2,3 &4 / ∑ institutions' total average 2009 and 2010 research income Categories 2,3 &4) + 0.3 * (institution's total 2010 weighted HDR student load / ∑ institutions' total 2010 weighted HDR student load) + 0.1 * (institution's total average 2009 and 2010 publications / ∑ institutions' total average 2009 and 2010 publications).
- Determine each institution's number of new JRE cadetships, which is each institution's share of the JRE performance index multiplied by the total number of new JRE cadetships available in 2012 (265). This gives an exact number of new JRE cadetships allocated to each institution.
- Where the formula results in less than one but more than zero JRE cadetship places for institutions, a default of one cadetship is awarded to those institutions. For other institutions, their allocation of new JRE cadetships are rounded down to the next whole number.
- For each institution, determine the difference between the exact number of new JRE cadetships to be allocated and the rounded number of new cadetships. The formula then uses a calculation to determine which institutions should be awarded an additional cadetship so that the total number of new JRE cadetships for 2012 is allocated in full.
b) Calculate JRE cadetship grant amounts
- Calculate the JRE cadetship grant payable to each institution for Year 1 by using the formula:
Number of new cadetships allocated to the HEP for the grant Year multiplied by the (Cadetship Supplementation amount[2])
- Calculate the JRE cadetship grant payable to each institution for Year 2 by using the formula:
Number of new cadetships allocated to the HEP for the year prior to the grant year multiplied by the (Cadetship Supplementation amount*0.9)
- Calculate the JRE cadetship grant payable to each institution for Year 3 by using the formula:
Number of new cadetships allocated to the HEP for the two years prior to the grant year multiplied by the (Cadetship Supplementation amount*0.75)
- Calculate the JRE cadetship grant payable to each institution for Year 4 by using the formula:
Number of new cadetships allocated to the HEP for the year three years prior to the grant year multiplied by the (Cadetship Supplementation amount*0.75)
- Each institution's 2012 JRE cadetship grant is determined by summing the amounts calculated for Year 1, Year 2, Year 3 and Year 4.
3) Calculate each institution's total JRE funding
- Each HEP's total JRE funding for the grant year is determined by summing their post-safety net JRE grant and their JRE Grant - Engineering Cadetships funding.
[1] From 2012, legislated funding for the JRE grant excludes funding for the JRE Engineering cadetships component.
[2] The value of the cadetship supplementation amount is defined in section 6 of the JRE conditions of grant for the relevant grant year.
Calculation logic for 2012 Research Infrastructure Block Grants (RIBG) amounts
- Calculate each institution's share of the RIBG performance index, which comprises Category 1 Australian competitive grants research income and uses data averaged over two years:
(institution's total average 2009 and 2010 Category 1 Australian competitive grants research income / ∑ institutions' total average 2009 and 2010 Category 1 Australian competitive grants research income).
- Determine each institution's final 2012 RIBG grant amount, which is each institution's share of the RIBG performance index multiplied by the RIBG total funds available for 2012 (i.e. program legislated amount).
Calculation logic for 2012 Australian Postgraduate Awards (APA) grant amounts
(1) Calculate number of new APAs
- Calculate each institution's share of the APA performance index, which comprises 50% HDR completions, 40% research income and 10% publications and uses data averaged over two years:
0.5 * (institution's total average 2009 and 2010 weighted HDR completions / ∑ institutions' total average 2009 and 2010 weighted HDR completions) + 0.4 * (institution's total average 2009 and 2010 research income / ∑ institutions' total average 2009 and 2010 research income) + 0.1 * (institution's total average 2009 and 2010 publications / ∑ institutions' total average 2009 and 2010 publications).
- Determine each institution's number of new APAs, which is each institution's share of the APA performance index multiplied by the total number of new APAs available in 2012 (3500). This gives an exact number of new APAs allocated to each institution.
- Where the formula results in less than one but more than zero APA places for institutions, a default of one APA is awarded to those institutions. For other institutions, their allocation of new APAs are rounded down to the next whole number.
- For each institution, determine the difference between the exact number of new APAs to be allocated and the rounded number of new APAs. The formula then uses a calculation to determine which institutions should be awarded an additional APA so that the total number of new APAs for 2012 is allocated in full.
(2) Calculate APA grant amounts
- Calculate the APA grant payable to each institution for Year 1 by using the formula:
Number of new APAs allocated to each institution in 2012 multiplied by (Full-time stipend rate + $375 (relocation allowance)).
