As of 18 October 2013

1 Funding purpose and legal basis

1.1 Funding purpose

Cooperation between South Africa and Germany in science and technology has experienced highly successful development on the basis of the 1996 STC agreement between the German Federal Ministry of Education and Research (BMBF) and the South African Department of Science & Technology (DST). This cooperation was given further important momentum by the joint German-South African Year of Science 2012/2013.

The funding measures take place within the framework of the German Federal Government’s internationalisation strategy and are intended to further intensify scientific and technological collaboration (STC) and in particular, to encourage reciprocal exchanges of young scientists. Through mobility support, it is intended to expand on existing collaborations and to establish new contacts or collaborative projects. The aim is to stimulate intense, long-term cooperation between German and South African partners. The funded activities are intended to act as preparation for larger projects and in particular for more extensive applications to funding organisations such as the BMBF, German Research Foundation (DFG) or the European Union (EU).

In the case of joint projects, particular value is placed on the scientific excellence of the South African and German partners. The participation of companies, in particular innovative small and medium-sized enterprises (SMEs) from Germany is welcomed.

1.2 Legal basis

Project grants can be awarded in accordance with these regulations, the BMBF standard terms and conditions for grants on an expenditure or cost basis and the administrative regulations under sections 23 and 44 of the German Federal Budget Code (Bundeshaushaltsordnung – BHO). There is no legal entitlement to funding. The funding provider will make a decision at its own proper and dutiful discretion and within the framework of the budget funds available.

2 Object of funding

The funding relates to exploration and networking for R&D collaborations between outstanding German and South African research institutions, universities and SMEs, with the following purposes:

• To explore the potential of both partner countries in science, research, technological development and for the application of research findings
• To present the strengths of German institutions as international partners in science, research and innovation
• To establish new contact with service providers in the partner countries and enable access to internationally unique research locations and infrastructures
• To support ongoing R&D activities by fostering networks amongst the next generation of scientists (PhD students) in both countries
• To develop joint project ideas in subject areas that are key to research policy in the BMBF’s specialist programmes and European research programmes, and to undertake preliminary scientific work in relation to this for a successful application (feasibility studies/pilot measures)
• To produce scenarios for strategic international partnerships for German universities and research institutions and their organisations and to create the conditions for implementation of these

Measures may be supported for the following topics:

1. Biotechnology for bio-economy & health
2. Natural Resources: sustainable management and production
3. Astronomy

3 Funding recipients

Funding recipients may be industrial companies operating in Germany – in particular small and medium-sized enterprises (SMEs)¹ – and other institutions that contribute to research and that comply with the funding purpose and funding prerequisites, universities or non-academic research institutions. Research institutions that receive basic federal and state funding are only entitled to receive project funding above and beyond their basic financing for their additional expenses under certain circumstances.

4 Funding prerequisites

Projects proposed within the framework of this announcement must be conducted in collaboration with South African partners.

All visits by South African scientists to Germany should be associated with a corresponding reciprocal visit by a German scientist to South Africa, for which the accommodation expenses in South Africa are to be borne by the South African partner.

Workshops must be aimed at intensification and long-term orientation of the German-South African collaboration in the relevant subject area, for example as part of preparation for a more extensive application to the BMBF, DFG or EU.

Applicants are to become familiar with the EU Framework Programme for research within the context of the proposed national project; this familiarity is also in their own interests. Applicants are to check whether the proposed project features specific European components and, as such, allows for exclusive EU funding. Applicants are additionally to check the extent to which a supplementary funding application can be submitted to the EU within the context of the proposed national project. The result of these checks is to be briefly presented in the national funding application.

5 Nature, scope and amount of funding

Funding can be granted through project funding as non-repayable subsidies.

Funding for industrial companies is calculated based on the eligible, project-related costs which are generally financed up to 50% depending on how practically oriented the project is. According to BMBF principles, these companies are required to provide their own adequate funding – generally at least 50% of the resulting costs eligible for funding.

Funding for universities, research and scientific institutes and comparable institutions is calculated on the basis of the eligible, project-related expenses (the eligible, project-related costs for Helmholtz Centres and the Fraunhofer Institute [FhG]) that can be individually funded up to 100%.

The Community Framework of the EU Commission for state aid for research and development must be taken into account when calculating the respective funding ratio. This Community Framework grants different bonuses for small and medium-sized enterprises (SMEs) and collaborative projects which can, in some cases, mean that the percentage of funding is higher.

German institutions entitled to submit applications can generally be awarded maximum funding of EUR 30,000 for a period of up to 36 months.

