DFG-form 2.012e – 7/10

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Guidelines for the Use of Funds
International Research Grants
with Guidelines for Final Reports

I.

Guidelines for the Use of Funds

1. General
These guidelines constitute part of the award. They apply unless the award letter specificallystates otherwise. The guidelines become effective with your first request for payment of funds.

The funds approved are to be used exclusively for the purpose stated in the award letter.

The funds are to be used sparingly and economically.

The DFG requests support from your academic/research institution in processing the approvedfunds.

You, as the funding recipient, are solely responsible for the scientific conduct of the project. Youdecide how to use the funds, in accordance with these guidelines.

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2. Personnel
The DFG provides you with a lump-sum payment to cover staff expenses. This shall be used topay staff - unless otherwise agreed and stipulated on a case-by-case basis - for the project
duration specified in the award letter and at standard local rates, including incidental personnel
costs stipulated by law. If staff expenditure within the approved period exceeds the amount of thislump-sum payment, the DFG may provide additional funds, subject to the DFG’s international
partner organisation confirming that such additional expenditure is necessary and appropriate.
2.1

Selection of personnel and employment contracts

You, as the funding recipient, are responsible for staff selection and appointment.

Employment contracts shall be drawn up in accordance with applicable local regulations.

3. Scientific Instrumentation
Unless otherwise stated, you are responsible for purchasing the necessary instrumentation andequipment. However, before an order is placed quotations must be obtained to find the best offer.

Unless otherwise stated, all instrumentation and equipment will remain the property of the DFG
and will be made available for your use for the duration of the research project. Any decision
regarding the future location and use of such instrumentation will be made after conclusion of theresearch project.

The DFG reserves the right to request the transfer of ownership of such instrumentation to a third
party or some other form of settlement if, during the period of your research project funded by theDFG, you move to another academic or scientific institution.

The DFG assumes that the institution at which you are conducting your research work will pay
the expenses for servicing and repairs that are considered fair wear and tear during the courseof normal operation.

4. Consumables and Research Materials
You are responsible for purchasing all necessary consumables and research materials.

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Kennedyallee 40 ∙ 53175 Bonn ∙ Postanschrift: 53170 Bonn
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The purchasing and property rights for research materials not intended for consumption aresubject to the same regulations as those that apply to scientific instrumentation (see section 3above).

5. Travel
Travel will be calculated at standard local rates.

Travel expenses may also be claimed for travel in order to present research results to the scientificpublic for further discussion.

6. Non-claimable Expenses
The following expenses cannot be claimed:Salaries for project managers

Secretarial services

Buildings, furnishings, or rentExpenses for general infrastructure (e.g. office furniture, tools, protective clothing), officematerials, calculators, postage, and telephone charges

Operating and maintenance costs (such as electricity, gas, water, coolants) and maintenancecontractsPremiums for property insurance and travel protection plansExpenses incurred for the use of the university’s computer facilities



Expenses for items that are generally considered as belonging to standard modern coreequipment in your research area

Expenses incurred for the extension or repair of equipment that does not belong to the DFG

Interest charges



VAT to the extent that it will be refunded by the national tax authorities

7. Reallocation of Approved Funding
Funds are to be used exclusively for the purpose specified in your award. The approved amounts
for personnel and material costs may, under certain circumstances, be reallocated or augmented.
However, in so doing, funding rejections in the award must not be circumvented.

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DFGDFG-form 2.012e – 7/10

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For any such reallocation or augmentation exceeding 30 percent of the approved amount, thereasons must be recorded in the auditing documents.

8. Administration of the Research Grant
8.1

Correspondence

The DFG requests that you organise correspondence pertaining to each award separatelyaccording to the reference number and object number quoted in the award letter. This
correspondence must be retained for five years from the date of notification that funding isconcluded.
8.2

Accounting, receipts and documents

If the institution where you work is publicly funded, the DFG expects its administration to ensurethat you receive the support you need for all administrative matters. Any administrative overheads
incurred in providing this support cannot be paid from the funds awarded by the DFG.

Cash records, accounts, and the organisation of receipts and other documents must adhere tothe regulations applicable at your institution. All such documents shall remain with the institution.
8.3

Requests for payment of funds

Funds may be requested from the DFG as required for periods of up to three months at a time(see DFG form 41.039e). Funds may only be requested as and when they are needed for
payments due in relation to the project for which the funding was approved. Any funds not required
within the foreseeable future must be returned to the DFG immediately and without further request(see section I.10, para. 3).

The DFG will only transfer funds to an account held by your institution and only after yourinstitution has submitted a binding declaration that the DFG shall, in the event of your death,recuperate any unused funds.

