Division 1.1 - External Funding

Federal funds (such as AiF, BMBF, BMWi, etc.):

Phase 2: Project Setup

Responsibility of the project management:

• Complete the electronic third-party funding notification and submit it to the Rectorate along with the contract and grant award letter
• If not already done during the project initiation phase, determine now from which funds the institution’s own contribution, if any, should be provided

Responsibility Area 1.4 Third-Party Funding:

• Review of the third-party funding declaration
• Set up and notify a PSP element
• If necessary, return the acknowledgment of receipt and waiver of legal remedies
• If applicable, submit an application to participate in the profi-online procedure
• If applicable, return of payment schedules for the estimated cash requirements (e.g., AiF)  

Phase 3: Project Implementation

Project management responsibilities:

• Scientific implementation
• Compliance with technical reporting requirements, such as the preparation and submission of interim or final reports
• Prepare Appendix 6.1 to determine the hourly rates of project staff (AiF)
• Verify personnel entries (account assignment, plausibility)
• Maintaining timesheets (AiF ZIM)
• Submit requests for approval of non-European business trips (e.g., DESY)
• Generate and archive purchase orders
• Review invoices (project relevance & billability) and assign accounts
• Review material expenses (account assignment, completeness)
• If a transfer of miscellaneous expenses is necessary, complete and sign the transfer request form, then submit it via Dept. 1.4
• When purchasing (large) equipment or awarding contracts, the Procurement Department must be involved at an early stage (net value currently starting at €3,000)
• In the event of a change to or exceeding the AZA, clarify with the funding agency
• In the event of a positive cash balance at the end of a fiscal year, send a technical justification to the funding agency in coordination with Dept. 1.4
• If the review by Dept. 1.4 has determined that the funds for a fiscal year cannot be utilized, a formal request for a carryover or reallocation of funds must be submitted to the funding agency with a technical justification

  Area of Responsibility 1.4 Third-Party Funding:

• Calculation and submission of the funding request
• Prepare lists of supporting documents
• Clarification of specific questions
• Inquire about the annual cash requirements from project management, calculate them, and report them to the funding agency
• Monitoring financial deadlines (e.g., funding requests, feedback on budget requirements, interim financial reports)
• Interim financial report  
• Review invoices in light of the available budget
• Review, approve, and forward transfer orders for material resources  

Phase 4: Project Closure

Project management responsibilities:

• Store and back up data and results in accordance with the funder’s guidelines
• Comply with publication/dissemination requirements (if applicable)
• Technical statement of use, submission of the final report to the funding agency, documentation of the date of submission of the final report
• Monitoring project-specific deadlines (e.g., technical report, utilization report)
• Reviewing lists of receipts (project relevance & own contribution, if applicable)
• Explanation of Item 0845: International Business Travel
• Explanation of personnel costs (e.g., DESY, AiF IGF)
• Assigning purchased equipment to the equipment list
• Verification of the project duration in comparison to the useful life of the equipment and consultation with asset accounting

Area of Responsibility 1.4 Third-Party Funding:

• Financial statement of expenditure
• Create and review the complete list of supporting documents (consistency with accounting entries)
• Documentation of the separation of economic and non-economic activities
• Technical implementation of deficit offset / own contribution
• Mark in the accounting system that the project is completed
• Retention of administrative documents related to the project (reason: retention periods, keeping data available for potential audits)
• Assistance with audits, if necessary
• Explanation of Item 0835: Awarding of Contracts, including Final Invoice
• Notification to the funding agency regarding the further use of items purchased with the grant (after consultation with the project management)

DAAD Funds:

Phase 2. Project setup

Responsibility of the project management:

• Complete the electronic third-party funding declaration and submit it via the Rectorate along with the contract/grant notification
• Assign roles in the DAAD portal (project assistant)

Area of Responsibility 1.4 Third-Party Funding:

• Review of the third-party funding notification
• Set up and notify a PSP element

Phase 3. Project Implementation

Area of Responsibility: Project Management:

• Scientific implementation
• Monitoring project-specific deadlines (e.g., notification of unneeded funds, grant recipient statistics)
• Compliance with technical reporting requirements, such as the preparation and submission of interim or final reports
• Verifying personnel entries (account assignment, plausibility)
• Generating and archiving purchase orders
• Review invoices (project relevance & eligibility for reimbursement) and account for them
• Checking material expenses (account assignment, completeness)
• If a transfer of miscellaneous expenses is necessary, complete and sign the transfer request form, then submit it via Dept. 1.4
• When purchasing (large) equipment or awarding contracts, involve the Procurement Department at an early stage (net value currently starting at €3,000)
• Communication with the funding agency and notifications regarding deviations from the schedule and work plan (e.g., changes to travel plans and duration, additional requirements)
• If necessary, submit a revised funding plan via the portal