- Calculate the APA grant payable to each institution for Year 2 by using the formula:
Number of new APAs allocated to each institution in 2011 multiplied by (Full-time stipend rate * 0.9).
- Calculate the APA grant payable to each institution for Year 3 by using the formula:
Number of new APAs allocated to each institution in 2010 multiplied by (Full-time stipend rate * 0.75).
- Calculate the APA grant payable to each institution for Year 4 by using the formula:
Number of new APAs allocated to each institution in 2009 multiplied by ((Full-time stipend rate * 0.4) + $750 (thesis allowance)).
- Each institution's 2012 APA grant is determined by summing the amounts calculated for Year 1, Year 2, Year 3 and Year 4.
Calculation logic for 2012 International Postgraduate Research Scholarships (IPRS) grant amounts
(1) Calculate number of new IPRS
- Calculate each institution's share of the IPRS performance index, which comprises 50% HDR completions, 40% research income and 10% publications and uses data averaged over two years:
0.5 * (institution's total average 2009 and 2010 weighted HDR completions / ∑ institutions' total average 2009 and 2010 weighted HDR completions) + 0.4 * (institution's total average 2009 and 2010 research income / ∑ institutions' total average 2009 and 2010 research income) + 0.1 * (institution's total average 2009 and 2010 publications / ∑ institutions' total average 2009 and 2010 publications).
- Determine each institution's number of new IPRS, which is each institution's share of the IPRS performance index multiplied by the total number of new IPRS available in 2012 (330). This gives an exact number of new IPRS allocated to each institution.
- Where the formula results in less than one but more than zero IPRS places for institutions, a default of one IPRS is awarded to those institutions.
- For other institutions, their allocation of new IPRS are rounded down to the next whole number.
- For each institution, determine the difference between the exact number of new IPRS to be allocated and the rounded number of new IPRS. The formula then uses a calculation to determine which institutions should be awarded an additional IPRS so that the total number of new IPRS for 2012 is allocated in full.
(2) Calculate IPRS grant amounts
- Calculate the notional IPRS places to be allocated to each institution for Year 1 by using the formula:
Number of new IPRS allocated to each institution in 2012 multiplied by 0.925.
- Calculate the notional IPRS places to be allocated to each institution for Year 2 by using the formula:
Number of new IPRS allocated to each institution in 2011 multiplied by 0.925.
- Calculate the notional IPRS places to be allocated to each institution for Year 3 by using the formula:
Number of new IPRS allocated to each institution in 2010 multiplied by 0.775.
- Calculate the notional IPRS places to be allocated to each institution for Year 4 by using the formula:
Number of new IPRS allocated to each institution in 2009 multiplied by 0.65.
- Each institution's 2012 IPRS grant is determined by using the formula:
(Sum of the institution's notional IPRS places for Year 1, Year 2, Year 3 and Year 4) multiplied by (total 2012 IPRS Grant amount / the sum of all institutions' notional IPRS places for Year 1, Year 2, Year 3 and Year 4).
Calculation logic for 2012 Sustainable Research Excellence (SRE) grant amounts
The SRE has 3 elements in 2012:
- Base
- Threshold 1
- Threshold 2
Only those institutions that agree to participate in Transparent Costing and Excellence in Research for Australia processes are eligible to be included in calculations for Threshold 1 and Threshold 2.
Base element
- Calculate each institution's share of the Base performance index, which comprises Category 1 Australian Competitive Grants research income and uses data averaged over two years:
(institution's total average 2009 and 2010 Category 1 Australian Competitive Grants research income / ∑ institutions' total average 2009 and 2010 Category 1 Australian Competitive Grants research income).
- Determine each institution's 2012 SRE Base grant amount, which is each institution's share of the Base performance index multiplied by the Base funds available for 2012.
Threshold 1 element
- Calculate each institution's share of the Threshold 1 performance index, which comprises Category 1 Australian Competitive Grants research income <=$2.5m and uses data averaged over two years:
(institution's total average 2009 and 2010 Category 1 Australian Competitive Grants research income <=$2.5m / ∑ institutions' total average 2009 and 2010 Category 1 Australian Competitive Grants research income <=$2.5m).
- Determine each institution's 2012 SRE Threshold 1 grant amount, which is each institution's share of the Base performance index multiplied by the Threshold 1 funds available for 2012.
