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21.02.2013 - 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 for Regulations for funding an ideas competition for the establishment and development of innovative R&D networks with partners in the Danube States

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1 Funding purpose and legal basis

1.1 Funding purpose

Opening up innovation potential in international cooperation is an important objective for the Federal Government. International networking can increase success in international competition for German companies, research institutions and universities.
The Danube region has great potential for cooperation in the areas of research and development (R&D). Support for multilateral cooperation is a central element of the European Union's Strategy for the Danube Region, which provides a framework for improvements regarding socio-economic development, competitiveness, environmental management and resource-efficient growth of the Danube region. In its strategy adopted on 24 June 2011, the European Commission refers to research and innovation in the Danube region and their international potential which should be more fully exploited.
The aim of this programme of the Federal Ministry of Education and Research (BMBF) is to support German universities, research institutions and companies to establish networks with excellent researchers in the Danube States1 in order to develop joint cooperation strategies and projects. It encourages stronger links between the leading innovative regions upstream and the developing regions downstream, thereby contributing to the successful implementation of the Danube region strategy. Further progress is to be made with the internationalization of existing national competence networks.
The aim is to encourage international links along the entire value-added chain in order to support technology transfer and innovation. Participation by companies, particularly small and medium-sized enterprises (SMEs), in the R&D networks is therefore desirable.

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 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

The object of funding is to establish and develop R&D networks and strengthen their international dimension together with partners from the Danube States in the fields of action defined in the Federal Government's High-Tech Strategy (climate/energy, health/nutrition, security, mobility, communication) and in key technologies for these fields as well as related thematic areas of the EU Research Framework Programme and Horizon 2020 (for information about the Federal Government's High-Tech Strategy please visit the BMBF Portal http://www.hightech-strategie.de/de/390.php, for information about the EU Research Framework Programme or Horizon 2020 see http://ec.europa.eu/research/fp7/index_en.cfm). Networking in the above-mentioned areas will support the objectives of the EU Strategy for the Danube Region. Collaborations in the areas of climate/energy and mobility provide a basis for measures of the "Connecting the Danube Region" thematic pillar; cooperative activities in the area of communication and on key technologies refer to the "Building Prosperity" pillar, and cooperation in the field of security offers prospects for "Strengthening the Danube Region". Innovative approaches are needed for establishing and developing interdisciplinary networks.
Funding takes place in two phases which run consecutively:

- Funding phase 1:
Establishment and development of the network
The funding phase 1 may last for up to twelve months and serves to establish the new R&D network or develop an existing R&D network to include partners from the Danube States (the EU Member States Austria, Bulgaria, Czech Republic, Hungary, Romania, Slovakia and Slovenia and the non-EU states Bosnia and Herzegovina, Croatia, Moldova, Montenegro, Serbia and Ukraine). The aim is to build sustainable network structures. The network participants are expected to agree on the nature of cooperation within the network by signing, for example, a Memorandum of Understanding (MoU) at the end of this phase.

- Funding phase 2:
Initiation of specific R&D projects
In the funding phase 2, with a duration of up to twelve months, funding will be provided for the initiation of specific joint projects. In this phase, the network partners are expected to prepare and submit a research proposal in one of the fields listed in Section 2 or to obtain an R&D contract from public and/or private contractors, preferably SMEs.

3 Funding recipients

Research proposals may be submitted by German research institutions, universities and commercial companies, particularly small and medium-sized enterprises (SMEs).*
Research institutions which receive joint basic funding from the Federal Government and the Länder can only be granted project funding on top of their basic funding for additional expenditure under certain preconditions.

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

Funds will be awarded in the form of non-repayable project grants.
Funding will only be provided for proposals that have high potential for realization and success in line with the objectives of this call.
A minimum of three partners must be involved in the establishment or development of the R&D network in keeping with the objective to support networking between institutions upstream and downstream in the Danube region:

  1. A German partner,
    in addition, at least one partner
  2. from the upstream countries - Austria, Croatia, Czech Republic, Hungary, Slovakia, Slovenia -
    and at least one partner
  3. from the downstream countries - Bosnia and Herzegovina, Bulgaria, Moldova, Montenegro, Romania, Serbia, Ukraine.

