26.02.2013 - 30.04.2013

Call for Proposals

of the Federal Ministry of Education and Research under the Federal Government's Strategy for the Internationalization of Science and Research of Regulations governing the funding of an ideas competition to establish and develop innovative R&D networks with partners in the Baltic Sea region

of 6 February 2013

1 Funding purpose and legal basis

1.1 Funding purpose

The Federal Government considers it an important goal to open up innovation potential in international cooperation. International networking can increase the success of German companies, research institutions and universities in international competition.
The Baltic Sea region has great potential for cooperation in the areas of research and development (R&D). Stakeholders from this region play a leading role in key emerging areas. Various countries in the Baltic Sea region already have diverse cross-border initiatives that are attractive for German researchers.
The current programme of the Federal Ministry of Education and Research (BMBF) is intended to help German researchers engage in networking activities with outstanding researchers in the Baltic Sea region in order to develop cooperation strategies and participate successfully in R&D projects. It is intended to further advance the internationalization of existing national competence networks.
International links are to be created along the entire value-added chain in order to support technology transfer and innovation. It is therefore desirable that companies, particularly small and medium-sized enterprises (SMEs*) , should participate in the R&D networks.
It is becoming increasingly important to consider the needs of future users when developing new products, services and processes. The Nordic countries in particular have developed very interesting concepts for user-driven innovation and open innovation from which German companies can benefit.

1.2 Legal basis

Project grants can 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 Sections 23 and 44 of the Federal Budget Code (BHO). There is no legal entitlement to a grant. The grant-awarding agency will decide freely after due assessment of the circumstances and within the limits of the available budget funds.

2 Object of funding

Funding will be provided for the establishment and development of R&D networks or for the internationalization of such networks with partners from the Baltic Sea region (in accordance with the conditions stated under 4.1) in the fields of action of the Federal Government's High-Tech Strategy (climate/energy, health/nutrition, security, mobility, communication) and in key technologies that are geared towards these fields of action as well as in the corresponding areas of the EU Research Framework Programme and Horizon 2020 (information on the High-Tech Strategy is available at www.hightech-strategie.de; information on the EU Research Framework Programme is available at www.forschungsrahmenprogramm.de). 
Applicants are encouraged to submit innovative concepts for the creation and development of interdisciplinary networks.
The funding period can run for up to 24 months; it consists of two consecutive funding phases of up to 12 months each.

• The first funding phase will cover the formation of new R&D networks or the development of existing R&D networks to include partners from the Baltic Sea region (Denmark, Finland, Norway, Sweden, Estonia, Latvia, Lithuania, Poland and Russia). At the end of the first funding phase, a decision on whether the project should receive further funding or whether funding should be terminated at this point will be made on the basis of the target agreements previously defined in the project outline and documented in a report.
  (Details are provided in the AZA/AZK guidelines under AZA 6 (1) and AZK 6 (1); Sub-item III - Meilensteinplanung: 
   AZA: https://foerderportal.bund.de/easy/module/easy_formulare/download.php?datei=179    
   AZK: https://foerderportal.bund.de/easy/module/easy_formulare/download.php?datei=192)
• Providing the target agreements defined for the first funding phase have been fulfilled, support will be given for the initiation of concrete joint projects over a further period of up to twelve months. During this phase of the funding period, the network partners should either draft and submit a project application on the above mentioned fields of action in the High-Tech Strategy and on the key technologies towards which it is geared or on corresponding thematic priorities in the European Framework Programme for Research and Innovation or Horizon 2020 or should acquire a R&D contract from industry (see section 4.1).

3 Funding recipients

Research proposals may be submitted by German research institutions, institutions of higher education and commercial companies (particularly SMEs).
Research establishments which receive joint basic funding from the Federal Government and the Länder can only be granted project funding supplementary to their basic funding for additional expenditure under certain preconditions.