Threshold 2 element
Only HEPs that agree to comply with the Excellence in Research for Australia (ERA) process and to participate in the Transparent Costing (TC) process, including compliance with requirements set out in the Other Grants Guidelines (Research) 2010, are eligible for funding under the Threshold 2 element of SRE.
From 2012, the Threshold 2 element of SRE has two pools: the Transparent Costing (TC) pool and the Excellence Index (Ei) pool.
The SRE Threshold 2 funding amount is split between the two pools:
- TC pool is equal to 40% of the Threshold 2 funding amount.
- Ei pool is equal to 60% of the Threshold 2 funding amount.
DIISRTE determines each HEP's SRE Threshold 2 grant amount by summing each HEP's final Threshold 2 TC grant amount and final Threshold 2 Ei grant amount.
For all eligible HEPs, their allocation for the SRE Threshold 2 amount is rounded down to the next whole dollar. The difference between a HEP's rounded and unrounded SRE Threshold 2 amount is the remainder. The sum of all remainders is the unallocated dollars of the SRE Threshold 2 element.
Each HEP's remainder is ranked in descending order based on closeness to one. One dollar is assigned to each HEP according to its ranking until all unallocated dollars are exhausted.
Each HEP's SRE Threshold 2 grant amount is equal to the rounded SRE Threshold 2 allocation plus any whole dollars assigned.
Threshold 2 Transparent Costing (TC) Pool
There are five key steps to determining each HEP's final Threshold 2 TC grant amount.
1. Initial Threshold 2 TC grant amount
DIISRTE determines each HEP's initial Threshold 2 TC grant amount on the basis of the initial Threshold 2 performance index applied against the Threshold 2 TC pool funding amount for 2012.
The initial Threshold 2 performance index is the relative share of the Category 1 ACG research income data in excess of the threshold of $2,500,000.
Category 1 ACG research income data is the average of the most recent two years for which data is available and is sourced from the HERDC. The income data is unweighted.
For all HEPs, their initial Threshold 2 TC grant amount remains unrounded.
2. TC ratio
Each HEP is assigned a TC ratio.
The TC ratio uses cents expended on indirect costs of ACG research for each ACG dollar of income won. This is calculated by applying the proportion of a HEP's ACG research effort to total academic effort to the total allowable indirect costs claimed, dividing by total Category 1 ACG research income and then multiplying by 100.
Each HEP's proportion of ACG research effort to total academic effort is calculated by multiplying the average ACG FTE spent on ACG research by the total target population, then dividing by the greater of total academic FTE or target population FTE.
Average FTE spent on ACG research is the proportion of time reported as spent on ACG research for each valid respondent converted to FTE totalled for the HEP then divided by the total number of valid survey responses from the HEP.
ACG effort uses information supplied by each HEP from the staff hours survey (conducted between May and July 2011) and is sourced from the Research Hours Data Collection.
The target population and target population FTE is at the time of conducting the staff hours survey and is sourced from the Research Hours Data Collection.
The target population is defined as all employees of a HEP whose continuing or fixed-term employment contract contains a research component. This includes all academic staff with a research only or teaching and research classification and any professional or general staff for whom 'undertaking research' forms a material part of their contract. 'Undertaking research' is defined in the Instructions for the Administration of the Staff Hours Survey 2011.
Academic FTE is the most recent year for which data is available and is sourced from the Higher Education Staff Collection administered by DEEWR.
Academic staff is defined as those identified under Element 509 of the Higher Education Staff Collection as having an Academic classification level code (Level A and above, all increments) with respect to their current duties in the Full-Time and Fractional Full-Time Staff input file. The staff data is unweighted.
The total allowable indirect costs claimed is disaggregated from the most recent years audited financial statements and is sourced from the SRE Financial Data Collection.
Category 1 ACG research income is the most recent year for which data is available and is sourced from the HERDC. The income data is unweighted.
3. TC moderator
A TC moderator is calculated for all HEPs eligible for Threshold 2 funding, i.e. those with an initial Threshold 2 performance index greater than zero (0.00%).
Using statistical methods, the TC ratio for Threshold 2 eligible HEPs is divided into quartiles. Assignment to a band is determined by these quartiles. Band A equates to the first quartile, Band B to the second and third quartiles and Band C to the fourth quartile.
