Regulations governing the funding of an ideas competition for the establishment and development of innovative R&D networks with partners in the Baltic Sea region - Circum Mare Balticum -
1 Funding purpose and legal basis
1.1. Funding purpose
Opening up innovation potential through international cooperation is an important priority for the German Federal Government. International networking can boost the competitiveness of German companies, research institutions and universities.
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. There are already numerous cross-border initiatives of various countries in the Baltic Sea region which should attract participation of German researchers. This programme of the Federal Ministry of Education and Research (BMBF) is intended to help German researchers engage in networking activities with outstanding researchers from the Baltic Sea region in order to develop cooperation strategies and participate in R&D projects. The ultimate aim is to promote the internationalization of existing national networks.
To support technology transfer and innovation, international contacts are to be created along the entire value-chain. For this reason, the participation of companies, particularly small and medium-sized enterprises, in the R&D networks is expressly desired.
When developing new products, services and processes, it is becoming increasingly important to consider the needs of future users. The Nordic countries have developed very interesting “user-driven innovation” and “open innovation” concepts from which German companies can benefit.
1.2 Legal framework
Projects may be awarded grants in the form of funding contracts under private law in accordance with the current funding regulations, the BMBF's standard terms and conditions for grants on an expenditure or cost basis and the administrative regulations relating to sections 23 and 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.
2 Object of funding
Funding will be provided for the establishment and development of R&D networks or for the international orientation of such networks towards partners from the Baltic Sea region. These networks should focus on the key areas of the Federal Government’s High-Tech Strategy (climate/energy, health/nutrition, security, mobility, communication) or on technologies that are geared towards these key areas (see the information available on the BMBF’s website: www.bmbf.de).
Innovative concepts for the establishment and development of interdisciplinary networks are welcomed.
3 Funding recipients
Research proposals may be submitted by German research institutions, universities, commercial companies (particularly SMEs[1]) and branch offices of existing R&D networks.
Research establishments which receive joint basic funding from the Federal Government and the Länder can be granted project funding for additional expenditure on top of their basic funding under certain conditions only.
Institutions that are dedicated to local or regional development and are primarily publicly funded can be included as partners.
4 Prerequisites for funding / type, scope and rates of funding
a. One of the German partners should act as the authorized applicant.
In addition, there should be at least one institution from
b. Denmark, Finland, Norway or Sweden
and at least one institution from
c. Estonia, Latvia, Lithuania or Poland.
Institutions from Russia can participate as additional partners. The application should include at least one letter of intent confirming the participation of a foreign institution from one of the countries listed in b and c.
Partners from countries not mentioned above can participate in the R&D network as long as they cover their own expenses. The added value they bring to the network should be explained in the application.
- Establishment or development of the network (1st funding phase)
Up to €50,000 of funding can be provided in the first funding phase, which can last up to 12 months. The aim is to build up a new R&D network or to expand an existing R&D network to include partners from the above-mentioned countries in the Baltic Sea region. This phase is intended to build up sustainable network structures, so a written agreement about the nature of cooperation activities within the network should be signed by the network participants at the end of this phase, for example in the form of a Memorandum of Understanding (MoU). - Initiation of specific R&D projects (2nd funding phase)
In the second funding phase, with a duration of up to 12 months, up to €30,000 of funding can be provided for the initiation of specific joint projects. In this phase, the network partners should prepare and submit a project application in one of the fields listed in section 2 or acquire a private-sector R&D contract.
In order to receive funding for the second phase, applicants need to have successfully participated in the first funding phase. To prove this, a report on the results achieved and the agreement reached needs to be submitted. Applicants must also present a viable funding solution for the proposed joint research project. For example, this can be a specific call within an EU funding programme, a national 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, the application should include an expression of interest from the potential industry partner, confirming that this partner has a general interest in cooperating with the R&D network and in awarding R&D contracts to the network.
The funded measures will be evaluated. Successful applicants are expected to participate in a kick-off workshop and in evaluation workshops after the first and second funding phases.
Funds can be awarded in the form of non-repayable project grants.
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 towards the eligible costs incurred – as a rule at least 50%.
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 fixing the rates of funding. The Community Framework allows differentiated bonus arrangements for collaborative projects proposed by applicants from the new German Länder and by SMEs, which may result in a higher rate of funding.
