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Indo-german cooperation in education and research

Basic Guidelines
IGSTC Call for Joint Research and Development Proposal 2011: 2+2 mode of
partnership between India and Germany

1. About IGSTC
Indo-German Science & Technology Centre (IGSTC) established by the Department of Science and Technology (DST), Government of India, and the Federal Ministry of Education and Research, Germany (BMBF) to facilitate Indo-German R&D networking through substantive interactions among government, academia/research system and industry to foster innovation and application for the overall economic and societal developments of both the countries. The Centre envisions to (a) advance industrial research partnership with mutuality of interest and respect (b) create platform for cross fertilisation of ideas (c) develop knowledge networks for industrial sectors to enhance competitiveness (d) establish joint knowledge pools to address global challenges and (e) serve as a Nerve Centre to promote Indo-German technology partnership.
2. Partnership Model & Thematic Areas
IGSTC intends to catalyse innovation-centric R&D projects by synergising the strength
of research/academic institute and public/private industry from India and Germany. This
call for proposals is aimed at supporting joint R&D projects of industrial relevance by
means of “2+2 partnership” (“2+2 partnership” refers to R&D projects with the
participation of atleast one German and one Indian research institution as well as one
German and one Indian industry partner.) in the fol owing thematic areas of mutual
• Material Sciences & Nanotechnology • Energy (Reliability of Energy Supply and Energy Grid Efficiency) • Information & Communication Technologies (Safety, Mobility and Logistics) 3. Basic Principles
• Project should be proposed jointly by both Indian and German teams. Each project will be coordinated by two Principal Investigators (PIs), one from each
• Project proposal is expected to produce insights and exploitable research results leading to new technologies, products and /or services. The benefits of partnership should be clearly identifiable.
• Project proposal should ensure that al the project partners contribute to and benefit from an equitable and balanced cooperation with adequate protection for intellectual property rights used in and generated during the joint efforts.
4. Financial Support
Indian Partners – 100% of the eligible costs in the form of grant to Institutional
Partner (research/academic) and 50% of the eligible costs in the form of soft loan to Industrial Partner.
German Partners - 100% of the eligible costs in the form of grant to Institutional
Partner (research/academic) and 50% of the eligible costs in the form of grant to Industrial Partner.
5. Eligible Costs
• Costs for personnel involved in the project• Specific equipment including software to be purchased or developed or assembled for the project (equipments that are not part of the applicant’s basic equipment) • Consumables/Materials• Mobility Costs (international Travel and domestic Travel)• Networking Events (organising project related workshops/brain storming meetings • Outsourcing/Subcontract• Contingency/Overhead (for Indian Partners ) 6. Evaluation
The proposals will be evaluated by a Joint Scientific Council (JSC) consisting of subject experts from both the countries. In addition, peer review process may also be applied. Final approval, depending on financial provisions will be taken by the Governing Body (GB) of IGSTC. The evaluation process will consider • Novel innovative research within the scientific scope• Scientific expertise and global competitiveness• Scientific merit and feasibility, taking into account state-of-the art• Potential for realisation and success in accordance with work plan timeline • Scientific credential (academic and relevant experience) of the project partners• Level of col aborative interaction and added value of the consortium• Innovative potential for industrial application (prospects for commercial 7. Who can apply?
Research organisations, state and non-state institutions of higher education, universities, non-university research institutions, and public or private companies are eligible to submit applications. For German applicants: Research establishments which receive joint basic funding from the Federal Government and the Lander can be granted project funding to cover additional expenditure under certain conditions only.
8. Cooperation Agreement and Utilization Plan
(a) A letter explaining the intentions of the project partners must be included in the
application. Before any funding is provided for the joint research project, all project
partners must formalise their cooperation by concluding a cooperation agreement. For
the relevant information please see the box below. If requested, the cooperation
agreement, together with the relevant information, must be made available to the
funding organisations.