For the first quartile, Band A, the TC moderator is set to the lower cap of 1.0. In the fourth quartile, Band C, for those HEPs with markedly higher TC ratios when compared to others (1.5 standard deviations above the mathematical mean of all Threshold 2 eligible TC ratios) the TC moderator is set to the upper cap of 1.2. Individual TC moderator scores are then calculated for all remaining uncapped HEPs in Band B and Band C by adding 1 to the TC multiplier.
The TC multiplier is a scaled individual rate for those uncapped Band B and Band C HEPs. The TC multiplier is calculated based on their proportion of the total of all uncapped Threshold 2 eligible TC ratios applied to 0.2 and rescaled by multiplying by 10.
4. Moderated Threshold 2 TC grant amount
The moderated Threshold 2 TC grant amount is calculated by multiplying the initial Threshold 2 TC grant amount by the TC moderator.
For all HEPs, their moderated Threshold 2 TC grant amount remains unrounded.
5. Final Threshold 2 TC grant amount
DIISRTE determines each HEP's final Threshold 2 TC grant amount on the basis of the TC performance index applied against the Threshold 2 TC pool funding amount for 2012.
The TC performance index is based on the relative share of moderated Threshold 2 TC grant amounts.
For all HEPs, their final Threshold 2 TC grant amount remains unrounded.
Threshold 2 Excellence Index (Ei) Pool
There are four key steps to determining each HEP's final Threshold 2 Ei grant amount.
1. Initial Threshold 2 Ei grant amount
DIISRTE determines each HEP's initial Threshold 2 Ei grant amount on the basis of the initial Threshold 2 performance index applied against the Threshold 2 Ei pool funding amount for 2012.
The initial Threshold 2 performance index is the relative share of the Category 1 ACG research income data in excess of the Threshold 1 threshold of $2,500,000.
Category 1 ACG research income data is the average of the most recent two years for which data is available and is sourced from the HERDC. The income data is unweighted.
For all HEPs, their initial Threshold 2 Ei grant amount remains unrounded.
2. Ei Score
Each HEP is assigned an Ei score.
The Ei score is calculated for each HEP by creating a composite score of assessed 4-digit Fields of Research (FoR). Each FoR's contribution to the Ei Score is the Weighted Rating applied to the Volume Measure. The HEPs Ei Score is the sum of each FoR's contribution to the Ei Score.
Weighted Ratings are calculated for the HEP by replacing each Excellence in Research for Australia (ERA) rating of 3 or above with the relevant weighting. ERA Ratings for each FoR are weighted such that the ratings 5, 4, 3, 2, 1 have a weighting of 7, 3, 1, 0, 0, respectively. A Weighted Rating is not applicable to FoRs that did not meet the output threshold for assessment.
The Volume Measure for each FoR is the relative internal proportion of assessed research outputs as a share of the total outputs assessed for the HEP. FoRs that did not meet the output threshold for assessment have a volume measure of zero (0.00%), and do not form part of the calculation.
The Field of Research (FoR) codes are defined under the Australian Bureau of Statistic's (ABS) Australian and New Zealand Standard Research Classification (ANZSRC).
FoR data is from the 2010 ERA exercise and was provided to the department by the Australian Research Council (ARC).
3. Moderated Threshold 2 Ei grant amount
The moderated Threshold 2 Ei grant amount is calculated by multiplying the initial Threshold 2 Ei grant amount by the Ei score.
For all HEPs, their moderated Threshold 2 Ei grant amount remains unrounded.
4. Final Threshold 2 Ei grant amount
DIISRTE determines each HEP's final Threshold 2 Ei grant amount on the basis of the Ei performance index applied against the Threshold 2 Ei pool funding amount for 2012.
The Ei performance index is based on the relative share of moderated Threshold 2 Ei grant amounts.
For all HEPs, their final Threshold 2 Ei grant amount remains unrounded.
Calculate SRE Final Grant Amount
The SRE grant amount is calculated according to the following formula:
SRE grant amount = Base amount + Threshold 1 amount + final Threshold 2 amount.
Historical Programs
Commercialisation Training Scheme (CTS)
The CTS was terminated at the end of 2011.
Calculation logic for 2011 Commercialisation Training Scheme (CTS) grant amounts
- Calculate each institution's share of the CTS performance index, which comprises 50% HDR completions, 40% research income and 10% publications and uses data averaged over two years:
0.5 * (institution's total average 2009 and 2010 weighted HDR completions / ∑ institutions' total average 2009 and 2010 weighted HDR completions) + 0.4 * (institution's total average 2009 and 2010 research income / ∑ institutions' total average 2009 and 2010 research income) + 0.1 * (institution's total average 2009 and 2010 publications / ∑ institutions' total average 2009 and 2010 publications).
