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FAQ on Declaration of Obligation of Compliance

frequently asked questions on Declaration of Obligation of Compliance

Who is responsible for filing the required Declaration of Obligation of Compliance and Applicability of the DFG’s Rules of Procedure for Dealing with Scientific Misconduct when researchers with a high level of scientific/academic responsibility employed outside the applicant HEI institution(s) are involved in the project? Is the coordinating host university responsible, or the institutions at which the researchers are employed?

Both options are possible; note that it is sufficient for the coordinating host university to collect and keep on file all such declarations. A central, institution-wide archiving system can be used but is not a requirement.

Can matters be arranged in such a way that each HEI or other research institution keeps on file the Declarations of  Obligation of Compliance of the individuals employed by it – i.e. the DFG can then contact the relevant institution in the event of an emergency?

Yes, but it should be borne in mind that the DFG will contact the host institution if it has any queries; the latter must then be able to produce the relevant declarations.

What exactly is meant by the phrase “ten years after the end of the last funding period” with regard to submitted proposals?

The last funding period means either the last period of regular funding or completion funding – the exact period is specified in the award letter. Please note: This does not include subsequent allowances for parental leave.

Does the obligation to retain the Declarations of Obligation of Compliance that were submitted at the draft proposal stage also apply if the proposal does not proceed to the full proposal stage?

Yes, such declarations are to be kept for ten years after the submission of the draft proposal.

What is the procedure to be followed with regard to the declarations in the case of new persons with a high level of research responsibility who join a project during the course of the funding period?

A Declaration of Obligation of Compliance must be obtained from these persons and kept on file at the host institution or at the employing institution.

Do new Declarations of Obligation of Compliance have to be obtained from all persons with a high level research responsibility when submitting a proposal or a renewal proposal, even if they are already available for the draft proposal or the establishment proposal?

Yes, new declarations must be obtained for each new phase.