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Masaryk University Directive No. 6/2016
Project Management
(in the version effective from 1 December 2016)
In accordance with Section 10, paragraph 1 of Act No. 111/1998 Coll., On Higher
Education Institutions and on Modification and Amendment of Other Acts, as later
amended (Higher Education Act), hereinafter referred to as the “Act”, I issue this
Directive:
Article 1
Subject Matter and Competence Provisions
(1) This Directive lays down rules for the submission of project proposals and project
management at Masaryk University (MU). It is based in particular on Acts No.
130/2002 Coll. (Act on Support of Research and Development), No. 218/2000 Coll.
(Budgetary Rules), Decree No. 367/2015 Coll. (Financial Settlement of Relations
with the State Budget) and No. 320/2001 Coll. (Act on Financial Control in Public
Administration), as later amended.
(2) The persons listed in the Organisational Regulations of MU are responsible for coordinating
the activities governed by this Directive, according to the competencies
set out in Appendix No. 1.
(3) At the MU level, the relevant MU departments coordinate and methodologically
manage project-related activities according to the competencies set out in Appendix
No. 1 and the classification of the Project Management Information System (PMIS),
in the section Investors.
(4) At the level of the economic unit, the responsible workplaces of the economic unit
coordinate and manage project-related activities, which, in cooperation with the
relevant MU departments, provide support in the preparation, implementation and
sustainability of projects. Heads of economic units are responsible for establishing
the workplaces at the economic unit and for ensuring their activities in the
coordination, management and support of projects.
Article 2
Definition of Terms
(1) In the context of project management, the following terms are defined in this
Directive:
a) A project is a self-defined summary of activities with unambiguously-allocated
financial, human and other resources and with specified performance objectives
and outputs achieved within the set time limits. The project has the following time
phases: proposal, implementation, completion, and possibly sustainability.
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b) Project outputs are results according to the requirements defined by the provider
in the tender documentation, in the contract or in the decision to provide a grant.
They are described in detail in the project proposal.
c) The investor allocates funds for the implementation of the project or its part.
d) The provider is the investor who allocates funds for the implementation of the
project or its part in the form of a grant on the basis of authorisation by valid legal
regulations.
e) A grant project is a project that is at least partially financed from a grant provided
for it.
f) Assigned funds are those provided by the investor for the pre-specified purpose of
the project. They may be grant or non-grant. Non-grant funds may be, for
example, endowments or donations.
g) An internal project is a project whose sole investor and sole beneficiary is MU.
h) The applicant is the entity applying for the provision of a grant. In all projects the
applicant is always Masaryk University.
i) A contract is a contractual relationship entered into by MU in connection with a
project. For grant projects, the contract is a contract with the provider or partner
or the provider's decision to provide public funds. In the case of an internal
project, a contract means the decision of an authorised employee of MU, usually
the Rector or the head of the economic unit, to implement the project.
j) The contractual partner of all projects (legal entity, which is given in the contracts
as the contracting party) is in principle MU. The person authorised to act on behalf
of MU is the Rector or a person authorised by him. MU identification data is
contained in Appendix 2.
k) The sustainability period of the grant project (hereinafter referred to as the
sustainability period) means the period following the completion of the project,
during which the beneficiary is obliged to achieve the results and deliver the
outputs specified in the project. The sustainability period and the related
obligations are set by the provider.
l) Possible roles in projects:
1. Masaryk University:
• The beneficiary-coordinator has a leading role in the group of
participants and is responsible to the investor for the project as a
whole.
• The beneficiary is the only participant in the project.
• The partner participates in the implementation of a defined part of the
project based on a contractual relationship. Another participant has a
leading role in the project. The terminology may vary according to the
type of provider (e.g. recipient, co-recipient, other participant).
2. economic unit
• Main economic unit = responsible to MU for the whole project.
• Other economic units = for projects in which several economic units are
involved; it is only responsible for the part of the project that is
implemented at the given economic unit under a written Cooperation
Agreement.
