Grant amounts under the research block grant programmes are driven entirely by metrics (one or more of research income, research publications, higher degree by research (HDR) student completions and HDR student load).
Data inputs are collected by the department under two collections – the Higher Education Research Data Collection (HERDC) and the Higher Education Student Data Collection (HESDC). HERDC is managed by the Research Policy and Programmes Section in Innovation and Research Systems Group. HESDC is 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 are 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 RTS, APAs and CTS grant amounts, research income comprises 40% of the performance indexes.
For IGS grant amounts, research income comprises 60% of the performance index.
For RIBG 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, IGS, 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 higher degree by research (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 higher degree by research (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 IGS grant amounts, HDR student load comprises 30% of the performance index. Data is sourced from the most recent year available.
- Index each institution’s 2005, 2006 and 2007 RTS grant amounts to 2008 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 2005 and 2006 weighted HDR completions / ∑ institutions’ total average 2005 and 2006 weighted HDR completions) + 0.4 * (institution’s total average 2005 and 2006 research income / ∑ institutions’ total average 2005 and 2006 research income) + 0.1 * (institution’s total average 2005 and 2006 publications / ∑ institutions’ total average 2005 and 2006 publications).
- Determine each institution’s pre-safety net grant as per the AVCC model. For 2008 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 2005 RTS grant indexed to 2008 prices
B = each HEP’s 2006 RTS grant indexed to 2008 prices
C = each HEP’s 2007 RTS grant indexed to 2008 prices
D = 2007 RTS programme legislated amount multiplied by 0.25[2]
- Determine the variation between institutions’ pre-safety net grant amounts and their 2007 RTS grant amounts in 2008 prices.
- Determine any increase in funds from 2007 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 2007 RTS grants (in 2008 prices) to bring their 2008 RTS 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 2007 RTS grants, their final 2008 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 2007 RTS grants, their final 2008 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 2008 prices.
[2] Under the RTS, only 25% of the total RTS funds available are allocated on the basis of institutional performance.
- Index each institution’s 2007 IGS grant amount to 2008 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 2005 and 2006 research income / ∑ institutions’ total average 2005 and 2006 research income) + 0.4 * (institution’s total 2006 weighted HDR student load / ∑ institutions’ total 2006 weighted HDR student load) + 0.1 * (institution’s total average 2005 and 2006 publications / ∑ institutions’ total average 2005 and 2006 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 2008 (i.e. programme legislated amount).
- Determine the variation between institutions’ pre-safety net grant amounts and their 2007 IGS grant amounts in 2008 prices.
- Determine any increase in funds from 2007 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 2007 IGS grants (in 2008 prices) to bring their 2008 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 2007 IGS grants, their final 2008 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 2007 IGS grants, their final 2008 IGS grants equal their pre-safety net grant minus funds required for the funding pool plus funds returned based on their percentage contribution.
- 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 2005 and 2006 Category 1 Australian Competitive Grants research income / ∑ institutions’ total average 2005 and 2006 Category 1 Australian Competitive Grants research income).
- Determine each institution’s final 2008 RIBG grant amount, which is each institution’s share of the RIBG performance index multiplied by the RIBG total funds available for 2008 (i.e. programme legislated amount).
(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 2005 and 2006 weighted HDR completions / ∑ institutions’ total average 2005 and 2006 weighted HDR completions) + 0.4 * (institution’s total average 2005 and 2006 research income / ∑ institutions’ total average 2005 and 2006 research income) + 0.1 * (institution’s total average 2005 and 2006 publications / ∑ institutions’ total average 2005 and 2006 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 2008 (1584). 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 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 2008 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 institution in 2008 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 institution in 2007 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 institution in 2006 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 institution in 2005 multiplied by ((Full-time stipend rate * 0.4) + $750 (thesis allowance)).
- Each institution’s 2008 APA grant is determined by summing the amounts calculated for Year 1, Year 2, Year 3 and Year 4.
- 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 2005 and 2006 weighted HDR completions / ∑ institutions’ total average 2005 and 2006 weighted HDR completions) + 0.4 * (institution’s total average 2005 and 2006 research income / ∑ institutions’ total average 2005 and 2006 research income) + 0.1 * (institution’s total average 2005 and 2006 publications / ∑ institutions’ total average 2005 and 2006 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 2008 (i.e. programme legislated amount).
- For each institution whose preliminary grant amount is less than the minimum CTS grant (but greater than zero), allocate those institutions with the minimum CTS grant as their final 2008 CTS grant amount.
- For each remaining institution whose preliminary grant amount is greater than the minimum CTS grant, the formula for determining their final 2008 CTS grant amounts is:
(1 – ratio) * secondary grant amount + minimum CTS grant
Where, as defined in the CTS guidelines:
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 2008.
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.
- 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. programme 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.