Area of Responsibility 1.4 Third-Party Funding:

• Calculation and submission of the funding request
• Compilation of the document list throughout the project
• Clarification of specific questions
• Monitoring of financial deadlines
• Interim financial reports
• Reviewing invoices in light of the available budget
• Review, approve, and forward transfer orders for material resources
• For business trips: Calculate DAAD flat rates and forward them to the travel expense center

Phase 4. Project completion

Project management responsibilities:

• Store and back up data and results in accordance with the funder’s guidelines
• Fulfill publication/dissemination requirements (if applicable)
• Technical statement of use, submission of the final report to the funding agency, documentation of the date of submission of the final report
• Assistance in preparing the final financial report
• Monitoring project-specific deadlines (e.g., technical report, utilization report)
• Verifying, in collaboration with the administration, that all project-specific entries have been made; making corrective entries if necessary
• Reviewing lists of supporting documents (project relevance & own contribution, if applicable)

Area of Responsibility 1.4 Third-Party Funding:

• Financial statement of use
• Making necessary adjusting entries
• Prepare the final statement and upload it to the DAAD portal
• Marking in the accounting system that the project is completed
• Retention of administrative documents related to the project (reason: retention periods, keeping data available for potential audits)
• Assistance with audits, if necessary

DFG Funding:

Phase 2. Project Setup

Project Management Responsibilities:

• Complete the electronic third-party funding declaration and submit it to the Rectorate along with the grant approval notice 

Area of Responsibility 1.4 Third-Party Funding:

• Review of the third-party funding notification
• Set up and report a PSP element

Phase 3. Project Implementation

Area of Responsibility: Project Management:

• Scientific implementation
• Monitoring of project-specific deadlines
• If necessary, apply for project extensions or reallocations
• Review personnel bookings (account assignment, plausibility)
• Generate and archive purchase orders
• Review invoices (project relevance & eligibility for reimbursement) and assign accounts
• Review material expenses (account assignment, completeness)
• If a transfer of general expenses is necessary, complete and sign the transfer request form, then submit it via Dept. 1.4
• Verify whether purchases are permitted
• When purchasing (large) equipment and awarding contracts, involve the Procurement Department at an early stage (comply with/take into account DFG guidelines)
• Notify Asset Accounting of any existing DFG-leased equipment
• Early notification of deviations from the schedule and work plan
• The deadline for utilizing publication funds begins with the submission of the final scientific report and is generally 24 months

Area of Responsibility 1.4 Third-Party Funding:

• Calculation and submission of the funding request
• Clarification of specific questions
• Monitoring financial deadlines (e.g., funding requests, interim reports)
• Preparation of the annual interim financial report
• Reviewing invoices in light of the available budget
• Reviewing, approving, and forwarding transfer orders for material resources
• Confirmation of the transfer of DFG-leased equipment to the university
• Notification to the fixed asset accounting department upon transfer of ownership of the equipment to the University of Siegen

Phase 4. Project completion

Project management responsibilities:

• Storage and backup of data and results in accordance with the funding agency’s guidelines
• Fulfill publication/dissemination requirements (if applicable)
• Technical statement of use, submission of the final report to the funding agency, documentation of the date of submission of the final report
• Assistance in preparing the final financial statement
• Verifying, in collaboration with the administration, that all project-specific entries have been made; making corrective entries if necessary
• If necessary, submit a request for additional funding due to salary increases (academic).
  This is also possible for non-academic/technical staff, butnotfor support staff.

Area of Responsibility 1.4 Third-Party Funding:

• Financial statement of expenditure (possibly separately for publications)
• Make any necessary adjusting entries
• Mark in the accounting system that the project is completed
• Verify the project duration against the useful life of the equipment and arrange for the transfer of the asset to a collective account upon project completion
• Retention of administrative documents related to the project (reason: retention periods, keeping data available for potential audits)
• Assistance with audits, if necessary 
• If necessary, submit a request for additional funding due to cost-of-living adjustments (financial)
• Retain billing documents (retention period generally 5 years)

ERDF II

The following points pertain to the management of ERDF II projects. ERDF II projects (Leitmarkt, Regio NRW, etc.) as well as ERDF III. Please note that the actual availability of funds cannot be guaranteed.