3. individual
• The proposer represents the future investigator in the phase preceding
the decision on the acceptance of the project and fulfils all their
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relevant functions. He/she is responsible for preparing the project
proposal according to the investor's rules. The project proposer
presented by Masaryk University is a MU employee or a MU student. If
the proposer is a MU student, a professional guarantor who is an MU
employee must always be listed as the obligatory co-investigator in the
project.
• The investigator is a MU employee or a MU student who is responsible
for the project as a whole on the basis of authorisation, or for the
corresponding part of a project in which MU is a partner. If the
investigator is a MU student, the professional guarantor who is an
employee of the MU must always be listed as the obligatory coinvestigator
in the project.
• Another investigator is a MU employee or a MU student who
participates in the investigation of the relevant part of the project,
which is being investigated in cooperation with several economic units.
Another investigator is responsible for solving a partial part of the
project to the head of the economic unit.
(2) For the purposes of the financing of the project, the following terminology is
introduced for the purposes of this Directive:
a) Project pre-financing means temporary coverage of the project costs from MU
resources in a situation where the project costs at the beginning or during its
investigation temporarily exceed the income from funds transferred by the
investor to the MU account.
b) Project co-financing means the participation of MU in the financing of a grant
project or a special-purpose non-grant project. Another entity may participate in
the project co-financing.
c) Project costs are funds that will be spent on the project at the time of payment
and are already established in the accounts.
d) Project expenditures are the costs incurred by MU for a project that has already
been paid.
e) Eligible costs of a project are expenditures or costs that meet the conditions set by
the investor.
f) Project order means the separate monitoring of costs and revenues of the project
or its part in the accounting of MU. The order number is assigned by the
accounting department of the economic unit where the order is executed.
Article 3
Project Documentation Management
(1) The basic evidence tool for the registration of documents and files is the University
Information System (IS). Documents and files for registration are transferred to the
IS MU through the Project Management Information System (PMIS, or ISEP in
Czech), which is the exclusive tool for the registration of project data at MU, for
project planning and for storing the electronic part of the project documentation.
(2) All proposals and implemented projects must be recorded in the PMIS, for which a
guide to the project proposal and a guide to the implemented project must always
be submitted, signed by the relevant persons, or approved electronically, unless the
methodology for the given programme framework states otherwise. Guides are
entered into the PMIS by the relevant MU departments, except for guides for
projects under the responsibility of the economic unit.
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(3) Electronic originals and copies of all documentation related to the design,
implementation, completion and eventual sustainability of the project must be
stored in the PMIS, unless otherwise specified in the methodology for the
programme framework. Part of the documentation can also be stored in paper form
at the relevant MU departments or at the economic unit.
(4) Documentation of the project must be kept in accordance with the MU Directive
Filing Regulations, which lays down uniform rules for document handling.
(5) The project investigator is responsible for the correctness and completeness of the
project documentation.
(6) The PMIS is connected to the Control System, within which internal project audits
are carried out and recorded, and external audits and project audits are registered
at MU. The records of internal audits at individual economic units and RMU are
provided by authorised persons, records of internal audits and external audits of
projects and audits are ensured by the department with the competence for internal
audits at MU.
(7) Collective access rights to the PMIS for projects at a given economic unit are
approved by the bursar in the case of faculties, or in the case of non-faculty
economic units by their head. Individual rights for a specific project are assigned by
the project investigator.
Article 4
Project Proposal
(1) Proposal submission process:
a) The proposer creates the project proposal in the PMIS, fills in all required
information in the PMIS and enters in it the final version of the project application
including all attachments required by the investor.
b) Closing the proposal in the PMIS initiates the approval process.
(2) Approval process:
a) Approval takes place through a paper or electronic guide from the PMIS:
4. By signing the project proposal guide, the proposer confirms the professional
and financial feasibility of the project in the required quality and by the
deadlines with the given financial resources.
5. The head of the economic unit (or other persons authorised by him/her)
confirms with his/her signature the obligation to ensure that the proposer
within the internal working competencies of the economic unit has the
conditions for successful investigation of the project within the scope of the
project proposal. He/she is also responsible in all cases for the correct
assessment of the sources of project financing and for arranging property
relations to the project results in the manner required by the contract or grant
decision and the tender documentation.