4 Prerequisites for funding / type, scope and rates of funding

4.1 Prerequisites for funding

Funding will only be provided for proposals that have high potential for realization and success in line with the objectives of this call. At least three partners must be involved in the establishment or development of the R&D network:
One German partner and in addition at least one partner from:

1. Denmark, Finland, Norway or Sweden
   
   and at least one partner from
   
2. Estonia, Latvia, Lithuania or Poland.

Partners from Russia can be involved additionally.
The German partner's application for funding must include at least one letter of intent concerning cooperation from a foreign institution in one of the countries listed under I and II.
An interim report is to be submitted at the latest ten months after the beginning of the project from which the grant-awarding agency can judge in how far the target agreements defined in the project outline for the first phase of funding have been fulfilled. The report should contain a written agreement on the nature of the cooperation within the network; for example, in the form of a Memorandum of Understanding (MoU) signed by the network participants.
In addition, a plan for the second phase of funding is to be submitted. This must contain a convincing description of concrete funding or financing opportunities for a joint research project within the network. For example, this can be a specific call within an EU funding programme, a national (Federal Government or other) or regional funding programme, a call published by one of the other countries in the Baltic Sea region in which the network would like to participate, or a contract from the private sector that is to be acquired jointly by the network partners. In this case, an expression of interest from the potential industry partners should be submitted, confirming that these partners have a general interest in cooperating with the R&D network and in awarding an R&D contract.

In their own interest, applicants should familiarize themselves with the EU's Research Framework Programme in the context of the planned national project. They should check whether the intended project includes specific European components which make it eligible for exclusive EU funding. Furthermore, they should check whether an additional application for funding can be submitted to the EU in the context of the proposed national project. The result of such investigations should be described briefly in the national project application. Grants for commercial companies are calculated on the basis of the eligible project-related costs, up to 50% of which can as a rule be covered by government grants, depending on the project's relevance to application. The BMBF's policy generally requires a minimum own contribution of 50% towards the eligible costs incurred. Grants for universities, research and science institutions and similar establishments will be calculated on the basis of the eligible project-related expenditure (grants for Helmholtz centres and the Fraunhofer-Gesellschaft (FhG) will be calculated on the basis of the project-related costs eligible for funding), up to 100% of which can be covered in individual cases.
The European Commission's Community Framework for State Aid for Research and Development must be taken into account when determining the rates of funding. The Community Framework allows a differentiated bonus arrangement for collaborative projects and SMEs, which may result in a higher rate of funding.

4.2 Type, scope and rates of funding

Funding will be awarded in the form of non-repayable project grants. Applications may be submitted for maximum funding of €80,000 for the entire funding period. A maximum of €50,000 of this funding can be approved in the first funding phase. The remaining funds totalling a maximum of €30,000 can be released when all the target agreements for the first phase of funding as defined in the project outline have been fulfilled. Universities and teaching hospitals may receive additional flat-rate grants amounting to 20% of the above funding volume. The following types of expenses are eligible for funding:

1. Exchange of project participants:
   The following applies for funding the travelling expenses of German project participants:
   Funding will be provided to cover the costs of journeys by German experts to and from the location of the project partner (in the case of air tickets: Economy Class) in the Baltic Sea countries listed under 4.1 I. (Denmark, Finland, Norway, Sweden) and 4.2 II. (Estonia, Latvia, Lithuania, Poland) and for stays at these locations. A lump sum payment of €94 per day will be made for accommodation and meals.
   The following applies for funding the travelling expenses of foreign project participants:
   Daily allowances and project-related travelling within Germany for experts from Estonia, Latvia, Lithuania, Poland will be funded as follows: As a rule, fixed allowances of €104 per day or €2,300 per month will be provided by the German grant awarding agency for stays in Germany of up to 3 months. Contributions to health insurance and, if applicable, other types of insurance are covered by this allowance and must be paid by the recipients themselves.
2. Non-cash resources:
   Project-related grants for non-cash resources (such as expendables, appliances, phone and office supplies, transport, literature, rent, orders, etc.) can be provided to a limited extent in duly substantiated exceptional cases.
3. Workshops:
   Workshops with known partners or aimed at new cooperation partners may receive the following support:
   With regard to the organization of bilateral workshops in Germany, grants can be provided towards expenses such as the accommodation of the foreign guests, transfers within Germany, preparation of the workshop content, entertainment and rental of the venue. The exact amount of the grant depends on the size of the event and the number of foreign guests. In such cases, no daily allowances (see a) above) will be provided. Grants can be provided on a pro-rata basis towards the costs of events in Estonia, Latvia, Lithuania and Poland.
4. Staff on the German side:
   In justified cases, funds can be granted to cover project-related costs for student assistants, technical and/or scientific staff on the German side (up to three person-months), for example for preparing and holding events.
5. A flat-rate grant per project totalling 20% for universities and teaching hospitals (cf FAQ regarding flat-rate grant per project: https://foerderportal.bund.de/easy/module/easy_formulare/download.php?datei=583)
6. The following expenses will generally not be covered, either in whole or in part:
   • Staff costs (exception: see e) above)
     In addition, no funding can be provided for normal basic equipment such as:
   • Expenses for office supplies, communication, etc.
   • Laboratory and IT equipment