ERDF II – Project funds are subject to annual allocation and are non-transferable!

Phase 2: Project Setup

Responsibility of Project Management:

• Complete the electronic third-party funding declaration and submit it to the Rectorate along with the contract/grant notification
•   If not already done during project initiation, determine now from which funds the institution’s own contribution is to be provided

Responsibility Area 1.4 Third-Party Funding:

• Review the third-party funding declaration
• Set up and notify a PSP element
• If necessary, return the acknowledgment of receipt and waiver of legal recourse

Phase 3: Project Implementation

Area of Responsibility: Project Management:

• Scientific implementation
• Monitoring of project-specific deadlines
• Compliance with technical reporting requirements, such as the preparation and submission of interim or final reports
•   State personnel can only be funded through ERDF II after the regular contract term ends; refinancing or termination agreements are not possible.
• Maintaining timesheets for staff (Note: anything over1,650productive hours per year will be reduced!). Timesheets must be maintained for all employment relationships! (e.g., various projects)
• Review of timesheets regarding business trips, work on other projects, holidays, and periods of absence
•   Maintaining absence lists (in comparison with timesheets)
• Submit timesheets for respective funding requests to Dept. 1.4
• Review personnel postings (account assignment, plausibility)
• Generate and archive purchase orders
• Review invoices (project relevance & billability) and account for them
• Checking material expenses (account assignment and completeness)
• If a transfer of miscellaneous expenses is necessary, complete and sign the transfer request form, then submit it via Dept. 1.4
• When purchasing (large) equipment or awarding contracts, the Procurement Department must be involved at an early stage (net value of €3,000 or more). Special Note: For ERDF II projects, three competitive bids must be obtained for all procurements with a net value of €500 or more!
•   If there are changes, overruns, or adjustments to the AZA plans, the funding agency must be involved at an early stage
• The individual budget items within the expenditure categories cannot be used to cover each other

Area of Responsibility 1.4 Third-Party Funding:

• Calculation and submission of the funding request, including sending copies of receipts and original timesheets
• Create lists of supporting documents
• A list of all purchases with a net value of €500 or more must be attached to every funding request
• Review invoices in light of the available budget
•   Review, approve, and forward transfer orders
• Copies of employment contracts must be submitted for all project staff.
• Clarification of specific questions
• Monitoring of financial deadlines (e.g., funding requests, feedback on budget requirements, final report)

Phase 4: Project Closure

Project management responsibilities:

• Storage and backup of data and results in accordance with the funding agency’s guidelines
• Annual technical report due by March 30
• Monitoring project-specific deadlines (e.g., technical report, final report, utilization report, monitoring form)
• If applicable, fulfill publication/dissemination requirements
• If not already determined during project setup, it should now be decided from which funds the co-financing will be provided
• Since all projects are generally subject toon-siteaudits, all equipment and items purchased through the project must be labeled with the funding agency’s special stickers/logos

Area of Responsibility 1.4 Third-Party Funding:

• Final financial statement
• Create and review the complete list of receipts (ensuring consistency with accounting entries)
• Verify the project duration against the useful life of the equipment and arrange for the asset to be transferred to a collective account after the project ends
• Documentation of the separation of economic and non-economic activities
•   Notify the funding agency of the further use of items purchased with the grant (after consultation with project management)
• Technical implementation of deficit offset / own contribution
• Mark in the accounting system that the project is completed
• Since all projects are generally auditedon-site, the retention period must be noted on all project documents.

Retention of administrative documents related to the project (Reason: retention periods, keeping data available for potential audits) Deadline: December 31, 2028

Funds from the State of North Rhine-Westphalia (MIWF):  

Phase 2: Project Setup

Project Management Responsibilities:

• Complete the electronic third-party funding declaration and submit it via the Rectorate along with the contract and grant notification
• If not already done during the project initiation phase, determine now from which funds the institution’s own contribution, if any, should be provided

Responsibility Area 1.4 Third-Party Funding:

• Review of the third-party funding declaration
• Set up and notify a PSP element
• If necessary, return the acknowledgment of receipt and waiver of legal remedies  

Phase 3: Project Implementation

Area of Responsibility: Project Management:

• Scientific implementation
• Compliance with technical reporting requirements (such as the preparation and submission of interim or final reports) and project-specific deadlines
• Technical interim verification
• Verification of personnel entries (accounting codes, plausibility)
• Maintaining timesheets (if required by the funding agency)  
• Checking in advance whether procurements may be made in accordance with the grant award letter
• Generate and archive purchase orders
• Review invoices (project relevance & billable) and assign accounts
• Check entries for non-personnel expenses (account assignment, completeness)
• If a transfer of material expenses is necessary, complete and sign the transfer request form, then submit it via Dept. 1.4
• When purchasing (large) equipment or awarding contracts, involve the Procurement Department at an early stage (net value currently starting at €3,000)
• In case of changes to or exceeding the AZA, clarify with the funding agency/ministry

Area of Responsibility 1.4 Third-Party Funding:

• Calculation and submission of the funding request
• Create lists of supporting documents if necessary
• Clarification of specific questions
• Inquire about annual cash requirements with project management, calculate them, and report them to the funding agency
• Monitoring financial deadlines (e.g., funding requests, feedback on budget requirements)
• Obtain the Chancellor’s signature (excluding applications)
• Interim financial report  
• Calculation of hourly rates  
• Review invoices in light of the available budget
• Review, approve, and forward material resource transfer requests  

Phase 4: Project completion

Project management responsibilities:

• Store and back up data and results in accordance with the funder’s guidelines
• Comply with publication/dissemination requirements (if applicable)
• Technical statement of use, submission of the final report to the funding agency, documentation of the date of submission of the final report
• Monitoring project-specific deadlines (e.g., technical report, utilization report)
• Reviewing lists of supporting documents (project relevance & own contribution, if applicable)
• If applicable, assign the list of receipts to the financing plan

Area of Responsibility 1.4 Third-Party Funding:

• Financial statement of expenditure
• Create and review lists of supporting documents (consistency with accounting entries)
• Technical implementation of deficit/own contribution adjustment
• Retention of administrative documents related to the project (reason: retention periods, keeping data available for potential audits)
• Marking in the accounting system that the project is completed

FOUNDATIONS:

Phase 2: Project Setup

Responsibility of Project Management:

• Complete the electronic third-party funding form and submit it to the Rectorate along with the contract and grant award letter
• If not already done during project initiation, determine now from which funds the institution’s own contribution should be provided, if applicable

Responsibility Area 1.4 Third-Party Funding:

• Review of the third-party funding declaration
• Set up and notify a PSP element
• If necessary, create and send funding drawdown schedules  

Phase 3: Project Implementation

Area of Responsibility: Project Management:

• Scientific implementation
• Compliance with technical reporting requirements, such as the preparation and submission of interim or final reports
• Technical interim verification
• Verifying personnel entries (accounting codes, plausibility)
• Maintaining timesheets (if required by the funding agency)
• Checking in advance whether procurements may be made in accordance with the grant award letter
• Generating and archiving purchase orders
• Review invoices (project relevance & billable) and assign them to accounts
• If a transfer of non-personnel expenses is necessary, complete and sign the transfer request form, then submit it via Dept. 1.4
• Reviewing material expenditure entries (account assignment, completeness)
• When purchasing (large) equipment or awarding contracts, involve the Procurement Department at an early stage (net value currently starting at €3,000)
• In case of changes to or exceeding the funding plan, clarify with the foundation  

Area of Responsibility 1.4 Third-Party Funding:

• Calculation and submission of the funding request
• Create lists of supporting documents if necessary
• Clarification of specific questions
• Monitoring financial deadlines (e.g., funding requests, feedback on budget requirements)
• Technical implementation of deficit balancing / own contribution
• Obtain the Chancellor’s signature (excluding applications)
• Interim financial statement Ø Hourly rate calculation  
• Review invoice (budget and general ledger account)
• Review, approve, and forward transfer orders for material funds  

Phase 4: Project Closure

Project management responsibilities:

• Storage and backup of data and results in accordance with the funder’s guidelines
• Fulfill publication/use requirements (if applicable)
• Technical statement of use
• Monitoring project-specific deadlines (e.g., technical report, utilization report)
• If applicable, clarify the source of funds to cover any deficit or the project’s own contribution after the project ends
• Reviewing lists of supporting documents (project relevance & own contribution, if applicable)
• If applicable, assign receipt list to the financing plan

Area of Responsibility 1.4 Third-Party Funding:

• Financial statement of use
• Create and review lists of receipts (consistency with accounting entries)
• Retain administrative documents related to the project (reason: retention periods, keeping data available for potential audits)
• Marking in the accounting system that the project is complete