6. At MU level, the proposal is approved by the responsible official, who, by
signing the guide, expresses his consent to the submission of the project
proposal to the Rector for signature. This does not apply to projects where the
signature of the responsible official on the guide and the Rector's signature on
the project proposal are not required. Documentation in paper form shall be
submitted for approval and signature. The relevant MU departments are
responsible for ensuring the signature of the responsible official on the guide.
If the investor does not require submission of the proposal in paper form with
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the signature of the statutory representative of MU, the proposer submits in
paper form only the cover note of project proposal and further follows the
instructions for the given programme framework.
7. Completion of the approval process is a condition for ensuring the signature of
the statutory representative and sending the proposal to the provider.
8. Proposals for projects to be signed by the Rector are submitted via the
relevant MU department. They must be delivered at least 3 working days
before the deadline for sending to the investor, unless another deadline is
specified in the methodological instructions of MU for submitting the
application for the given type of project.
(3) The proposer is responsible for the timely delivery of the signed project proposal to
the investor, unless otherwise agreed with the relevant MU department.
(4) The rules for approving and signing a project proposal are governed by the
provider's requirements, internal regulations of the relevant economic unit and the
MU Statutes.
(5) The project proposal documentation consists of the following parts:
a) project proposal guide
b) and final version of the project proposal including attachments.
Article 5
Project Implementation
(1) The given economic unit will convert the project proposal in the PMIS into
implemented projects on the basis of the Decision on Allocation of a Grant/Subsidy,
Agreement on Provision of a Grant, Grant Agreement or other document, or the
promise of the provider that the provision of the grant for the project is certain. The
project proposal budget must be revised by the provider before the transfer.
(2) Approval is given through the guide to the implemented project in the PMIS:
a) The investigator confirms by signing that he/she is familiar with the complete
contractual documentation and undertakes to investigate the project according to
the submitted proposal, in accordance with valid Czech legislation, internal MU
standards, contract, concluded contracts and rules for using allocated funds.
b) The economic unit head (or another person authorised by him/her) confirms by
his/her signature that he/she will provide the authorised investigator with the
necessary conditions within the economic unit and will determine the
responsibilities for ensuring supporting activities during the project investigation.
c) At the MU level, the project is approved by the responsible official, who by his/her
signature expresses his/her consent to the submission of the contractual
documentation for signature to the Rector. The relevant MU departments are
responsible for the formal checking of the submitted documentation and ensuring
the signature of the responsible official. This does not apply to projects where the
signature of the responsible official on the guide and the Rector's signature are not
required.
d) The completion of the approval process is a precondition for securing the signature
of the contractual documentation by the Rector. The relevant MU departments are
responsible for securing the signature of the statutory representative.
(3) The head of the economic unit authorises the investigator to investigate the project.
By signing the authorisation, the investigator accepts responsibility for the
professional and administrative aspects of the project investigation and its
management in accordance with the investor's conditions and the internal
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regulations of MU. The investigator’s authorisation is generated from the PMIS. A
specimen authorisation with specified duties is given in Appendix No. 3. A copy of
the signed authorisation must be saved in the PMIS. The types of project for which
the investigator's authorisation does not need to be documented (typically internal
projects) can be determined by the relevant MU department or the head of the
economic unit. In the case of termination of employment of the investigator within
the duration or sustainability of the project or in case of withdrawal of the
investigator from the project, the head of the economic unit authorises a new
investigator. If a new investigator is not authorised, the duties of the project
investigator are transferred to the head of the economic unit.
(4) Implementation of the project is carried out in accordance with the conditions of the
provider. In the case that the project documentation (changes, interim reports, final
reports, partnership contracts, amendments, etc.) of the implemented project
requires the signature of the statutory representative, it is necessary to provide an
approved project implementation guide with the completed specification of the
purpose of the guide. Situations where it is necessary to deliver a cover note will be
regulated in the methodologies for the given programme frameworks.
