Federal Ministryof Education and Research

Call under the Federal Government's Strategy for the Internationalization of Science and Research
Regulations governing funding for marketing measures in the thematic field of the “City of the Future” in the target countries of China, USA, India, Vietnam and Colombia within the framework of the “Promoting Innovation in Germany” initiative

Logo Research in Germany

of 24 February 2016

1 Funding purpose and legal basis

1.1 Funding purpose

The world's urban populations already outnumber rural populations. In just a few years' time, two-thirds of the people on Earth will be living in cities. The growth of urban populations is accompanied by a rising consumption of energy and resources. Cities and urban habitats therefore play a key role in tackling the grand challenges of the 21st century. The considerable and ever increasing need to adapt and the huge impact of climate change on cities call for societal stakeholders and policy-makers in all fields to take cross-cutting action and work together both conceptually and in practical terms.

This is why the Federal Government has included the concept of “CO2-neutral, energy-efficient and climate-adapted cities” in its recent High-Tech Strategy 2020. The aim of the High-Tech Strategy is to create a lead market for sustainable urban systems of the future, to intensify cooperation between research and industry and to further improve general conditions for innovation.

Against this background, the City of the Future was chosen as the topic for Germany’s national Science Year 2015. The City of the Future international research marketing campaign is now devoting itself to continuing the national Science Year at international level.

The promotion of Germany as a key location for innovation is a cross-cutting task under the Federal Government’s Strategy for the Internationalization of Science and Research. International research marketing campaigns are one pillar of this initiative. The aims of the campaign are to market Germany’s strengths in research and development (R&D) and initial and continuing vocational training through targeted activities conducted in association with science and research institutions, research-intensive companies and SMEs1 as well as other stakeholders.

“City of the Future” within the framework of this campaign focuses on the following four thematic fields (based on the thematic priorities of the “City of the Future” Strategic Research and Innovation Agenda (FINA).

  • Energy, resources and infrastructure systems
  • Mobility and flows of commodities
  • Data, information bases and dissemination of knowledge
  • Cross-cutting technologies.

The campaign’s target countries are China, USA, India, Vietnam and Colombia.

The aim of the campaign is to enhance and actively steer Germany’s image abroad as an attractive country for research, education and innovation and to highlight this unique selling point (image-building) as well as to provide the target group abroad with information about gaining access to Germany as a research base (awareness-building).

The campaign distinguishes between two different goals:

  • Exporting German systems solutions/presenting Germany as a systems provider and
  • Recruiting international experts/acquiring specialist knowhow

This call addresses collaborations/networks which conduct research into innovative solutions for the cities of the future in the thematic fields stated above and which can contribute towards achieving the objectives of the “City of the Future” campaign through targeted marketing measures.

1.2 Legal basis

The Federal Government will award grants in accordance with these funding regulations, sections 23 and 44 of the Federal Budget Code (BHO) and the administrative regulations adopted thereunder as well as the BMBF's2 regulations governing applications for expenditure-based grants (AZA) and/or cost-based grants (AZK). There is no legal entitlement to funding. The funding authority will take a decision after due assessment of the circumstances and within the framework of the budget funds available.

2 Object of funding

Funding will be provided for innovative, target-group and topic-specific marketing measures aimed at achieving the above goals. These measures will be embedded in the joint concept of the respective collaboration/network.

Potential partners in the collaborations/networks are German university and non-university research establishments, R&D-oriented companies, regional administrative bodies, alliances of regional administrative bodies and media partners. Further partners such as foundations or town planners may also be involved. There is no minimum number of partners; however, it is an advantage to have partners in various fields if possible (science/industry/ administrative bodies/media). Excellent networks with a narrow partnership structure may also apply for funding. The application should clearly emphasize the nature of the network and the added value of working in a collaboration.

The marketing measures should take into account the two aspects of image-building and awareness-building with regard to Germany as a research centre and focus on one or both of the goals defined – exporting German systems solutions and recruiting international experts/acquiring specialist knowledge.

Funding can be provided for the following target-group-specific activities to boost the success of German institutions:

  • Marketing measures to present the collaboration/consortium to the target group abroad (e.g. participation in specialist fairs and congresses, road shows, travelling conferences)
  • Measures to identify and specifically approach suitable foreign networks and cooperation partners in the “City of the Future” thematic field (e.g. trips by delegates, partnering events, workshops, organization of direct marketing measures such as newsletters, websites, information material)
  • Marketing measures to support the establishment and development of an own strategic international network as well as measures to acquire practice-related R&D projects
  • Marketing measures to recruit qualified staff to work in Germany.