Deutsche Forschungsgemeinschaft
Kennedyallee 40 ∙ 53175 Bonn ∙ Postanschrift: 53170 Bonn
Telefon: + 49 228 885-1 ∙ Telefax: + 49 228 885-2777 ∙ postmaster@dfg.de ∙ www.dfg.de

DFGDFG-form 2.012e – 7/10

8.4

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Special offers and discounts

All purchases should take advantage of any available special offers and discounts. The DFG cangenerally only accept invoices for such purchases at the reduced price. Any income from the saleof laboratory animals or of equipment, consumables, and materials, etc. no longer required is tobe transferred to the DFG or offset against funding.

9. Accounting and Auditing
9.1

Accounting

Evidence of the use of each grant must be submitted to the DFG separately, quoting the reference
number stated in the award letter (DFG form 41.053). These accounts must record all income andexpenditure for the current calendar year in which the funds were used (up to 31 December) andmust be submitted no later than 15 April of the following calendar year (except for the final
accounts, which can be submitted at an earlier date).

The final accounts should be submitted as soon as possible after the last transfer of funds, but
no later than 12 months after expiry of the funding period stated in the award letter, beginningwith the first transfer of funds for that award. Any unused funds remaining at the end of the funding
period and after submission of your report can no longer be used and must be returned to theDFG.

You must confirm that the funds have been used appropriately and solely for the purpose
specified in your award. Your institution must confirm the accuracy of the accounts submitted.
9.2

Auditing

The DFG and in Germany the Bundesrechnungshof (German Federal Audit Office) may – either
themselves or through a third party – audit the use of funds by examining your accounts, records,invoices, etc. either on-site or by requesting submission of such documents for verification.

10. Cancellation, Reimbursement, Interest
The DFG reserves the right to cancel a funding award, either wholly or in part, and to claim
reimbursement in the following circumstances:

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DFGDFG-form 2.012e – 7/10

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If there are substantial grounds to do so. This also applies if the DFG does not receive
sufficient funds from its own financial backers.

If the award was obtained on the basis of false or incomplete information.

If the requirements were not satisfied, or were not satisfied by the deadline set by the DFG.

If the funds have not been claimed within a year after the award was granted.

If the funds were not used exclusively for the purpose specified in the award.



If the funds paid were not accounted for punctually, properly or fully.

If the DFG considers that you, as the funding recipient, are responsible for causing thecircumstances leading to its request for reimbursement, you will be liable to pay interest on thesum in question with effect from the due date and at an annual rate 5 percent above the basic
interest rate according to section 247 of the German Civil Code (Bürgerliches Gesetzbuch).

If the funds are not used for the specified intended purpose within an appropriate period after they
are issued, the DFG reserves the right to charge interest, for the period from when the funds areissued until you start using them as intended, at an annual rate 5 percent above the basic interest
rate according to the German Civil Code. This applies whether or not the award is cancelled.

11. Liability
You, as the funding recipient, are liable for any damage incurred to the DFG as the result of yourfailure to observe any stipulations stated in the award.

You, as the funding recipient, are responsible for ensuring that all applicable laws and regulations
are observed when conducting your research project. Particular attention should be paid to theregulations regarding experiments on humans and laboratory animals and genetic experiments.
For animal experiments requiring official authorisation, such authorisation must be obtained
before research work commences.

See “Supplementary Guidelines and Instructions” (DFG-form 1.19)
http://www.dfg.de/formulare/1_19/

Deutsche Forschungsgemeinschaft
Kennedyallee 40 ∙ 53175 Bonn ∙ Postanschrift: 53170 BonnTelefon: + 49 228 885-1 ∙ Telefax: + 49 228 885-2777 ∙ postmaster@dfg.de ∙ www.dfg.deDFGDFG-form 2.012e – 7/10

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12. Observation of the Rules of Good Scientific Practice
The DFG expects you to adhere to the rules of good scientific practice, as specified in the DFG
recommendations (see DFG Website www.dfg.de/en  Research Funding / Legal Framework
Conditions for Research), and to implement these in the form of appropriate proceduralregulations.

13. Publication of Research Findings
The DFG expects the research results funded by it to be published and to be made available,
where possible, digitally and on the internet via open access. To achieve this, the contributions
involved should either be deposited in discipline-specific or institutional electronic archives(repositories) following conventional publication, or should be published in a recognised peerreviewed open access journal.

When entering into publishing contracts scientists participating in DFG-funded projects should,
as far as possible, permanently reserve a non-exclusive right of exploitation for electronic
publication of their research results for the purpose of open access. Here, discipline-specific delay
periods of generally 6-12 months can be agreed upon, before which publication of previously
published research results in discipline-specific or institutional electronic archives may beprohibited.