Information for applicants on cooperation agreement
Details of cooperation are to be laid down by the Partners of the joint project in a written cooperation agreement that should contain regulations with a balanced distribution of rights and duties for the use and exploitation of knowledge and results among the Partners. The special achievements involved in an invention have to be recognized. Inventions must therefore be treated differently from any other results obtained in the project a) Cooperation agreement The Partners should enter into a legally binding cooperation agreement prior to the start of the project. The cooperation agreement must provide at least the following information about the project: 1 • Partners in the project 2 • expenditure/ costs and funding 3 • project period 4 • work plan 5 • list of existing IPRs (intellectual property rights), utilization plan, terms of ownership and use of IPRs 6 • project management 7 • confidentiality, dissemination of knowledge. Before agreeing on the ownership of inventions, the Partners should inform themselves about the legal premises for gaining an effective position to grant any right on inventions made by their staff to their Partners. The Partners must exercise reasonable effort to bring themselves in the position to grant such rights. The Partners should agree on procedures to inform each other timely on inventions and patent strategy. Methods to coordinate intellectual property rights (IPR) activities should be described (e.g. establishment of an IPR steering committee could be considered). If a Partner waives IPR relevant to the project, the interest of the other Partners should be considered. The Partners may additionally agree that inventions arising from the joint research project must first be offered for a reasonable period of time to the other Partners for use (right to primary negotiation). Fair rules on ownership and use should be applied, reflecting the following principles: (1) If an invention arises in a joint research project, it should be the property of the Partner creating it, i.e. whose staff has provided the special achievement leading to the invention. This Partner shall initiate the necessary steps for patent protection. (2) If staff members of several Partners are involved in an invention (joint invention), joint ownership should apply. The shares of ownership should reflect the contribution to the inventive achievement. The Partners involved should agree in good faith on the modalities of patent protection to the benefit of all owners. (3) Instead of joint ownership it is possible to exchange rights as wel as an additional remuneration, or grant options for the use of rights to results on generally accepted market conditions. (4) In assessing the compensation for use, the holders of rights should take those contributions by the Partners into consideration which are to be regarded as a necessary, but not sufficient prerequisite for the invention. Such contributions should be adequately taken into consideration in the assessment of licence fees, e.g by a significant deduction in comparison to those not involved, which – in particularly justified cases – may even lead to an extensive renunciation of licence fees. This is analogously applicable to joint inventions. (5) Project Partners that are not involved in the inventive achievement should be able to acquire licences for use outside the project. A participation in the project as such does not justify any claim for the use free of charge beyond the project. Licensing by the holders of rights should take place on generally accepted market conditions, to be agreed upon prior to an intended use. (6) The Partners should be aware that – despite of al these regulations – some points cannot be regulated in the cooperation agreement (e.g. whose staff has provided the special achievement; which contributions are adequate). Therefore the Partners should agree on arbitration proceedings aimed at an amicable settlement in the event of disputes about patent issues. (7) In the case of joint R&D projects, in which a public or scientific institution or public supported body is involved in addition to a private company, economically imbalanced contributions must be carefully evaluated with a view to No. 2.4 of the Community frame of the European Commission for R&D aids granted by states; the result of such an evaluation has to be documented. The Partners must agree on confidentiality and the dissemination of knowledge. It is especially important to agree on how to make knowledge accessible to each other, in a manner that project objectives can best be obtained. Procedures and rules of disseminating knowledge should be agreed upon prior to the start of the project. The Partners should respect each other’s secrets in commerce and should maintain adequate procedures to protect any confidential information of the Partners, which was made accessible to them. If Partners from different countries are involved in the joint project, the Partners should agree upon which law should be applicable and where jurisdiction should be in matters not subjected to regulations by the funding agreement signed with the national funding agency.
(b) In addition to the cooperation agreement, details of cooperation are to be laid down
by the Partners of the joint project in a written Utilization Plan (“Verwertungsplan”) that
should contain regulations with a balanced distribution of rights and duties for the use
and exploitation of knowledge and results among the Partners (for information & format
see the box bleow).
Prospects for commercial success
Please describe the prospects for success which positive results may have in the short, medium and long term (time
horizon), particularly with regard to potential markets (products/systems) and other uses. The following aspects should
be considered for example:
Interlinkage between research and production strategies Benefit to various groups of users/industries in Germany (including listing) Prospects for commercial application and transfer Please comment on the prospects for commercial application and transfer (e.g. describing the market potential) as appropriate. This includes, for example, comments on clear functional/commercial advantages of the chosen approach over rival approaches until the expected market launch.
Prospects for scientific and/or technical success
Leaving aside the commercial aspect, please describe the prospects for scientific and/or technical success (with time
horizon) – inter alia how the envisaged results can be used in other ways (e.g. in public work, databases, networks,
transfer offices, etc.). Any cooperation with other institutions, firms, networks, research agencies etc. should be
Prospects for scientific and commercial follow-up
Please indicate who will/should be responsible for the next phase and/or the next innovative steps towards successful
application of any positive project results and what approach is to be chosen. Reference may, for example, be made to
the results of
Basic research: Science-industry collaborations Applied research: Exploitation e.g. of specific product developments for use across industrial sectors Development: Commercialization and market launch Overall Utilization Plan
9. Other requirement
For German applicants:
In their own interest, applicants should familiarize themselves with the EU's Research Framework Programme in the context of the envisaged 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 supplementary funding can be submitted to the EU for the proposed national project. The results of these enquiries should be described briefly in the national project application 10. Type, scope and rates of funding
Funding is provided in the form of non-repayable grants or soft loan (only in case of
Indian private industry) amounting up to € 400,000 per project from both sides, for a
period of up to three years, to cover costs for staff and other costs.The entire project
funding would be provided under the umbrel a of Indo-German S&T Centre (IGSTC).