- Determine each institution's preliminary CTS grant amount, which is each institution's share of the CTS performance index multiplied by the CTS total funds available for 2012 (i.e. program legislated amount).
- For each institution whose preliminary grant amount is less than or equal to the minimum CTS grant (but greater than zero), allocate those institutions with the minimum CTS grant as their final 2012 CTS grant amount.
- For each remaining institution whose preliminary grant amount is greater than the minimum CTS grant, the formula for determining their final 2012 CTS grant amounts is:
(1 - ratio) * secondary grant amount + minimum CTS grant
Where, as defined in the CTS Conditions of grant:
- The ratio is equal to the excess amount divided by the sum of the remaining institutions' secondary CTS grant amounts.
- The excess amount is equal to the remaining institutions' preliminary grant amounts plus all minimum grants already allocated minus the total CTS funds available for 2012.
- A remaining institution's secondary grant amount is equal to its preliminary grant amount minus the minimum CTS grant.
- Essentially, this formula adjusts each remaining institution's preliminary grant amount down to ensure that there is no over-allocation of CTS funds for the calendar year.
Institutional Grants Scheme (IGS)
The IGS was terminated at the end of 2009 and replaced by the JRE scheme.
Calculation logic for 2009 IGS grant amounts.
- Index each institution's 2008 IGS grant amount to 2009 prices.
- Calculate each institution's share of the IGS performance index, which comprises 60% research income, 30% HDR student load and 10% publications and uses data averaged over two years (for income and publications). Load data uses the most recent year available:
0.6 * (institution's total average 2006 and 2007 research income / ∑ institutions' total average 2006 and 2007 research income) + 0.3 * (institution's total 2007 weighted HDR student load / ∑ institutions' total 2007 weighted HDR student load) + 0.1 * (institution's total average 2006 and 2007 publications / ∑ institutions' total average 2006 and 2007 publications).
- Determine each institution's pre-safety net grant, which is each institution's share of the IGS performance index multiplied by the IGS total funds available for 2009 (i.e. program legislated amount).
- Determine the variation between institutions' pre-safety net grant amounts and their 2008 IGS grant amounts in 2009 prices.
- Determine any increase in funds from 2008 and total these funds into a "funding pool".
- Distribute funds from the pool to those institutions whose pre-safety net grants are less than 95% of their 2008 IGS grants (in 2009 prices) to bring their 2009 IGS grant amounts up to the 95% level.
- Return the funds remaining in the pool to contributors based on their contribution.
- For institutions whose pre-safety net grants are less than 95% of their indexed 2008 IGS grants, their final 2009 IGS grants equal their pre-safety net grant plus funds required to bring them up to the 95% level.
- For institutions whose pre-safety net grants are greater than 95% of their indexed 2008 IGS grants, their final 2009 IGS grants equal their pre-safety net grant minus funds required for the funding pool plus funds returned based on their percentage contribution.
Regional Protections Scheme (RPS)
The RPS was a transitional scheme that commenced in 2002 and terminated at the end of 2008.
Calculation logic for 2008 RPS grant amounts.
The calculation only applies to designated regional higher education institutions.
- Sum each institution's 2001 RTS and IGS grant amounts (in 2008 prices). Sum each institution's final 2008 RTS and IGS grant amounts.
- Determine whether any institution has incurred a loss compared with its indexed 2001 baseline. This is calculated by determining the difference between an institution's combined 2008 RTS and IGS grant amount and its 2001 combined RTS and IGS grant amount (in 2008 prices).
- Determine each institution's loss as a percentage of the total combined RTS and IGS losses.
- Determine institutions' pre-threshold 2008 RPS grant amounts by multiplying their share of the total combined RTS and IGS losses by the total RPS funds available for 2008 (i.e. program legislated amount).
- Where grant amounts are less than $1,000, re-distribute those amounts to other eligible institutions whose RPS grant amounts are greater than $1,000. Institutions receive additional funds in proportion to their share of the total RPS funds available for 2008 and their final 2008 RPS grant amounts are equal to their pre-threshold RPS grant amounts plus any additional funds.