As a rule, the funding is provided for the following expenses/costs that are eligible for funding:

1. Exchange of experts and young scientists:
   For the funding of travel costs incurred by German project scientists, the following points apply:
   Travel costs (for plane tickets: economy class) to and from the location of the project partner will be borne by the International Bureau; daily allowances will be borne by the NRF in South Africa (within the framework of the parallel submission of an application by the South African partner).
   As a rule, the foreign project partner is responsible for the provision of daily allowances for German experts abroad.
2. For the funding of accommodation expenses incurred by South African project scientists, the following points apply:
   Daily allowances and domestic, project-related travel costs: visits to Germany will generally be subsidised for a maximum duration of three months per person and project year² by the German funding provider by means of fixed flat-rate amounts of EUR 104 per day or EUR 2,300 per month (if the visit lasts between 23 and 31 days). For single days in the following month, a daily flat rate of EUR 77 per day will be paid. The arrival and departure days count as one day.
   Contributions towards health insurance and, if applicable, other insurance policies are covered by these flat-rate amounts and must be paid for by the recipient of the funding.
   The travel costs to and from the location of the project partner will be borne by the NRF in South Africa (within the framework of the parallel submission of an application by the South African partner).
3. Material expenses
   Project-related material expenses (consumables, devices, transport costs, orders, etc.) can be subsidised to a limited extent in justifiable exceptional cases only.
4. Workshops
   Workshops with known partners, or those aiming to take advantage of new potential cooperation, can be supported as follows:
   For the execution of bilateral workshops in Germany, material costs such as accommodation for South African guests , transfers for the South African guests³ within Germany⁴, the preparation of content, corporate hospitality and rental of rooms will be subsidised. The amount of the subsidy depends on the size of the event and the number of South African guests and German participants. In these cases, no daily allowance (cf. item b) will be paid.
   Travel funds (economy flight) may be made available to German participants attending bilateral workshops in South Africa. Workshops in South Africa are to be organised and financed by the South African partner (see item a).

In principle, costs will not be borne or subsidised for normal basic equipment, which includes the following:

• Expenditure for office materials or communication
• Laboratory and IT equipment

6 Other funding provisions

The “Allgemeine Nebenbestimmungen für Zuwendungen auf Kostenbasis des BMBF an Unternehmen der gewerblichen Wirtschaft für FuE-Vorhaben” (NKBF98) [General Auxiliary Conditions for Funds Provided by the BMBF to Industrial Companies for Research and Development Projects on a Cost Basis] will form part of a funding decision on a cost basis.

The “Allgemeine Nebenbestimmungen für Zuwendungen zur Projektförderung” (ANBest-P) [General Auxiliary Conditions for Grants Provided for Projects] and the “Besonderen Nebenbestimmungen für Zuwendungen des BMBF zur Projektförderung auf Ausgabenbasis” (BNBest-BMBF98) [Special Auxiliary Terms and Conditions for Funds Provided by the BMBF for the Promotion of Projects on Expenditure Basis] will form part of a funding decision on an expenditure basis.

Note: Where funding is awarded to regional authorities, it is to be stipulated that the ANBest-Gk also forms part of a funding decision.

7 Procedure

7.1 Involvement of a project management agency and request for documentation

The BMBF has commissioned the following with processing the funding measures:

Project Management Agency
c/o German Aerospace Center (DLR)
International Bureau
Heinrich-Konen-Str. 1
53227 Bonn, Germany
Internet: http://www.internationales-buero.de

Contacts:

Scientific contact person at the International Bureau:
Petra Ruth Vogel
Tel.: +49 228/38 21-1461
Fax: +49 228/38 21-1490
E-mail: petra-ruth.vogel@dlr.de

Administrative contact person at the International Bureau:
Petra Schumann
Tel.: +49 228/38 21-1924
Fax: +49 228/38 21-1490
E-mail: petra.schumann@dlr.de

In the event of technical questions regarding Internet-based application (and not regarding the content of the announcement), please contact:

Project Management Agency
c/o German Aerospace Center (DLR)
International Bureau
ICT Service
E-mail: ptoutline@dlr.de 
Tel.: 030 – 67055-767

Please contact the project management agency for advice on your application. The agency can also provide further information and explanations.

7.2 Submission of official funding applications and decision-making procedure

The procedure (on the German side) has two stages.

7.2.1 Submission and selection of project sketches

In the first stage of the procedure, a project sketch must be submitted in German no later than

14 March 2014

via the electronic sketch tool PT-Outline (https://www.pt-it.de/ptoutline/application/SUA2013).

The submission date is not a cut-off deadline. However, project sketches that are submitted late may potentially not be considered.

Submission of a project sketch does not result in any legal entitlement.