5 Procedure

5.1 Involvement of the International Bureau and request for documents

The BMBF has entrusted the International Bureau (IB) with the implementation of the funding activity: Internationales Büro des Bundesministeriums für Bildung und Forschung (IB)
im Projektträger beim Deutschen Zentrum für Luft- und Raumfahrt e.V. (DLR)
Heinrich-Konen-Str. 1
53227 Bonn
Internet: http://www.internationales-buero.de
Contact partners for information related to the research topic at the International Bureau:
Nordic countries:
Dr. Hans-Peter Niller
E-mail: hans-peter.niller@dlr.de
Telephone: +49 (0) 228 3821 1468
Baltic countries and Poland:
Dr. Michael Lange
E-mail: michael.lange@dlr.de
Telephone: +49 (0) 228 3821 1485
Contact partners for administrative questions at the International Bureau:
Agnieszka Wuppermann (Nordic and Baltic countries)
E-mail: agnieszka.wuppermann@dlr.de
Telephone: +49 (0) 228 3821 1507
Maija Buddrich (Poland)
E-mail: maija.buddrich@dlr.de
Telephone: +49 (0) 228 3821 1467

5.2 Presentation of formal applications for funding and decision-making procedure

The funding procedure consists of two phases.
In the first phase, project outlines are to submitted in German or English using the electronic outlining tool PT-Outline (https://www.pt-it.de/ptoutline/application/BalticNet3) by 30 April 2013 at the latest. A duly signed copy of the project outline (generated as a pdf file in PT-Outline) must be sent to the International Bureau without delay.
Project outlines drafted in English must be accompanied by a summary in German.

Structure of the project outline:
Part A.) Information required for administrative purposes. This is a fixed part of any call for proposals; the information is entered via an online form. Part B.) An individual project description that is tailored to the call and structured as follows:

1. Title
2. Contact details of the project supervisor
3. Contact details of the foreign partners
4. Summary of the content of the planned activity
5. Definition of the aims of the measure during the first phase of funding (establishment or development of the network) and description of the excellence and originality of the project as well as the naming of potential national, regional or European research programmes and/or industrial contacts for the planned follow-up activities after the second phase of funding
6. Experience in research management in the coordination of international projects and networks and a brief overview of the current state of the art and existing groundwork on the project topic
7. Description of existing contacts and collaborations with the target countries in the region
8. Information on the research and innovation potential of the prospective partners in the partner countries
9. Overall concept of the network and planned individual measures for the establishment and development of the network
10. Medium and long-term effectiveness of the proposed measures in line with the objectives of this call
11. Detailed work plan and time schedule and, if relevant, distribution of tasks and cooperation with the existing and potential partners
12. Structured financial plan with information about own funds and funding requirements, structured according to the eligible types of expenses (see 4.2 a - g).
    Part I of the financial plan refers to the first phase of funding of a maximum of 12 months. The maximum funding that can be applied for amounts to €50,000.
    Part II should describe the plans for the second phase of funding. Here applications can be made for funding amounting to a maximum of €30,000. (See also Section 4)
13. Measures for the protection of intellectual property/IPR: The BMBF brochure on the protection of intellectual property offers helpful suggestions for cooperation agreements. The brochure is available for download via the following link: http://www.bmbf.de/pub/know_how_internationale_kooperation.pdf
14. Suggestions for the evaluation of the proposed measures.

The project description (Part B) can be uploaded on pt-outline as a zip archive or pdf file.
The project outline provides the basis for the thematic and content-related evaluation of the project. The project description part of the project outline (Part B) should therefore include assessable information about all relevant points (see structure of the project description). The description should be approximately ten pages long and be written in German or English.
In the second phase, applicants whose project outlines have received a positive evaluation will be invited - if necessary following consultations with the proposed project coordinator - to present a formal application for funding, which will be decided on after a final evaluation. Formal applications must be drafted using the BMBF's "easy" electronic application system. Application forms, guidelines, leaflets, information and auxiliary terms and conditions are available online at
https://foerderportal.bund.de/easy/easy_index.php?auswahl=easy_formulare&formularschrank=bmbf&menue=block
or can be obtained from the project management organization. The applications are to be written in German.

