Information regarding reporting for researchers undertaking ARC research grants

ARC Reporting

As a condition of award, ARC grants holders are required to submit Exception Reports on Progress (if applicable) and a Final Report on cessation of the grant.

Reporting Requirements Form

For ARC-funded projects active in 2013

The ARC reporting requirements and timeframe has changed.

Project Leaders of UoN-administered ARC projects must complete the Reporting Requirements Form and email to Martina Asvestas by Monday 13 January 2014. This Reporting Requirements Form acts as certification and confirmation to the Research Office on whether an ARC report is required in 2014 and if so, the type of report (Exception Report on Progress or Final Report).

This advice will then be returned to the ARC by 31 January 2014, as per ARC requirements.

A project is in its final year if all available funds (including carryovers) were expended in 2013 and there are no further ARC funds to be received or expected carryovers in future years. Projects indicated as being in their final year of funding do not require an Exception Report on Progress to be submitted.

The Research Accounting Team will forward all Project Leaders a current financial report to enable completion of this form. If you require further financial details, please contact your Faculty Research Accounting team member.

Project Leaders who are unsure of whether a Exception Report on Progress is required, should refer to the  ARC 2013 Progress Reporting Instructions and Guidance  or contact research-sgo@newcastle.edu.au

Progress Reports

2013 Exception Report on Progress

An Exception Report on Progress must be submitted only if there are significant issues affecting the progress of a project. These include:

  • If an APAI student attached to a Linkage Projects grant has taken a Leave of Absence
  • If the ARC has approved changes to a project submitted via formal variation requests
  • If a carryover is required of 75% or more of the total ARC funding for a Project provided in 2013
  • If a carryover is required of a portion of the 2012 or previous year's carryover of funding for a Project was not spent in 2013
  • If a delay to the project's research program could result in the project exceeding by more than 12 months the number of years for which funding has been allocated and/or
  • If a disruption to the project has occurred which could potentially compromise the successful achievement of the project's outcomes.

These examples are not exhaustive and are not meant to be prescriptive Project Leaders should exercise judgement as to the need to submit an Exception Report on Progress, on a case-by-case basis, with advice from the Research Office, if required.

The report must be on the  Exception Report on Progress Template and emailed to Martina Asvestas by no later than Monday 17 February 2014. Earlier submission is strongly encouraged.

All questions in the report must be answered. Sufficient detail should be included in each answer to allow the ARC to gain a sound understanding of the significant issues affecting the progress of a project.

Please note: The report must certified by the Lead CI by typing their name, dating the end of the report and emailing it to Laura Medioli. A signature is not required. Each Exception Report on Progress will be checked by the Research Office for compliance and to ensure additional post-award variations are not required.

LP-APAI Template

All APAIs on Linkage Projects must complete the APAI Progress Report and emal to Martina Asvestas by Monday 17 February 2014. Earlier submission is strongly encouraged.

Variation to Funding Agreement (VFA)

A VFA request must be submitted for changes to Investigators, Organisations or other issues as indicated in the Funding Agreement. If a VFA has already been submitted and approved, and the change has not affected the progress of the Project, an Exception Report on Progress is not required. If the progress was affected, an Exception Report on Progress must be submitted even if a VFA was approved.

Some examples of VFAs that may not affect the progress of a Project include:

  • Change of organisation name
  • Minor deferral of commencement
  • APAI 6 month funding extension
  • Project suspension (including maternity leave), if approved  for the entire reporting period

For further information please refer to: http://www.arc.gov.au/applicants/variation.htm


Carryover of Funds / Project Extension

To carryover any unspent ARC funds from 2013 into 2014 and/or to extend the end date of an ARC project, a Carryover/Extension Form needs to be completed.

Checking whether the project has funds to carryover

The information to determine if a project has funds to carryover into 2014 can be obtained from TechnologyOne Financials by following the below steps:

  1. Click on the Reports tab in the menu bar
  2. Select Faculty/Division Financial Reports Current
  3. Select CC01 - Cost Collector -Year to Date
  4. Click on Run tab in menu bar, then
  5. Enter Cost Collector No. (10.8xxxx) into Entity / Cost Collector, change Cost Collector Type to Research
  6. Click Run tab of the 'CC01 Cost Collector - Year to Date' box to run the financial report

Alternatively the appropriate Faculty Research Accounting team member can assist with this information.

Carryover/Extension Form

All carryover amounts and extensions of the end dates will be sent to the ARC for approval. Codes are used to classify the reason/s for the carryover and/or extension and these are listed on the Carryover/Extension Form for selection.

In addition to the code/s, the ARC requires a more detailed explanation in the following circumstances:

  1. When there is a request to carryover 75%or more of the total 2013 ARC allocation
  2. When there is a request to carryover theunspent portion of a previous year's carryover funding (+ 12 months carryover) , i.e. A carryover form may have been previously submitted for this project.

Please note: As a result of carrying over funds an Exception Report on Progress may also be required. In this instance the same justification should be included at Question 3.1 of the Exceptions Report on Progress.

The completed Carryover/Extension Form should be provided to Research Services at the same time as the 2013 Exception Report on Progress (if applicable).

The Carryover/Extension Form should be emailed to Martina Asvestas by Monday 17 February 2014.

Unless Research Services contacts the lead investigator for further information, it can be assumed the carryover request has been approved.


Final Reports

Final Reports for Discovery (FT, DP, DI) and Linkage programs (LP, LX, LAPDC, LIEF) and earlier programs (LRG, RF, IRD, SPIRT, IREX, RIEF) are completed and submitted through RMS.

Details for submitting ARC Final Reports can be found on the Final Report page on the ARC website.

Final Report Instructions (DOC 1.4MB) can be downloaded from the ARC.

Information in the Final Reports for ARC-funded projects is used by the ARC to determine whether the project has reached satisfactory completion. If a Final Report is deemed inadequate, the Lead CI or Fellow will be contacted for further information. If the ARC is not satisfied with the outcomes of the Project, this will be noted against any further project applications under any ARC scheme submitted by, or on behalf of, the Lead CI or Fellow and will be taken into account in the assessment of those applications.

Applications under any ARC Program submitted by, or on behalf of, a Lead CI or Fellow on a Project for which the Final Report is outstanding will be deemed ineligible. If your Final Report is not appearing in RMS because the Scheme form has not been made available by the ARC, this will not affect your eligibility when applying for future grants.

If you have any questions regarding reporting please do not hesitate to contact Martina Asvestas via email or phone on (02) 4921 5305.