In principle, networks may only conduct marketing activities in individual priority countries stated under 1.1. However, under certain circumstances, funding may also be provided for activities in other countries in cases where it is advisable for content reasons for individual collaborations/networks to conduct marketing activities in further countries. The concept should describe and explain the involvement of further countries.

The applicants should pool various suitable measures to form an overall strategic marketing concept. This will be implemented within the framework of the selected projects during the 18-month campaign.

This call will not support measures to promote exports.

3 Funding recipients

Applications for funding may be submitted by institutions of higher education and by non-university research institutions.

Research institutions which receive basic funding from the Federal Government and/or the Länder can be granted project funding supplementary to their institutional funding to cover additional project-related expenditure or costs under certain preconditions.

4 Prerequisites for funding

The activities within the framework of the “City of the Future” campaign are embedded in the superordinate initiative “Research in Germany – Land of Ideas”, whose aim is to promote Germany as a key R&D location. Such activities include joint BMBF stands at selected leading trade fairs and congresses as well as preparing overarching, target-group-specific marketing material (brochures, internet portal, etc.). Apart from conducting their planned activities, networks may also become involved in these overarching activities or may supply content.

All public appearances by the networks/collaborations within the framework of the campaign as well as marketing material produced in connection with the campaign must clearly indicate that it is a BMBF campaign (use of the “Research in Germany – Land of Ideas” word and design mark and any other word and design marks if appropriate).

Furthermore, successful applicants are expected to participate in a kick-off event at the beginning of the campaign and in a final evaluation workshop at the end of the campaign.

The partners in a collaborative project regulate their cooperation in a written cooperation agreement. The partners must prove that they have reached a basic agreement on certain criteria stipulated by the BMBF before a funding decision on a collaborative project is taken.

Details are contained in the information leaflet for applicants/funding recipients on cooperation between partners in collaborative projects (Merkblatt für Antragsteller/Zuwendungsempfänger zur Zusammenarbeit der Partner von Verbundprojekten – BMBF-Vordruck Nr. 0110) https://foerderportal.bund.de/easy/easy_index.php?auswahl=easy_formulare; Bereich BMBF à Allgemeine Vordrucke und Vorlagen für Berichte).

5. Type, scope and rates of funding

Funding will be provided in the form of non-repayable project grants usually amounting to a maximum of €100,000 per collaboration and is granted for a maximum of 18 months. One partner in the collaboration acts as coordinator. Coordinators may be higher education institutions or non-university research institutions. The coordinator applies for funding for the collaboration and is also responsible for the correct processing of the funding.

The coordinator can charge for his own expenses, e.g. staff, equipment and travel expenses. The coordinator provides the partners in the collaboration with an allowance to cover their expenses (e.g. fixed hourly rates in accordance with the regulations governing applications for expenditure-based grants (AZA) – Item 0835 (remuneration of fees), travel expenses in accordance with the Federal Travel Expenses Act, etc.).

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), eligible project-related costs), which can receive up to 100% coverage in individual cases. Recipients of funding on an expenditure basis cannot apply for funding to cover overheads.

As a rule, funding will not be provided to cover the entire cost or part of the cost of the regular basic equipment of the coordinator and the partners involved.

As funding under this call is not provided for seminal research projects in accordance with the regulations governing applications for expenditure-based grants, no flat-rate grants per project can be given to universities and university hospitals.

6 Other terms and conditions

The General Auxiliary Conditions for Project Grants Awarded to Territorial Authorities and Associations of Territorial Authorities (ANBest-P) are part of the notification of award of grants on an expenditure basis. The 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 be part of the notification of award of grants on a cost basis.

7    Procedure

7.1 Involvement of a project management organization, application documents, other documents and use of the electronic application system

The BMBF has currently entrusted the following project management organization with implementing the funding measure:

DLR Projektträger
Europäische und internationale Zusammenarbeit
Heinrich-Konen-Straße 1
53227 Bonn
Internet: http://www.internationales-buero.de

Contact persons (at the International Bureau):

For subject-related information, please contact:

Hanna Pletziger
Phone: +49 2 28/38 21-20 06
Fax: +49 2 28/38 21-14 44
E-mail: Hanna.Pletziger@dlr.de

For administrative information, please contact:

Inna Krieger
Phone: +49 2 28/38 21-20 14
Fax: +49 2 28/38 21-14 44
E-mail: Inna.Krieger@dlr.de

Any changes will be announced in the Bundesanzeiger (Federal Gazette) or in another suitable form.