The following measures can be funded in the first and second funding phase:
a. Travel expenses and subsistence costs incurred by German experts travelling to the Baltic Sea region
Air tickets: economy class, plus visa costs if applicable
Per diem: €94 for accommodation and meals
b. Visits of foreign experts from Estonia, Latvia, Lithuania, Poland and (in certain cases) Russia to Germany
c. In justified special cases:
Staff on the German side, e.g. for the organization of events and feasibility studies (up to three man-months)
d. With regard to the organization of workshops in Germany, grants can be provided towards expenses such as the preparation of the workshop, rental of the venue, accommodation of the foreign guests, transfers within Germany, and entertainment. The exact amount of the grant depends on the size of the workshop and the number of foreign guests. In such cases, no per diem allowances will be provided (see a). Grants towards the costs of events in Estonia, Latvia, Lithuania, Poland and (in certain cases) Russia can be provided on a pro-rata basis.
e. Funding for equipment (e.g. for pilot studies) can be provided in justified exceptions and to a limited extent.
In general, the following expenses will not be covered in whole or in part:
- Personnel costs (exceptions: see c)
- Costs for the translation of documents, interpreting, etc.
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 of the BMBF and request for documents
The Federal Ministry of Education and Research has entrusted the International Bureau with implementing this funding measure:
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, Germany
Internet: http://www.internationales-buero.de
For subject-related information (Nordic countries), please contact:
Dr. Hans-Peter Niller:
E-mail: hans-peter.niller(at)dlr.de
Phone: +49 228 3 82 14 68
For subject-related information (Baltic countries and Poland), please contact:
Dr. Michael Lange
E-mail: michael.lange(at)dlr.de
Phone: +49 2 28 3 82 14 85
For administrative information, please contact:
Agnieszka Wuppermann
E-mail: agnieszka.wuppermann(at)dlr.de
Phone: +49 228 3 82 15 07
5.2 Submission of formal applications
Applications have to be received by 28 June 2010 at the latest.
To draft formal applications, applicants must use the IB’s electronic application system "ewa", which can be accessed via the following website: http://www.ewa.internationales-buero.de?project_cat=WTZU.
In addition to the electronic application, a hard copy of the final application (finalized using the electronic application system), signed by and bearing the stamp of the German and one of the foreign partners, is to sent by post to the following address by 28 June 2010 at the latest:
Deutsches Zentrum für Luft- und Raumfahrt e.V.
Internationales Büro des BMBF
Agnieszka Wuppermann
Heinrich-Konen-Str. 1
53227 Bonn, Germany
If you have any questions about the online application system, please contact:
Martina Lauterbach
Deutsches Zentrum für Luft- und Raumfahrt e.V.
Internationales Büro des BMBF
Heinrich-Konen-Str. 1
53227 Bonn, Germany
E-mail: martina.lauterbach(at)dlr.de
Phone: +49 228 3 82 17 34
The submission deadline is not a cut-off deadline. However, applications received after this date will usually not be considered.
The application for the first funding phase must be attached to the electronic application. It should not exceed ten pages and should be structured as follows:
- Formulation of the objectives to be achieved in the first phase (establishment or development of the network) and first ideas for planned follow-up activities in the second phase
- Research management experience coordinating international projects and networks
- Description of existing contacts and collaborations with the target countries in the region
- Information on the research and innovation potential of the prospective partners in the target countries
- Overall concept of the network and planned individual measures for the establishment and development of the network
- Medium and long-term effectiveness of the proposed measures in line with the objectives of this call
- Detailed work plan and time schedule and, if relevant, distribution of tasks and cooperation with the existing and prospective partners
- Structured financial plan with information about own funds and funding requirements, structured according to the eligible types of costs (see section 4).
- Measures for the protection of intellectual property/IPR: the BMBF brochure on the protection of intellectual property offers indications for cooperation agreements. The brochure is available for download via the following link: http://www.bmbf.de/pub/know_how_internationale_kooperation.pdf
- Suggestions for the evaluation of the proposed measures.
A separate follow-up application must be submitted for the second funding phase.
5.3. Selection and decision-making procedure
External experts will be involved in evaluating the project proposals submitted. Evaluation will be based on the following criteria:
- Relevance to the specified thematic priorities and compliance with 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 target countries
- Relevant connections of the applicant with 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.
Additional criteria for the second funding phase:
- Prospects of success with regard to funding under regional, national or European funding programmes
- Industry participation in the R&D networks: commitment of the industry partners to engage in long-term cooperation with the network and award R&D contracts.
A funding decision will be taken after a final evaluation. Applicants can expect to receive written notification of the results of the competitive selection process for the first funding phase in September 2010.
The International Bureau will conclude a grant agreement under private law with the successful applicants on behalf of the BMBF.
Approval and payment of and accounting for the 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).
6 Entry into force
These funding regulations will enter into force on the day of their publication in the Federal Gazette (Bundesanzeiger).
Bonn, 21 April 2010
Dr. Erika Rost
Federal Ministry of Education and Research
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[1] 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. If that holding rises to no more than 50%, the relationship is deemed to be between partner enterprises. Above that ceiling, the enterprises are linked.
Source: ec.europa.eu/enterprise/enterprise_policy/sme_definition/sme_user_guide.pdf