Partners from Austria cannot, as a rule, receive funding from this programme.
The application for funding submitted by the German partner must include at least one letter of intent concerning the participation of a foreign institution from one of the countries listed under b and c.
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 planned 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 checks should be described briefly in the national application for funding.
Grants for commercial companies will be 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 requires an appropriate self-contribution of at least 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 eligible project-related costs), 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 differentiated bonus arrangements for collaborative projects and for small and medium-sized enterprises (SMEs), which may result in a higher rate of funding.
The level of funding in the phase 1 amounts to a maximum of €50,000 while funding for initiating specific joint projects under the phase 2 amounts to a maximum of €30,000. Universities and teaching hospitals may receive additional flat-rate grants per project amounting to 20% of total project expenditure.
The following expenses can be funded in the funding phases 1 and 2:

  1. Travel by German experts to the above-mentioned Danube States and stays in the region
    Travel and per diem allowances will be granted for the German participant (economy flight, €94 per day).
  2. In the case of travel to Germany by foreign experts from Bosnia and Herzegovina, Bulgaria, Croatia, Czech Republic, Hungary, Moldova, Montenegro, Romania, Serbia, Slovakia, Slovenia and Ukraine
    Per diem allowance:
    Stays in Germany are funded with €104 per day.
  3. Physical resources:
    Project-related grants for physical resources (such as consumables, equipment, phone and office supplies, transport, literature, rent, orders, etc.) can be provided to a limited extent in duly substantiated exceptional cases.
  4. Workshops:
    Workshops with the partners involved or aimed at opening up new potential for cooperation may receive the following support:
    With regard to the organization of workshops in Germany, grants can be provided towards expenses such as the accommodation of the foreign guests, transfers within Germany, preparation of workshop topics, entertainment and rental of the venue. The amount of the grant depends on the size of the event and the number of foreign guests. In such cases, no per diem allowances (see a) above) will be provided.
    Grants can also be provided to cover part of the expenses for events in Bosnia and Herzegovina, Bulgaria, Croatia, the Czech Republic, Hungary, Moldova, Montenegro, Romania, Serbia, Slovakia, Slovenia and Ukraine.
  5. Staff on the German side:
    Staff costs incurred on the German side, for example for preparing and implementing events, can be funded in well-founded cases (up to three person-months).
  6. Flat rate per project (20%) for universities and teaching hospitals http://foerderportal.bund.de/easy/module/easy_formulare/download.php?datei=583
  7. The following expenses will generally not be covered or funded:
    • Staff costs (exception: see e) above)
    • Costs of translating documents, interpreting, etc.
      In addition, no funding can be provided for normal basic resources such as:
    • Expenses for office supplies, communication, etc.
    • Laboratory and IT equipment

In order to apply for funding for the phase 2, applicants must have successfully participated in the funding phase 1, which must be confirmed by a report on the results achieved and the agreement concluded between the network partners. Further funding under the phase 2 will only be possible if applicants present a convincing future financing solution for the network. For example, this can be a specific call within an EU funding programme, a national (Federal Government or similar) or regional funding programme or a call published by one of the other Danube States in which the network would like to participate. Another possibility is joint acquisition by the network partners of R&D contracts awarded by private and/or public contractors. In this case, the application should include an expression of interest from the potential partners, confirming that they have a general interest in cooperating with the R&D network and in awarding R&D contracts.

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/en/index.php
For thematic information, please contact:
Dr. Ralf Hagedorn
E-mail: Ralf.Hagedorn@dlr.de
Phone: +49 (0)228-38 21-14 92
Fax: +49 (0)228-38 21-14 90

Ralf Hanatschek
E-mail: Ralf.Hanatschek@dlr.de
Phone: +49 (0)228-38 21-14 82
Fax: +49 (0)228-38 21-14 90
For administrative information, please contact:
Derya Manda
E-mail: Derya.Manda@dlr.de
Phone: +49 (0)228-38 21-18 96
Fax: +49 (0)228-38 21-14 90