Forms for funding applications, 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

or can be obtained directly from the project management organization.

Applicants must use the 'PT-Outline' electronic outlining tool for drafting project outlines and the 'easy-online' electronic application system for drafting formal applications for funding.

It is recommended that applicants contact the project management organization for advice on applications. The project management organization will provide further information and details.

7.2 Two-phase procedure

The application procedure will take place in two phases.

7.2.1 Submission and selection of project outlines

In the first phase, project outlines are to be submitted to the project management organization by 3 May 2016 at the latest in written and/or electronic form using the 'PT-Outline' electronic outlining tool (https://secure.pt-dlr.de/ptoutline/FMZKST2016).

In the case of collaborative projects, the project applications are to be submitted in consultation with the proposed project coordinator.

The outline is to be accompanied by a cover letter/introductory page duly signed by the representatives of all the project partners (as a rule the project leaders) in which they acknowledge and confirm that the information stated in the outline is correct.

It may not be possible to consider project outlines received after the above date.

The outline may not exceed seven pages. The outline should cover the following aspects of the project:

  • Information on the project coordinator and partners
  • Description of the goals in the target country/countries and definition of the intended target groups
  • Information on the state of the art in the project (including the applicant's previous work, experience and findings)
  • Assessment of the potential for exploitation and application
  • Overview of the planned marketing activities in the target country/countries
  • Estimated expenditure/costs (anticipated funding requirement).

The project outlines received will be evaluated in accordance with the following criteria:

  • Fulfilment of the formal prerequisites for funding
  • Compliance with the funding objectives of the call and the thematic priorities identified in section 1 above
  • Quality and originality of the project
  • Qualifications and expertise of the applicant and the partners involved
  • Benefits of and prospects for the commercialization of the expected results.

Suitable project ideas will be selected for funding on the basis of the above criteria and evaluation. Applicants will be informed in writing of the results of the selection procedure.

Applicants have no legal claim to the return of their project outlines and any other documents which they may have submitted in this phase of the procedure.

7.2.2 Submission of formal proposals and decision-making procedure

In the second phase of the funding procedure, applicants whose project outlines have been successful will be invited to submit formal proposals.

The formal proposals must observe and fulfil any thematic or funding requirements and/or recommendations resulting from the expert evaluation regarding the implementation of the project.

Formal applications must be drafted using the "easy-online" electronic application system. (The link will be supplied in the event of a positive evaluation of the project outline.) The invitation to submit an application does not create a legal entitlement to funding.

Guidelines, leaflets, further information and auxiliary terms and conditions are available at https://foerderportal.bund.de/easy/easy_index.php?auswahl=easy_formulare&formularschrank=bmbf.

It is essential that applicants include a project description in German in their formal proposals. This should not exceed ten pages and should contain the following information:

  • Overall marketing concept together with planned individual measures to achieve the goals stated in section 1 of the funding measure
  • Detailed description of the work schedule regarding cooperation between the partners/resources planning
  • Added value of the international cooperation
  • Description of existing contacts and cooperation in the target country/countries
  • Detailed financial plan in tabular form, structured according to the permitted types of expenditure, specification of the level of allowances for expenses
  • Medium- and long-term effectiveness of the proposed measures for the purpose of the aims of the call, plan to consolidate cooperation with the partners in the target country/countries
  • Methods for evaluating the measures conducted.

The applications received will be reviewed and evaluated according to the following criteria:

  • Contribution towards achieving the aims of the call for proposals (section 1)
  • Plausibility, originality and professional nature of the marketing concept and the individual marketing measures
  • Consolidation of bilateral/international partnerships, initiation/ development of new international partnerships
  • Quality of the cooperation and added value for the partner institutions
  • Appropriateness and need for the requested amount of funding

A funding decision will be taken following a final evaluation based on these criteria and the assessment procedure.

7.3      Relevant regulations

Questions concerning the approval and payment of and accounting for funds as well as proof and examination of proper use and, if necessary, revocation of the award and 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), unless deviation was permitted under the present funding regulations.

8 Entry into force

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

Bonn,  24 Februar 2016

Federal Ministry
of Education and Research


Lischka


1 SMEs: Small and medium-sized enterprises
2  BMBF: Federal Ministry of Education and Research