The following structure must be used for the project sketches:

• Part A. These fields are fixed elements of all announcements and are completed using a predefined online form.
  • A.I Information for administrative purposes
  • A.II Financial overview
• Part B. A description of the project adapted to the funding announcement with the following points:
  • B.I Objectives (1. Relationship of the project to the objectives set out in the announcement; 2. Objectives of the project)
  • B.II Current state of science and technology; previous work; excellence of the partners involved
  • B.III Detailed description of planning for work, schedules and milestones
  • B.IV Benefits and applicability of the results
  • B.V Cooperation with third parties
  • B.VI Necessity of the funding
  • B.VII If applicable, documents, Financing Scheme

The project description (Part B) can be uploaded to PT-Outline as a file (Word or pdf document).

The project sketch forms the basis for evaluation of the scientific nature and content of a project. The project description should therefore contain assessable statements for all points (see structure of the project description). The description should be no more than ten pages long.

With regard to the international nature of the evaluation and the coordination with the NRF, submission of project sketches in English is recommended.

A signed version of the project sketch (created as pdf document from PT-Outline) must be sent without delay to the International Bureau at the following address:

Project Management Agency
c/o German Aerospace Center (DLR)
International Bureau
Heinrich-Konen-Str. 1
53227 Bonn, Germany

The received project sketches are evaluated according to the following criteria:

• Compliance with the key areas for the content specified in sections 1 and 2 and adherence to the specified, formal conditions
• Qualification of the applicant and partners involved
• Technical quality and originality of the project
• Stimulation of new partnerships
• Quality of the cooperation and added value for the partner institutions
• Support for young scientists
• Scientific benefits and applicability of the anticipated results
• Appropriateness and necessity of the funding that has been applied for
• Security of the overall financing of the project for the entire duration

The South African project partners must submit a separate application to the NRF within the framework of the announcement published simultaneously in South Africa. The submission deadlines and contact persons can be found at http://www.nrf.ac.za.

The project ideas suitable for funding will then be selected on the basis of the assessment criteria referred to above, and will be coordinated with the NRF. Applicants will be informed of the selection outcome in writing.
Applicants have no legal entitlement to return of the project sketches that have been submitted.

7.2.2 Submission of official funding applications and decision-making procedure

In the second stage of the procedure, institutions that have successfully entered project sketches are asked to submit an official application (easy-AZA [application for funding on an expenditure basis]/AZK [application for funding on a cost basis]) and an additional project description as a summary in German according to the standard structure. A decision is then made on these following a final examination. The official funding applications are to be created using the “easy” electronic application system. Forms for funding applications, guidelines, instructions, information and supplementary provisions can be accessed on the Internet at https://foerderportal.bund.de/easy/easy_index.php?auswahl=easy_formulare&formularschrank=bmbf&menue=block.

The official application must be accompanied by a summary of the project description in German according to the “Richtlinien für Zuwendungsanträge auf Ausgabenbasis” [Regulations for Funding Applications on Expenditure Basis] or the “Richtlinien für Zuwendungsanträge auf Kostenbasis” [Regulations for Funding Applications on Cost Basis].

Insofar as divergence from this is not authorised in these funding regulations, the administrative regulations under section 44 of the German Federal Budget Code (Bundeshaushaltsordnung – BHO) and sections 48 to 49a of the Verwaltungsverfahrensgesetz (German Administrative Procedures Act) apply for the authorisation, payment and settlement of the funding as well as for verification and the examination of the use of and, if applicable, the necessary reversal of the funding decision and the reclamation of the granted funding.

Entry into force

This announcement comes into effect on the date of publication in the Bundesanzeiger (German Federal Gazette).

Bonn, 27. November 2013

German Federal Ministry of
Education and Research

On behalf of
Peter Webers

¹In accordance with the EU definition of SME: The category of micro, small and medium-sized enterprises (SMEs) is made up of enterprises which employ fewer than 250 persons and which have an annual turnover not exceeding EUR 50 million, or an annual balance sheet total not exceeding EUR 43 million. Within this category: Small enterprises are defined as enterprises which employ fewer than 50 persons and whose annual turnover or annual balance sheet total does not exceed EUR 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 EUR 2 million. In general, most SMEs are autonomous, meaning that 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/policies/sme/files/sme_definition/sme_user_guide_en.pdf and http://ec.europa.eu/enterprise/policies/sme/facts-figures-analysis/sme-definition/index_en.htm
²Multiple visits can be made in one year up to an overall duration of three months.
³Costs are not borne for participants from Germany/German cooperation partners
⁴Costs are not borne for participants from Germany/German cooperation partners