Please send your application to the following address (taking into account the deadline for submission):
 
Internationales Büro des Bundesministeriums für Bildung und Forschung (IB)
im Projektträger beim Deutschen Zentrum für Luft- und Raumfahrt e.V. (DLR)
- Dr. Michael Lange / Agnieszka Wuppermann -
Heinrich-Konen-Str. 1
53227 Bonn

The deadline for submission is a cut-off date. As a rule it will not be possible to consider applications received after this date.
If you have technical questions (unrelated to the content of the call) regarding the web-based application, please contact:
Internationales Büro des Bundesministeriums für Bildung und Forschung (IB)
im Projektträger beim Deutschen Zentrum für Luft- und Raumfahrt e.V. (DLR)
Martina Lauterbach
Heinrich-Konen-Straße 1
53227 Bonn
E-mail: martina.lauterbach@dlr.de
0Telephone: +49 (0) 228 3821 1734

5.3 Selection and decision-making procedure/funding criteria

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

• Compliance with the specified thematic priorities and the specified formal requirements
• Plausibility and innovation potential of the overall concept
• Initiation of new partnerships and development/intensification of existing partnerships in the Baltic Sea region
• Scientific and administrative expertise of the German applicant for managing the proposed network
• Plausibility and viability of the methodology, the work plan and the time schedule
• Research and innovation potential of the prospective partners in the partner countries
• Relevant connections of the applicant with the prospective partner countries
• Participation by companies in the R&D networks, particularly SMEs:  Commitment of the industry partners to engage in long-term cooperation with the network and/or award R&D contracts
• Benefits of the proposed measures from Germany's point of view; medium and long-term effectiveness beyond the funding phases
• Prospects of success with regard to funding of the project under regional, national or European funding programmes

A funding decision will be taken following a final evaluation of the project outline. The applicants will be informed in writing about the results of the evaluation.
The funded measures will be evaluated. Successful applicants are expected to participate in a kick-off workshop and in an evaluation workshop following the completion of the first funding phase as well as at the end of the overall funding period.

6. Other terms and conditions for funding

The Allgemeine Nebenbestimmungen für Zuwendungen zur Projektförderung (ANBest-P; General Auxiliary Conditions for Grants for the Promotion of Projects) and the Besondere Nebenbestimmungen für Zuwendungen des BMBF zur Projektförderung auf Ausgabenbasis (BNBest-BMBF 98; 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 funding arrangement for grants on an expenditure basis; the Nebenbestimmungen für Zuwendungen auf Kostenbasis (NKBF 98; Auxiliary Terms and Conditions for Funds Provided on a Cost Basis) will be part of the funding arrangement for grants on a cost basis.
In individual cases, the BMBF reserves the right to deviate from sections 7 and 8 of the BNBest-BMBF 98 or sections 12 and 13 of the NKBF 98 when making arrangements for the transfer of the right of use or utilization of results generated by the funded research.

7. Entry into force

These funding regulations will enter into force on the day of their publication in the Federal Gazette (Bundesanzeiger).

Bonn, 6 February 2013
Federal Ministry of
Education and Research

Dr. Erika Rost
Head of Division
Cooperation with European Countries, Israel

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*According to the EU's definition of SMEs: The category of micro, small and medium-sized enterprises consists of enterprises which employ fewer than 250 people and which have either an annual turnover not exceeding €50 million, or an annual balance sheet total not exceeding €43 million. Within this category, the following definitions apply: Small enterprises are defined as enterprises which employ fewer than 50 persons and whose annual turnover or annual balance sheet total does not exceed €10 million. Micro enterprises are defined as enterprises which employ fewer than 10 persons and whose annual turnover or annual balance sheet total does not exceed €2 million. In general, most SMEs are autonomous since they are either completely independent or have one or more minority partnerships (each less than 25%) with other enterprises (see 2.3.1, p. 16). If that holding rises to no more than 50%, the relationship is deemed to be between partner enterprises (see 2.3.2, p. 20). Above that ceiling, the enterprises are linked (see 2.3.3, p. 23).
Source: http://ec.europa.eu/enterprise/enterprise_policy/sme_definition/sme_user_guide_en.pdf and http://ec.europa.eu/enterprise/policies/sme/facts-figures-analysis/sme-definition/index_en.htm