30.11.2010 - 28.02.2011

Announcement

by the Federal Ministry of Education and Research of Regulations Governing Funding in the Area of Security Economics and Security Architecture within the Framework of the Federal Government's "Research for Civil Security" Programme of 19 November 2010

With this call for proposals, the Federal Ministry of Education and Research (BMBF) aims to support research on societally relevant issues of civil security. It expects interdisciplinary projects on questions of security economics and security architecture. Important funding criteria include knowledge gain and innovativeness, relevance of the findings and solutions, their scientific quality, and the importance of the work for increasing civil security.

1 Funding purpose and legal basis

1.1. Funding purpose

The programme "Research for Civil Security" (http://www.sicherheitsforschungsprogramm.de) focuses on improving the protection of citizens against threats resulting inter alia from terrorism, organized crime, natural disasters or major technical incidents.

The "Research for Civil Security" programme considers security research in a broad context. Recipients of funding are expected to propose research solutions that make an important contribution to civil security while giving serious consideration to both the technological and societal dimensions.

Innovative security solutions can only be successful if their benefit and added value are optimized through the dialogue with users and the public. That is why societal issues are of central importance. They are divided into four dimensions: "technology", "organization", "architecture" and "culture" (cf. pillar model described at http://www.bmbf.de/de/12654.php). Issues in the fields of "security culture" and "security architecture" were already addressed in a first call on the societal dimensions of 21 October 2008 (cf. text of call under http://www.bmbf.de/foerderungen/13124.php). Some of these issues are taken up in a modified and more specific form in the current call.

1.2 Legal basis

Project grants will be awarded in accordance with the present funding regulations, the BMBF's standard terms and conditions for grants on an expenditure or cost basis and the administrative regulations under section 44 of the Federal Budget Code (BHO). There is no legal entitlement to funding. The funding provider will make a decision after due assessment of the circumstances and within the framework of the budget funds available. This programme has been notified to the EU Commission.

2 Object of funding

This call for proposals refers to research on the economic aspects of security as well as research into security architecture. These will close gaps in current research without excluding further topics in the field of the societal dimension of civil security. The aim is to work on issues which are related to the societal demands and expectations regarding security and the societal conditions necessary for public acceptance of the security solutions proposed under the civil security research programme. In addition to analysing unresolved issues, the research should also contribute to a better understanding of technological developments in civil security research, both among scientists and the general public. The call addresses the following topic areas.

2.1 Topic areas

2.1.1 Security economics

The translation of solutions and technologies into marketable security products, procedures or services is decisive for the success of civil security research. According to the OECD (Organisation for Economic Co-operation and Development), the market for security products and services is growing at an annual rate of five to seven percent. Innovative security solutions also offer competitive advantages internationally and can encourage the development of lead market situations. With its demand for security solutions, the state can open up new market opportunities and facilitate the introduction of innovations. This presupposes an efficient industrial basis and competitive cost structures. Funding will be granted for analyses and studies on economic assessments and models from which application-based strategies or recommendations for action can be derived.

Possible research topics include:

• Economic assessment of security requirements and evaluation of the funding of security products. Consideration will be given to research on the economic effects of security measures on the optimization of cost structures, comparing the public and private sectors, and on the distribution of costs and benefits among different stakeholders.
• Innovative business models and strategies for security products, also taking into account society's willingness to pay and the effects of technological innovations, for example in the field of infrastructures or public spaces. This can also include a comparative analysis of national or international best practices.
• Economic effects of different frameworks for security measures (e.g. laws, norms, standards, forms of procurement). Here one could consider, for example, to what extent the state can establish an entry market for civil security solutions by introducing specific requirements or regulations. A further potential topic for research is the analysis of possible market fragmentation and recommendations for action to achieve improved free-market competition
• Economic consequences of processes of change in security culture.

Possible examples are the consequences of a changed willingness to become engaged in civil activities, the effects of demands for higher qualifications to deal with high-tech security products, or the results of changing demands for ensuring public security.

2.1.2 Security architecture - regulating the division of security responsibilities

The fact that the state is no longer regarded as being exclusively responsible for civil security is a sign of the current process of transformation in the security sector. However, it is still unclear just how new structures will emerge. Funding will therefore be granted to innovative contributions towards identifying appropriate structures and practices for dividing responsibility for security among different societal stakeholders. Funding will also be granted to concepts for solutions to the security culture challenges resulting from this change in security architecture.

