Information regarding reporting for researchers undertaking ARC research grants

Research Advantage

ARC Reporting

As a condition of award, ARC grants holders are required to submit an annual Progress Report whilst the grant is active and a Final Report on cessation of the grant.

Reporting Requirements Form

Progress report and carryover request have now been incorporated into one form. Please see progress report template to complete both your progress report and carryover request.

For ARC-funded projects active in 2016

ARC Reporting

As a condition of award, ARC grants holders are required to submit Progress Reports and a Final Report on cessation of the grant. Outstanding Final reports will rule all named CI/PIs ineligible for further funding until the report is submitted to the ARC.

For ARC-Funded Projects Active in 2017

Progress reports are required for all ARC-funded projects active in 2017. The Research Office will provide further information regarding 2017 Progress Report requirements in 2018.

2016 Progress Reports (End of Year Reports)

All project leaders of UON-administered ARC projects that were active in 2015 must complete a Progress Report.  To assist with this procedure, the Research Office has created a Progress Report Template (DOCX) for the project leader to complete.  The completed form must be emailed to Fin-Research@newcastle.edu.au by Monday 27February 2017.

Earlier submission is strongly encouraged.

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.

A Progress Report must indicate whether there are any significant issues that affected the progress of the project in 2016.

These include :

  • Project was delayed as it was transferred during the reporting period.
  • Approved change to work hours (%FTE) for a named Investigator on the Project resulted in changes to the end date.
  • Due to personal reasons member/s of the research team had to take time off the Project to attend to personal health/carer matters.
  • Issues with Partner Organisation such as: contributions not yet received; change in staff; change in structure; Organisation left or joined the Project.
  • Changes within the research team, such as: Personnel left or joined the team.
  • The scope/budget of the Project was altered to include/exclude tasks listed in the Proposal.
  • Equipment issues have delayed the Project during the reporting period.
  • Fieldwork issues have caused a significant delay to the Project during the reporting period.

Please note: The report must certified by the Lead CI by typing their name, dating the report and emailing it to Fin-Research@newcastle.edu.au. A signature is not required. Each Progress Report will be checked by the Research Office for compliance and to ensure additional post-award variations are not required.

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, a reason will not have to be entered on the form.  If the progress was affected, the reason must be submitted even if a VFA was approved.

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


Carry Over of Funds/Project Extension

To carryover any unspent ARC funds from 2016 into 2017 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 2016 can be obtained from RFS 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 FORMS

These forms have now been incorporated with the progress report form. Carryover request will now be completed on progress report form template. This is now a one form process. This form will need to be submitted to Fin-Research@newcastle.edu.au by Monday 27 February 2017.

All carryover amounts and extensions of the end dates will be sent to the ARC for approval. The reason for carryover must be selected.

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 2014 ARC allocation
  2. When there is a request to carryover the unspent portion of a previous year's carryover funding (+ 12 months carryover) , i.e. A carryover form may have been previously submitted for this project.

The Carryover/Extension Form should be emailed to Fin-Research@newcastle.edu.au by Monday 27 February 2017.

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 (FL, FT, DP, IN, DE) and Linkage programs (LP, LX, LAPDC, LIEF) and earlier programs (LRG, RF, IRD, SPIRT, IREX, RIEF, DI) are completed and submitted through RMS.

It is the Fellow or Lead CI’s responsibility to ensure that the Final Report is correct, meets the ARC’s requirements and is submitted to the Research Office. Details and instructions for submitting ARC Final Reports can be found on the Final Report page on the ARC website.

Information in the Final Report 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.

Final Report submission process

It is the responsibility of the Research Office to certify and submit completed Final Reports to the ARC through RMS. RMS does not send the Research Office alerts when a Lead CI submits a Final Report. As no notification is received from RMS, the Research Office checks RMS once per week (on a Thursday) for completed Final Reports and requires 10 working days to review and submit the Final Report to the ARC. This time is necessary in case changes are required and given the volume of reports and other priorities in the Research Office. The Lead CI is responsible for the timely completion of the Final Report to allow the Research Office to submit it by the due date. If the submission of a report is time critical please contact the Research Office via research-grants@newcastle.edu.au .

The Lead CI will receive an automated email reminder one month before the Final Report is due.

 

Monday

Tuesday

Wednesday

Thursday

Friday

W1

   

Research Office checks RMS for completed Final Reports

 

W2

Research Office review

W3

Research Office review

W4

Final Report due

UON Research Office authorises and submits the Final Report to the ARC for review

All ARC project accounts (Gnumbers) must have a $0 balance prior to submitting the Final Report to the Research Office. The account balance can be obtained from RFS or the appropriate Faculty Research Accounting team member.

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 research-grants@newcastle.edu.au or phone (02) 492 17733.


Final Reports and Eligibility for Future Rounds

It is now an eligibility requirement for all ARC schemes that:

  • At the time of the submission of a Proposal, all obligations regarding previously funded Projects involving the participants named on the Proposal must have been fulfilled to the satisfaction of the ARC. Such obligations include the provision and acceptance of satisfactory Progress and Final Reports. (Discovery Funding Rules 2018; A6.2.2/Linkage Funding Rules 2018; A7.1.5)
  • A Final Report must be submitted for the Project within 12 months of the final payment or within 12 months of the final ARC approved Project end date. The form for this report will be made available by the ARC in RMS, with instructions on the ARC website. (Discovery Funding Rules 2018; A10.2.1/Linkage Funding Rules 2018; A11.2.1).

The ARC have advised that proposals which list a CI with an outstanding final report at the time of submission will be ruled ineligible.

Unfortunately, the administrative access our Office has in RMS does not allow us to verify the status of final reports for CIs from other institutions. Therefore, we strongly encourage the lead CI to ask each CI listed on their proposal to check the status of all final reports flagged in RMS, to ensure that eligibility requirements are met.  Final reports that are overdue for UON CIs must be completed as soon as possible and submitted to RMS no later than 3 weeks prior to the ARC closing deadline for the scheme under application.

Final report status can be found in RMS by selecting ‘Final Reports’ under ‘Applicant Project Management’.  This will lead to a page displaying the status and due date of all final reports for projects the CI is listed on.

We highly recommend that the lead CI asks each participating CI on their application to take a screenshot of the final report status page in RMS for their records, in the case of eligibility queries.