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

The funding procedure consists of two phases.
In the phase 1, project outlines in German must be presented on or before 30 April 2013 using the electronic outlining tool pt-outline (http://www.ptoutline.de/IWINDOR). A duly signed copy of the project outline (generated as pdf file in pt-outline) must be sent to the International Bureau without delay.
Structure of the project outline:

  1. This information is part of any call for proposals and is entered via a specific web template.
    1. General information including thematic focus, title and summary of the project
    2. German project coordinator: Contact details and further information
    3. Other participating institutions from Germany and the Danube region: Contact details and further information
  3. An individual project description that is tailored to the call and structured as follows:
    1. Title
    2. Contact details of the project director
    3. Contact details of the foreign partners
    4. Summary of the content of the planned activity
    5. Formulation of the objectives to be achieved in phase 1 (establishment or development of the network) and initial ideas for planned follow-up activities in phase 2
    6. Research management experience in coordinating international projects and networks
    7. Description of existing contacts and cooperation with the target countries in the region
    8. Information on the research and innovation potential of prospective partners in the partner countries
    9. Overall concept of the network and planned individual measures for the establishment or 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 prospective partners
    12. Structured financial plan with information about own funds made available and funding requirements, structured according to the eligible types of expenses (see section 4).
    13. Measures for the protection of intellectual property: The BMBF brochure on the protection of intellectual property offers helpful suggestions for cooperation agreements. The brochure is available for download at 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 zip archive or pdf file.
The project outline provides the basis for the thematic evaluation of the project. The project description should therefore include assessable information about all relevant points (see structure of the project description). The description should not exceed 10 pages.
In the phase 2, applicants whose project outlines have been evaluated positively will be invited to submit a formal application for funding - following consultations with the proposed coordinator of the collaboration as appropriate - on which a decision will be taken after final evaluation. Formal applications must be drafted using the BMBF's "easy" electronic application system. Application forms, guidelines, information for applicants and the auxiliary terms and conditions for the award of grants are available at https://foerderportal.bund.de/easy or can be obtained directly from the International Bureau.
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. Ralf Hagedorn / Derya Manda
Heinrich-Konen-Str. 1
53227 Bonn

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-Str. 1
53227 Bonn
E-mail: martina.lauterbach@dlr.de
Phone: +49 (0)228 38 21-17 34

The deadline for submission is a cut-off date. As a rule it will not be possible to consider applications received after this date.
The funding application submitted under this call will refer exclusively to the funding phase 1.
A separate follow-up application must be submitted for the funding phase 2. The follow-up application must be submitted at least three months before the end of the funding phase 1 to ensure uninterrupted funding. Information regarding application under the funding phase 2 can be found at http://www.bmbf.de/pubRD/IWINDOR_Phase2.pdf or will be forwarded by the International Bureau of the BMBF upon request.

5.3 Evaluation criteria

The received applications for funding will be evaluated on the basis of the following criteria:

  • Compliance with the thematic priorities specified in Section 1 and the specified formal requirements
  • Plausibility and innovation potential of the overall concept
  • Initiation of new partnerships as well as development and intensification of existing partnerships in the Danube region
  • Thematic and administrative expertise of the German applicant for directing 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
  • Thematic links between the applicant and the prospective partner countries
  • Participation of companies, particularly SMEs
  • Benefits of the proposed measures from Germany's point of view; medium and long-term effectiveness beyond the funding phases

A funding decision will be taken following a final review based on the above evaluation criteria. The applicants will be informed in writing about the results of the evaluation.

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.
The funded measures will be evaluated. Successful applicants are expected to participate in a kick-off workshop and an evaluation workshop after the funding phases 1 and 2.

7 Entry into force

These funding regulations will enter into force on the day of their publication in the Federal Gazette (Bundesanzeiger).
Bonn, 4 February 2013
Federal Ministry of Education and Research

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

1For the purposes of this call (cf. Section 2), "Danube States" (excluding Germany) means those countries to which the EU Strategy for the Danube Region refers: Bosnia and Herzegovina, Bulgaria, Croatia, Moldova, Montenegro, Austria, Romania, Serbia, Slovakia, Slovenia, Czech Republic, Ukraine and Hungary.
*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