Possible research topics include:

• The Europeanization of national security systems, institutional and regulatory harmonization, and the repercussions of European and international standards on structures in Germany.
• Shaping security with increasing involvement of societal stakeholders in critical infrastructures. The potential conflict between private ownership and security as a public good is a particularly interesting aspect. Research projects may refer to the legal framework conditions, organizational forms and practical aspects of ensuring security. A further point for consideration is how to establish market incentives and mechanisms which ensure the observance of societal security interests against the background of the privatization of former state areas of responsibility (e.g. critical infrastructures).
• The security of public spaces in the context of cooperation between public and private security service providers. Of particular interest here are studies which deal with the partial privatization of the public space and the resulting demand for security services: for example, with forms of private-public partnerships in the security sector.
• The effects of an increasing mixture of public space and cyberspace on security; how are risks (for example, due to terrorism or criminality), security demands (for example, as protection against "remote-controlled attacks" or protection of privacy) and security services (such as guaranteeing fundamental rights) changing; what security culture dynamics are connected with these waves of technology?
• Guidelines for a future security architecture. Topics may refer to general studies or case studies dealing with questions of the relationship between self-organization and government tasks, between civil and state responsibility, or the relationship between principles such as control, prevention, precautions, reaction, resilience, etc.

2.2 Orientation of the research

The fields mentioned should be application-oriented and represent a clear added value for civil security research. They are expected to produce concrete results which lead, for example, to strategies or recommendations for action for policy-makers, end-users, institutions involved in public security, etc.

The topic areas can be addressed using different approaches:

• Research on methodical problems occurring in the field of security research. This can involve gathering indicators or data on the security economy as well as determining evaluation criteria to gauge the efficiency of measures. Qualitative as well as quantitative methods can be used for this purpose.
• Research that is fundamentally geared towards empirical reviews and whose findings provide important guidance for the development of security solutions.
• Research which refers to the development of transferable (evaluation) studies in the field of security economics or the identification of responsibilities and procedural models for defined problem situations.

3 Funding recipients

Research proposals may be submitted by institutions of higher education, non-university research and development establishments, commercial companies (which are headquartered and mainly exploit their results in Germany) and other institutions that can provide research contributions and meet the conditions of the funding purpose and the prerequisites for funding. Authorities and their research establishments, as well as similar institutions as end-users (including fire brigades, police, and disaster relief organizations) are also eligible to apply.

The BMBF aims to increase the share of universities of applied sciences that receive research funding. Universities of applied sciences in particular are therefore invited to participate in collaborative projects.

4 Prerequisites for funding

Innovative projects which address the topic areas laid out in section 2 ("Object of funding") are eligible for funding.

Priority will be given to cooperative research projects that address individual topics in various disciplines. The required interdisciplinarity refers mainly to collaborations between different disciplines in the social sciences, such as the humanities, cultural sciences, economics, law and others. The inclusion of technology or natural science disciplines, companies and end-users (infrastructure operators, authorities and security and emergency services) is not only possible, but welcome. The aim is to gain deep insights into the basic problems related to security and to develop improved applications for new security technologies through the use of innovative approaches and methods. The basic premise is that interdisciplinary collaborations contribute to the comprehensive examination of complex issues, increase the quality and comparability of findings, and lead to a sustainable dissemination of the results.

In the case of a collaborative project, the partners should formalize their cooperation by concluding a cooperation agreement. In this case, the collaboration partners must prove that they have reached a basic agreement on the criteria stipulated by the BMBF before a funding decision can be taken.

For further details please refer to the BMBF form 0110, which can be found at http://www.kp.dlr.de/profi/easy/bmbf/pdf/0110.pdf.

Before submitting a proposal, applicants should check whether it would be more appropriate to submit the envisaged project under the scenario-based or the technology-based programme lines (see Section 1.1). They should also check whether the proposed project includes specific European components which would make it eligible for exclusive or supplementary funding from the EU (e.g. http://www.cordis.europa.eu/fp7/cooperation/security_en.html). The result of such investigations should be described briefly in the national project application. Cooperation with European partners is desired.

5 Type, scope and rates of funding

Funds will be awarded as non-repayable project grants. The basis for calculating the grants for universities, research and science institutions and similar establishments is the eligible project-related expenditure (in the case of the Helmholtz centres and the Fraunhofer Gesellschaft FhG, the eligible project-related costs), which can be funded up to 100 % in individual cases.

Grants for commercial companies are calculated on the basis of the project-related costs eligible for funding, up to 50% of which can, as a rule, be covered by government grants depending on how near the project is to application. The BMBF's policy requires an appropriate own contribution of at least 50% towards the eligible costs incurred.

The European Commission's Community Framework for State Aid for Research, Development and Innovation must be taken into account when determining the rates of funding. This Framework allows differentiated rules on extra percentage points for SMEs, which may result in a higher rate of funding. The EU's definition of SMEs applies (http://www.kp.dlr.de/profi/easy/bmbf/pdf/0119.pdf).

6 Other terms and conditions for awarding funds

The Nebenbestimmungen für Zuwendungen auf Kostenbasis des BMBF an Unternehmen der gewerblichen Wirtschaft für Forschungs- und Entwicklungsvorhaben (Auxiliary Terms and Conditions for Funds Provided by the BMBF to Commercial Companies for Research and Development Projects on a Cost Basis - NKBF 98) will form part of the notification of award of cost-based grants.