(5) In case of a change that changes the basic parameters of the project, the
investigator is obliged to give notification and have the change approved by the
relevant economic unit.
(6) Exceptional situations during the project:
a) In the event of a change in the conditions for the investigation of the project that
makes it impossible to meet its objectives and outputs, the Rector/head of the
economic unit may terminate the project prematurely, either on his/her own
authority or at the request of the investigator. In cooperation with the relevant MU
department, the investigator will discuss the possibility and method of early
termination of the project with the investor.
b) In case of non-fulfilment of project objectives, breach of budget management
rules or other shortcomings proven by the investor or superior control, the
relevant provisions of the Labour Code on employee liability for damage apply to
the authorised investigator. The extent of damage is assessed according to the
valid MU Directive on Claims Proceedings.
c) If any of the persons involved in the project management finds unauthorised or
incorrect drawdown of the project funds or the risk of such a situation, he/she is
obliged to inform the investigator and the head of the economic unit/Rector
without delay.
d) Financial fulfilment of the requirement to return unauthorised or incorrectly used
funds, including assessed penalties and fines, are fully charged and paid from the
budget of the relevant economic unit, unless the error was demonstrably caused
by a mistake of one of the relevant MU departments.
(7) Specific project management rules for a given economic unit may be regulated by a
standard issued by the economic unit Head, the provisions of which are in
accordance with this Directive.
(8) Project monitoring and control:
a) Continuing supervision of project management mechanisms and procedures is
carried out by the relevant MU department and, within its competencies and
duties, also by the department responsible for internal audits at MU.
b) At each stage of the project, the project investigator is obliged to document the
drawdown of funds in cooperation with the economic unit accounting department.
c) Inspections of individual projects may include planned or extraordinary internal
and external audits and inspections as required by the investor or at MU
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discretion. The Bursar is responsible for the selection of the external auditor, the
audit is ordered by the relevant economic unit at their own expense or as a project
expense.
d) In the case of all external and internal controls and audits on projects, the
investigator is obliged to ensure without delay the submission of the required
documents. If so determined in advance by the inspection body or auditor, the
investigator and, where appropriate, other team members shall take part in the
relevant meetings.
(9) The project documentation consists of the following parts:
a) a guide to the implemented project,
b) authorisation of the investigator,
c) all contractual documentation related to the project (with the provider, partners,
etc.),
d) applications for and decisions on changes to the project,
e) interim and final reports,
f) interim and final accounts,
g) minutes of physical and financial controls and audits and evaluations of projects
carried out by the provider
h) and other documents related to the project.
Article 6
Project Completion
(1) The project is completed by the fulfilment of its objectives, approval of the final
report and termination of funding. At the same time, all project contracts are
concluded and the authorisations issued in relation to the project are cancelled,
except when sustainability of the project is required or the project results are being
implemented. The decision on the duration of the sustainability period or any postproject
review or new authorisations is the responsibility of the economic unit head.
(2) Completed project documentation includes:
a) complete documentation of the implemented project, which was current at the
date of its completion,
b) final statement,
c) a final report, if required by the investor,
d) final evaluation, respectively minutes of the final inspection, if any,
e) records of audits and external controls where audits have been carried out
f) and monitoring reports in the sustainability period prescribed by the provider.
Article 8
Final and Transitional Provisions
(1) This Directive repeals the Rector's Directive No. 4/2009 “Project Management and
Administration at Masaryk University”.
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(2) Instructions and methodological materials for individual programme schemes will be
issued on an ongoing basis to the provisions of this Directive.
(3) I authorise the Head of the Office for Research and Development of the MU Rector’s
Office to interpret the individual provisions of this Directive.
(4) This Directive falls within the area of methodological management of “Project
Support”.
(5) Compliance with this Directive is checked by the relevant MU departments.
(6) This Directive shall enter into force on the day of its publication.
(7) This Directive comes into effect on 1 December 2016.
Appendices: No. 1 Competences at MU
No. 2 MU Identification Data
No. 3 Authorisation of the Investigator
In Brno, 29 November 2016
Mikuláš Bek
Rector