Funding gap

Funding gaps occur when expenses are incurred in research projects that cannot be financed by the money provided by the third-party funder.

A funding gap in the project can lead to invoices not being paid or to the project accounts (WBS element) being in the red after project completion.

Please refer to the notes on budget availability control (AVC).

These gaps in funds must always be paid.

The first principle:

  • If gaps in funds become known during the course of the project, attempts must first be made to compensate for them through savings and reallocation within the project .
  • In some cases, a subsequent application to the funder is also possible. Both must be coordinated with the funder/project management agency.
  • If the gap must be made up from budgetary resources, the following applies:
    First, resources of the department/institute must be used. If this is not possible or not possible to the full extent, an application may be made to the President's Office.

In all cases, please first contact the Research Support Department (AF) and the Third-Party Funding Management Unit (AW3).

The overview shows possible causes for gaps in funds, how these can be avoided at the time of application, and how gaps in funding that have arisen can be compensated for.
 

CauseAvoidance for applicationPossible solutions
Material resources too low in application (at fault, e.g.: VAT not included)Send calculation to AF for review prior to submission.
  • Savings within the project.
  • After project completion, compensation from budget funds of the department/institute.
Material resources too low in application (through no fault of applicant, e.g.: price increases)Calculate realistically, allow for buffers.
  • Savings within the project.
  • Clarify possibility of subsequent application with  funding agency/project management organization (rarely possible).
  • After project completion, compensation from budget funds of the department/institute.
  • If applicable, request to the President's Office (only in exceptional cases)
Human resource funds too low in application (at fault, e.g. annual bonus or scheduled raises not included)Take note of "Personnel cost calculation”
Send calculation to AF for review prior to submission.
  • Savings within the project.
  • Clarify possibility of subsequent application with funding agency/project management organization.
  • After project completion, compensation from budget funds of the department/institute.
Human resource funds too low in application (through no fault of applicant, e.g.: upper limits for TBA personnel are not sufficient)Take note of "Personnel cost calculation”
If possible, calculate on a person-by-person basis.
  • Savings within the project.
  • Clarify possibility of subsequent application with  funding agency/project management organization.
  • DFG projects: A request for additional personnel funds (due to collective bargaining agreements) can be made here.
  • After project completion, compensation from budget funds of the department/institute.
  • If applicable, request to the President's Office (only in exceptional cases)
Human resource funds increase in the course of the project due to collective bargaining agreement increases

Take note of "Personnel cost calculation”
Problems or omissions in calling up the funds

Get assistance from Third-Party Funding Management Unit.
Train staff on fund retrieval and project management.
Super X  |  SuperX Training
Followregulations on AVK. This determines whether and to what extent third-party accounts can be overdrawn.

  • Contact project management agency. Shifting funds might be possible.
  • Savings within the project.
  • After project completion, compensation from budget funds of the department/institute.

Costs are not recognized as eligible (in full) by the funder/project management agency when the project is settled.

In the case of federal funding, this may include, for example, internal services . Please observe notes on this.

Observe the terms and conditions of the grant and the additional provisions.

 

 

If internal services are to be used, please inform AF at an early stage (prior to application). Together with the institutions concerned, we will help you to comply with the specifications of the project management agencies as far as possible, to minimize any gaps in funding, and to examine possibilities for counter-financing.

  • After project completion, compensation from budget funds of the department/institute.
  • Request to the President’s Office possible in some cases. Please make early arrangements with AF.
Allocation to basic funding (DFG)

When applying for collaborative projects, the DFG regularly allocates certain budget items to basic funding. That is, these funds must be provided by the university.		Carefully justify all budget items as relevant to research. Regularly portions of the funds for student assistants are referred to the university budget, since the training aspect of their employment ("introduction to research") falls under the original tasks of the university.
  • The contribution to be made by the university and other support options should be discussed at an early stage between the applicant and the university management. AF will gladly take over the coordination of these discussions.