ARC academic reports

The ARC requires a brief annual Progress Report be submitted for any project that experiences significant issues affecting progress. This "Progress Report by Exception" is submitted as part of the financial End of Year Report, and is due for submission to the ARC each year by 31 March.

What is the definition of a 'significant issue'? (ARC guidelines)

A significant issue can be taken to have arisen in circumstances in which:

• 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
• a disruption to the project has occurred which could potentially compromise the successful achievement of the project's outcomes. Such a disruption might, for example, be in the form of:
  • a project transfer to a new Administering Organisation
  • the loss of a lead Chief Investigator, Fellow or Award recipient
  • changes to project elements funded as Special Conditions
  • Partner Organisations not meeting their agreed contributions.

These examples are not exhaustive and are not meant to be prescriptive - judgement should be exercised on a case-by-case basis as to the need to submit a Progress Report by Exception.

ANU internal process for Progress Reports by Exception

Researchers are sent an annual financial report each year in January by their College Finance team. The financial report contains a coversheet with a section allowing the researcher to briefly note any issues that have caused significant delays to the progress of the project that financial year. There is also a drop-down box providing a range of options - the researcher should choose the one that is most appropriate.

• In preparation, College Research Offices should undertake their own processes to identify cases in which a Progress Report by Exception is required, including contacting researchers who have had the end date of their project delayed for more than two years, or those that have submitted complex requests for Variation of Funding Agreements during the reported funding year.
• College Research Offices are encouraged to discuss specific cases with the RIS Research Funding and Development team for advice if required.
• The Progress Report by Exception is input into the ARC's Research Management System (RMS) and submitted to the ARC by the Research Funding team as part of the annual End of Year Report.
• The ARC approves End of Year Reports and Progress Reports by Exception over a period of several months. Once approved by the ARC, the RSD Systems team updates the reporting milestone in the relevant grant ARIES record.