The Allgemeine Nebenbestimmungen für Zuwendungen zur Projektförderung (General Auxiliary Conditions for Grants for the Promotion of Projects) and the Besondere Nebenbestimmungen für Zuwendungen des BMBF zur Projektförderung auf Ausgabenbasis (Special Auxiliary Terms and Conditions for Funds Provided by the BMBF for the Promotion of Projects on an Expenditure Basis) will be part of the notification of award for grants on an expenditure basis.

7 Procedure

7.1 Involvement of a project management organization and request for documents

The Federal Ministry of Education and Research has entrusted the following project management organization with implementing the call for proposals:
VDI-Technologiezentrum GmbH
Projektträger Sicherheitsforschung
VDI-Platz 1
40468 Düsseldorf
Germany

Contact person is Dr. Christian Fenster
Tel.: +49 (0) 211/6214-378
Fax: +49 (0) 211/6214-484
e-mail: Ges.dim@vdi.de

Applicants are advised to contact the project management organization before submitting their project outlines. The VDI-Technologiezentrum will provide further information and details.

All project outlines must be submitted using the official form, which can be downloaded from http://www.vditz.de/sicherheitsforschung/bekanntmachungen or requested from the project management organization. Further information and guidelines as well as auxiliary terms and conditions are available at http://www.kp.dlr.de/profi/easy/formular.html.

7.2 Two-phase funding procedure

The funding procedure takes place in two phases.

7.2.1 Submission of project outlines

In the first phase, assessable project outlines are to be sent to the project management organization in written and electronic form by 28 February 2011 at the latest.

The deadline for submission is not a cut-off date. However, it may not be possible to consider project outlines received after this date.

The collaboration partners, represented by the project coordinator, should submit a detailed project outline and all the necessary attachments to the project management organization. The project outline should not be longer than 20 A4 pages (font size 12, 1.5-spaced, double-sided).

The project outlines must be structured as follows:

1. Goals
   1.1 Overall objective of the project, summary of the project proposal
   1.2  Description of the problem, relevance to the funding policy goals of the security research programme, anticipated results
   1.3  Project consortium: Project coordinator, distribution of roles
2. State of the art and applicants' own work
   2.1  State of the art
   2.2  Previous work of the applicants
3. Work plan
   Detailed description of the work of the partners in the collaboration (including sub-contractors if appropriate) and detailed description of the methodological approach, including all scientific problems relevant to the project as well as the proposed solutions.
4. Utilization plan
   Scientific utilization of results by the partners involved, realization, ranging for example from recommendations concerning strategies for action, provisions, guidelines and legal framework conditions to implementation or academic utilization.
   Description of concrete criteria for the success of the project and the effective public presentation of the project (e.g. conferences, panel discussions, media publications, exhibitions, etc.).
5. Network plan
   Work packages, milestones and implementing decisions, including time schedule.
6. Financing plan
   Estimate of overall costs and funding requirements for each individual partner in the collaboration.

Applicants are free to add further points which they consider to be significant for the evaluation of their proposal.

Collaboration partners whose projects are co-financed by industrial partners or other agencies must indicate the amount of external funds expected.

The project partners must agree to take part in integration and evaluation measures. Regular status seminars and conferences will be held to present the results of the funding measure to researchers and the general public.
A legal claim to funding cannot be derived from the submission of a project outline.

7.2.2 Selection of project outlines

The evaluation of the project outlines received will involve external experts and will be based primarily on the following criteria:

• Important contribution to the programme objectives;
• Relevance to the content of the call for proposals;
• Knowledge gain and innovativeness;
• Scientific quality;
• Relevance of the findings and solution approaches;
• Academic and application-related success (publications, lectures, media presence, utilization of the research results);
• Interdisciplinary character of the research project and the team of researchers (creating cross-institute, country-wide or international networks).

Suitable project outlines will be selected for funding on the basis of the evaluation. The project management organization will inform the coordinator of the collaboration in writing of the BMBF's decision (the result of the selection procedure).

7.2.2 Submission of formal applications for funding and decision-making procedure

In a second phase, applicants whose project outlines have been evaluated positively will be invited to submit a formal application for funding on which a decision will be taken following final evaluation by the BMBF.

The approval, payment and accounting for the funds as well as the proof and examination of the proper use and, if necessary, the revocation of the award and the reclaiming of the funds awarded are governed by the administrative regulations pertaining to section 44 of the Federal Budget Code (BHO) and sections 48 to 49a of the Administrative Procedure Act (VwVfG).

8 Entry into force

These funding regulations will enter into force on the date of publication in the Federal Gazette (Bundesanzeiger) and expire at the end of the funding period in 2013.

Bonn, 19 November 2010

Federal Ministry of Education and Research
 
Dr. Christine Thomas