The publications must credit the DFG for funding the project. Credit must state the reference
number (individual projects or SPP, FOR etc.) or the project name and funding programme(Collaborative Research Centre, Research Training Group etc.). Publications that do not include
this information cannot be recognised as having emerged from this project.

If results are not published in a publication available via normal channels, such as a bookstore,
but are presented in the form of a research report, the DFG requests that one copy each be sent
to the Special Collection of Research Reports (Zentrale Sammelstelle für Forschungsberichte) at
the German National Library of Science and Technology (Technische Informationsbibliothek) (at:Welfengarten 1b, D-30167 Hannover, Germany) and to the library of the institution at which theproject is conducted.

Deutsche Forschungsgemeinschaft
Kennedyallee 40 ∙ 53175 Bonn ∙ Postanschrift: 53170 BonnTelefon: + 49 228 885-1 ∙ Telefax: + 49 228 885-2777 ∙ postmaster@dfg.de ∙ www.dfg.deDFGDFG-form 2.012e – 7/10

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14. Reporting Obligations
You are obliged, at the times specified in the award and without further request, to submit aprogress report on your work and any results obtained so far to the DFG. Each such reportsubmitted to the DFG must include an introduction summarising the work; this introduction must
be no more than one page in length. The DFG requests that you also send a copy of this summary
to the press office of your institution.

Final reports must be compiled in accordance with the guidelines listed under section II.

Deutsche Forschungsgemeinschaft
Kennedyallee 40 ∙ 53175 Bonn ∙ Postanschrift: 53170 Bonn
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DFGDFG-form 2.012e – 7/10

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Guidelines for Final Reports1.

General information

DFG reference number

ApplicantInstitute/department



Topic of the projectPeriod covered by the report, overall funding period

List of the most important publications resulting from this project. Please structure thislist as follows:a)

Articles which at the time of proposal submission have been published or officiallyaccepted by publication outlets with scientific quality assurance, listed in standard
format; book publications. For works that have been accepted for publication but not yet
published,themanuscript

must

besubmitted

alongwith

thepublisher’s

acknowledgement of acceptance.
b)

Other publications.

c)Patents, subdivided into pending and issued.

The number of publications listed under a) and b) may not exceed a certain maximum.
This maximum is:

2.

-For one grant recipient: two publications per year of project funding-For multiple grant recipients: a total of three publications per year of project funding

Final progress report (maximum 10 pages of A4)
Project’s initial questions and objectives.

Project developments – including deviations from the original plan, failures, andproblems encountered with project organisation or technical execution.

Presentation of results and discussion of the relevant research situation in this context,
potential perspectives for application, and conceivable follow-up research.

Statement on whether the results of the project are economically valuable and whether
exploitation is already taking place or may be anticipated; if applicable, details
regarding patents, industrial joint ventures, etc.

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Who has contributed to the results achieved by the project (national/internationalpartners, project staff, etc.)?

Qualification of young researchers in the context of your project (for example, firstdegree, doctorate, post-doctorate, etc.).

The report must be understandable without the need to consult additional literature. To
illustrate and enhance your presentation you may refer to your own and others’ publications.
Make it clear whenever you are referring to other researchers’ work and explain your own
papers. Please list all cited publications at the end of the section. This reference list is notconsidered your list of publications. Any unpublished work must be included with the final
report. However, note that reviewers are not required to read any of the works you cite.
Reviews will be based only on the text of the actual report.
3.

Summary (maximum 1 page of A4)


Presentation, in clearly understandable, everyday language of the key scientific findings
and any potential applications.

4.



Any surprises encountered in the course of the project and in the results obtained.

Reference to any articles published in the media reporting the success of the project.

Publication of data from final reports
The DFG is entitled to publish the summary according to 3. on its websites, especially in
the GEPRIS database, and to make reference to the publications listed as per 1. To beincluded, publications must meet the specifications set forth under 1. and credit the DFG
for its financial support.

Upon request, a link to an online list of publications may be included in the database. This
list of publications can be updated even after the report has been filed.

If you do not wish the summary to be published, you may request this by sending a letter or
e-mail to the responsible department when you file your final report.

Deutsche Forschungsgemeinschaft
Kennedyallee 40 ∙ 53175 Bonn ∙ Postanschrift: 53170 Bonn
Telefon: + 49 228 885-1 ∙ Telefax: + 49 228 885-2777 ∙ postmaster@dfg.de ∙ www.dfg.deDFG