Data inputs for research block grant programs
Grant amounts under the research block grant programs 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 Innovation, Industry, Science and Research (DIISR) and the Department of Education, Employment and Workplace Relations (DEEWR). The Higher Education Research Data Collection (HERDC) is managed by the Research Funding and Data Section of DIISR and the Higher Education Student Data Collection and Higher Education Staff Data Collection are jointly managed by Higher Education Group (HEG) and Information Strategy Group (ISG) of DEEWR.
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 research block grant calculations, research income data are averaged over the two most recent years for which they are available, and the four research income categories are unweighted.
For the Research Training Scheme (RTS), the Australian Postgraduate Awards (APAs) and the Commercialisation Training Scheme (CTS) grant amounts, research income comprises 40% of the performance indexes.
For the Institutional Grants Scheme (IGS) grant amounts, research income comprises 60% of the performance index.
For the Joint Research Engagement (JRE) 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 research block grant calculations, research publications data are averaged over the two most recent years for which they are 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, APAs and CTS 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 are collected under HESDC and, for use in research block grant calculations, are 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 are averaged over the two most recent years for which they are 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 are collected under the HESDC and, for research block grant calculations, are 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.
Staff numbers
The fifth data input is the number of Research Active staff, which is not included in any performance index but is used in a ratio with publications that forms the basis for the performance moderator used in the Threshold 2 element of the Sustainable Research Excellence (SRE) program.
Research Active are defined as Research Only and Teaching and Research staff as reported in the FTE for Full-time, Fractional Full-time and Actual Casual Staff category of the Higher Education Staff Collection. Data is averaged over the most recent two years for which it is available. The staff data is not weighted.
Calculation logic for 2010 Research Training Scheme (RTS) grant amounts
• Index each institution’s 2007, 2008 and 2009 RTS grant amounts to 2010 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 2007 and 2008 weighted HDR completions / ∑ institutions’ total average 2007 and 2008 weighted HDR completions) + 0.4 * (institution’s total average 2007 and 2008 research income / ∑ institutions’ total average 2007 and 2008 research income) + 0.1 * (institution’s total average 2007 and 2008 publications / ∑ institutions’ total average 2007 and 2008 publications).
• Determine each institution’s pre-safety net grant as per the Australian Vice-Chancellor's Committee (AVCC) model. For 2010 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 2007 RTS grant indexed to 2010 prices
B = each HEP’s 2008 RTS grant indexed to 2010 prices
C = each HEP’s 2009 RTS grant indexed to 2010 prices
D = 2010 RTS program legislated amount multiplied by 0.25[2]
• Determine the variation between institutions’ pre-safety net grant amounts and their 2009 RTS grant amounts in 2010 prices.
• Determine any increase in funds from 2009 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 2009 RTS grants (in 2010 prices) to bring their 2010 RTS grant amounts up to the 95% level.
• Return the funds remaining in the pool to contributors based on their contribution.
• For institutions whose 2010 pre-safety net grants are less than 95% of their indexed 2009 RTS grants, their final 2010 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 2009 RTS grants, their final 2010 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 2010 prices.
[2] Under the RTS, only 25% of the total RTS funds available are allocated on the basis of institutional performance.
Calculation logic for 2010 Joint Research Engagement (JRE) grant amounts
• Calculate an amount equal to each institution’s 2009 IGS grant amount indexed to 2010 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 2007 and 2008 research income Categories 2,3 &4 / ∑ institutions’ total average 2007 and 2008 research income Categories 2,3 &4) + 0.3 * (institution’s total 2008 weighted HDR student load / ∑ institutions’ total 2008 weighted HDR student load) + 0.1 * (institution’s total average 2007 and 2008 publications / ∑ institutions’ total average 2007 and 2008 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 2010 (i.e. program legislated amount).
• Determine the variation between institutions’ 2010 pre-safety net grant amounts and an amount equal to their 2009 IGS grant amounts in 2010 prices.
• Determine any increase in funds from 2009 and total these funds into a “funding pool”.
• Distribute funds from the pool to those institutions whose 2010 pre-safety net grants are less than an amount equal to 95% of their 2009 IGS grants (in 2010 prices) to bring their 2010 JRE grant amounts up to the 95% level.
• Return the funds remaining in the pool to contributors based on their contribution.
For institutions whose 2010 pre-safety net grants are less than an amount equal to 95% of their indexed 2009 IGS grants, their final 2010 JRE grants equal their pre-safety net grant plus funds required to bring them up to the 95% level.
• For institutions whose 2010 pre-safety net grants are greater than an amount equal to 95% of their indexed 2009 IGS grants, their final 2010 JRE grants equal their pre-safety net grant minus funds required for the funding pool plus funds returned based on their percentage contribution.