Financial support for the Indian component would be released by IGSTC in India directly
and financial support for the German component would be released through IB-BMBF in
For German applicants:
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 grants, depending on the project’s orientation towards application. The BMBF’s policy requires the applicants to make an appropriate contribution – at least 50%, as a rule – towards the eligible costs incurred. Grants for universities, research establishments and similar institutions are calculated on the basis of the eligible project-related expenditure [(or, in the case of the Helmholtz centres and the Fraunhofer Gesellschaft (FhG), on the basis of the eligible project-related costs)] which can be funded by a maximum of 100%.
The European Commission's Community Framework for State Aid for Research and Development must be taken into account when determining the rates of funding from German side.
The Community Framework allows differentiated bonus arrangements for col aborative projects proposed by small and medium-sized enterprises (SMEs), which may result in a higher rate of funding.
For Indian applicants:
The private company is required to make an appropriate contribution – at least 50%, as a rule – towards the eligible project costs. Remaining funding up to 50% of the projected cost can be supported as a soft loan (on prevailing terms and conditions), depending on the project’s orientation towards application. Grants for universities, research establishments and similar institutions are calculated on the basis of the eligible project-related expenditure which can be funded by a maximum of 100%.
11. Rates for travel and research visits:
IGSTC through IB-BMBF wil provide financial support to cover the travel expenses
incurred by German project partners travelling to India (transportation to the airport,
flights and visa fees) andthe cost of room and board of Indian project partners visiting
Germany (per diem). IGSTC will provide financial support to cover the travel expenses
incurred by Indian project partners travelling to Germany (transportation to the airport,
flights and visa fees) and the costs of room and board of German project partners
visiting India (per diem).
The following per diem allowances apply:
• In India: Rs 1500/- per day plus accommodation for visits up to 21 days duration and Rs 1000/- per day for each additional days beyond 21 days plus accommodation.
• In Germany: €104 per day (1 to 22 days); max. 1840 € for 23 to 30 days, in the case of free accommodation: €26 per day (any free meals will be deducted from this amount).
Any other costs that may arise must be borne by the applicants themselves.
12. Other terms and conditions for the awarding of grants
For German applicants:
The Nebenbestimmungen für Zuwendungen auf Kostenbasis des BMBF an Unternehmen der gewerblichen Wirtschaft für Forschungs- und Entwicklungsvorhaben (Auxiliary Terms and Conditions for Funds Provided by the BMBF to Commercial Companies for Research and Development Projects on a Cost Basis – NKBF 98) wil be part of the funding contract for grants on a cost basis. The Allgemeine Nebenbestimmungen für Zuwendungen zur Projektförderung (General Auxiliary Conditions for Grants Provided for Projects on an Expenditure Basis – ANBest-P) and the Besondere Nebenbestimmungen für Zuwendungen des BMBF zur Projektförderung auf Ausgabenbasis (Special Auxiliary Terms and Conditions for Funds Provided by the BMBF for the Promotion of Projects on Expenditure Basis – BNBest-BMBF 98) will form part of funding contract of grants on an expenditure basis.
13. Procedure
It is recommended that Indian applicants contact IGSTC Secretariat in India prior to submitting the application if they require any further information or specialised advice. The contact address is DirectorIndo-German S&T Centre (IGSTC)Plot No. 102, Institutional areaSector 44, Gurgaon – 122003 IndiaPh : +91 ( 0) 124 4929400Fax : +91 (0 ) 124 or It is recommended that German applicants contact the IB-BMBF prior to submitting the application if they require any further information or specialised advice. The contact address is Ms. Verena Muel erInternational Bureau of the BMBF (IB-BMBF),c/o German Aerospace Center (DLR)Heinrich-Konen-Str. 1, D-53227 BonnPh: +49 (0) 228 3821462Fax: +49 (0) 228 3821444, Email 14. Submission of Proposals
The soft copy of the project proposal as per the application form (in a SINGLE file in ms-word or PDF format only, please do not send any scanned page) may be sent to IGSTC at or with a copy to IB–BMBF in Germany at Similarly hard copy may be sent by post to IGSTC Secretariat in India.
Research proposals must be submitted no later than 17 October 2011 (postmark). The
submission deadline is not a cut-off deadline. However, it may prove impossible to
consider project outlines received after this date.
No legal claims can be derived from the submission of a proposal.
All proposals received are peer reviewed by a common scientific board (German and Indian experts from scientific and industry). The applicants will be informed in writing about the results of the evaluation.
For German applicants: Applicants, whose project outlines have received a positive evaluation will be invited- within 6 weeks- to submit a (formal) application for funding. The electronic application system “easy” (the use of AZK and AZA is strongly recommended; should be used wherever possible to write formal applications.
Project funding is expected to start on 1 January 2012.
15. Entry into force
These funding regulations will enter into force on the day of their publication in the Federal Gazette (Bundesanzeiger) and the IGSTC website.


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