Calculation logic for 2010 Research Infrastructure Block Grants (RIBG) Scheme grant 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 2007 and 2008 Category 1 Australian Competitive Grants research income / ∑ institutions’ total average 2007 and 2008 Category 1 Australian Competitive Grants research income).
Determine each institution’s final 2010 RIBG grant amount, which is each institution’s share of the RIBG performance index multiplied by the RIBG total funds available for 2010 (i.e. program legislated amount).
Calculation logic for 2010 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 2007 and 2008 weighted HDR completions / ∑ institutions’ total average 2007 and 2008 weighted HDR completions) + 0.4 * (institution’s total average 2007 and 2008 research income / ∑ institutions’ total average 2007 and 2008 research income) + 0.1 * (institution’s total average 2007 and 2008 publications / ∑ institutions’ total average 2007 and 2008 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 2010 (3070). 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 2010 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 2010 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 2009 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 2008 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 2007 multiplied by ((Full-time stipend rate * 0.4) + $750 (thesis allowance)).
Each institution’s 2010 APA grant is determined by summing the amounts calculated for Year 1, Year 2, Year 3 and Year 4.
Calculation logic for 2010 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 2007 and 2008 weighted HDR completions / ∑ institutions’ total average 2007 and 2008 weighted HDR completions) + 0.4 * (institution’s total average 2007 and 2008 research income / ∑ institutions’ total average 2007 and 2008 research income) + 0.1 * (institution’s total average 2007 and 2008 publications / ∑ institutions’ total average 2007 and 2008 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 2010 (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 2009 CTS grant amount.
• For each remaining institution whose preliminary grant amount is greater than the minimum CTS grant, the formula for determining their final 2010 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 2010.
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.
Calculation logic for 2010 Sustainable Research Excellence (SRE) grant amounts
The SRE has 4 elements in 2010:
• Base
• Threshold 1
• Threshold 2
• Implementation (in 2010 only)
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, Threshold 2 and Implementation.
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 2007 and 2008 Category 1 Australian Competitive Grants research income / ∑ institutions’ total average 2007 and 2008 Category 1 Australian Competitive Grants research income).
Determine each institution’s 2010 SRE Base grant amount, which is each institution’s share of the Base performance index multiplied by the Base funds available for 2010.
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 2007 and 2008 Category 1 Australian Competitive Grants research income <=$2.5m / ∑ institutions’ total average 2007 and 2008 Category 1 Australian Competitive Grants research income <=$2.5m).
Determine each institution’s 2010 SRE Threshold 1 grant amount, which is each institution’s share of the Base performance index multiplied by the Threshold 1 funds available for 2010.
Threshold 2 element
Calculate each institution’s share of the Threshold 2 initial performance index, which comprises Category 1 Australian Competitive Grants research income >$2.5m and uses data averaged over two years:
(institution’s total average 2007 and 2008 Category 1 Australian Competitive Grants research income >$2.5m / ∑ institutions’ total average 2007 and 2008 Category 1 Australian Competitive Grants research income >$2.5m).
Determine each institution’s 2010 SRE Threshold 2 Initial grant amount, which is each institution’s share of the Base performance index multiplied by the Threshold 2 funds available for 2010.
Calculate each institution’s performance moderator
Calculate each institution’s Ratio of Research Active staff to Weighted Publications and uses data averaged over two years:
(institution’s total average 2006 and 2007 Research Only and Teaching and Research staff / ∑ institutions’ total average 2007 and 2008 Weighted Publications).
Calculate Mean of ratios
Calculate each institution’s difference from the Mean
Add one to each institutions difference from the Mean to give the performance moderator
Calculate each institution's moderated Threshold 2 grant amount:
Each institution’s Initial Threshold 2 grant amount X performance moderator
Calculate the Threshold 2 final performance index:
each institution’s Moderated Threshold 2 grant amount / ∑ institutions’ Moderated Threshold 2 grant amounts.
Determine each institution’s Final Threshold 2 grant amount by applying the Threshold 2 final performance index against the Threshold 2 amount.
SRE Grant amount is the sum of Base, Threshold 1 and Final Threshold 2 grant amounts
Implementation
Calculate the Implementation performance index:
each institution’s SRE grant amount / ∑ institutions’ SRE grant amounts.
Give each institution a flagfall amount of $200,000 and calculate the Flagfall Remainder: Implementation funding - ∑ flagfall amounts.
Calculate each institution’s share of the Flagfall Remainder by applying the Implementation performance index against that amount.
Each institutions final SRE Implementation amount is the sum of the Flagfall Amount and its share of the Flagfall Remainder.
HISTORICAL PROGRAMS
The IGS was terminated at the end of 2009 and replaced by the JRE program.
Calculation logic for 2009 Institutional Grants Scheme (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.
The RPS was a transitional scheme that commenced in 2002 and terminated at the end of 2008.
Calculation logic for 2008 Regional Protections Scheme (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.