Federal Ministry of Education and Research Announcement of

1 This document is for information purposes only only the German text is legally binding. Federal Ministry of Education and Research Announcement of Regulations governing the Funding of Selected Key Areas of Basic Scientific Research in the field of "Condensed Matter Research at Large-Scale Facilities" 1. Funding purpose, legal basis 1.1 Funding purpose The Federal Ministry of Education and Research (BMBF) intends to fund research and development projects in the field of "Condensed Matter Research at Large-Scale Facilities". The large-scale facilities used for basic physical research are an important component of the German research infrastructure. They are making a significant contribution within the framework of the "High-Tech Strategy 2020 for Germany" since the development of key technologies requires findings which can only be produced using such facilities. The present funding regulations take into account the results of the BMBF strategy dialogue on the development of this funding area of 20 June 2012 and recommendations by the Committees for Research with Synchrotron Radiation (KFS), with Neutrons (KFN), with Nuclear Probes and Ion Beams (KFSI) and the Committee for Accelerator Physics (KfB). The funding regulations focus on projects which, working in conjunction with the large-scale facilities for basic physical research, - develop and set up innovative instrumentation, - devise new research methods, - develop key components, - draft concepts and develop basic technologies as well as making relevant contributions to topical scientific issues. Work on the development and use of free-electron lasers is a strategic priority. An important funding objective is to extend the range of applications of the respective large facility beyond the field of basic scientific research. The translation of results from research into practical applications is becoming increasingly significant. Research projects regarding the practical application of basic scientific-technical findings are therefore very welcome and specifically covered by the funding activity. The measure is intended to provide a valuable contribution to consolidating and further improving the excellent position of German research in the field of condensed matter research at large-scale facilities and to strengthen Germany's long-term position as a prime location for education and science. One aim is to strengthen in particular supraregional cooperation between university groups working in larger thematic collaborations or research networks in association with the large-scale facilities. A further important aim is to encourage young scientists to work on the development of and conduct research at large-scale facilities.

2 The measure focuses on projects in which there is a particular national interest complementarily to the funding procedures of the Deutsche Forschungsgemeinschaft. 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 section 44 of the Federal Budget Code (BHO). There is no legal entitlement to a grant. A decision on the award of funding will be made after due assessment of the circumstances and within the limits of the budget funds available. 2. Object of funding The funding focuses on the expansion of the experimental infrastructure and the development of new methods for conducting condensed matter research at largescale facilities using - photons, - neutrons and - charged particles (nuclear probes, ion beams and positrons). Priority will be given to projects that provide decisive new momentum for the field of "condensed matter research" by offering new or extended opportunities for using the large-scale facilities. Funding will also be provided for: - the development of central components such as detector systems which form the starting point for new research instruments and innovative methods, - accelerator physics work methods and components to increase the efficiency of existing and future large-scale scientific facilities, including the corresponding concepts and basic technologies. A further important precondition for funding is the existence of a highly relevant scientific assignment and the optimal utilization of the distinctive features of the largescale scientific facility. The project is expected to demonstrate the efficiency of the infrastructure or method developed on a topical scientific issue by way of example. Priority will be given to the following fields of application: - Materials and advanced materials o Nanotechnology and microelectronics Research into physical phenomena and active principles in materials at the borderline between volume and surface characteristics with a high spatial and temporal resolution; in situ tests of production processes and kinetic and dynamic processes of growth.

3 This document is for information purposes only only the German text is legally binding. o - Life sciences New materials Examining new materials, among other things with regard to technical functionality; functional materials, particularly magnetic and spintronic materials; soft materials, including polymers and colloidal systems; materials for the production, transformation, transportation and storage of energy; targeted material modification and structuring; materials under extreme conditions. Experiments on the structure and dynamics of biomolecules ranging from molecules to the entire cell to meet the demands of health research and biotechnology, including tests on biomolecular model systems under realistic external conditions; interactions and dynamic processes in hierarchical and complex systems. Priority is also given to innovative experiments that study the potential of new largescale scientific facilities: Ultra-fast processes and interactions with intense laser fields; tests on chemical reactions in real time and improvements in the structural and functional principles that determine these reactions; ultra-fast dynamics of the lightmatter interaction in molecules, clusters and solids under the influence of intensive radiation. For all the areas mentioned, funding is targeted towards projects that refer to the following large-scale scientific facilities, and a particular focus is placed on existing or planned facilities of the latest generation: - Photon sources (synchrotron radiation sources, free-electron lasers) PETRA III, FLASH Hamburg, DESY BESSY II Berlin, HZB ANKA Karlsruhe, KIT FELBE Dresden-Rossendorf, HZDR XFEL Hamburg, European XFEL ESRF Grenoble, ESRF

4 - Neutron sources (reactors, spallation sources) FRM II Garching,TUM 1 BER II Berlin, HZB HFR Grenoble, ILL ESS Lund, ESS (planned) - Sources for charged particles UNILAC / SIS18 Darmstadt, GSI NEPOMUC (FRM II) Garching, TUM 1 IBC Dresden-Rossendorf, HZDR FAIR Darmstadt, FAIR ISOLDE Geneva, CERN In justified special cases, funding may also be granted to projects carried out at other large-scale scientific facilities as part of international collaborations in so far as these are closely relevant to a funding project at the above large-scale facilities and are important for the progress of this facility (e.g. IBR-2, Dubna 2 ). The application for funding must be accompanied by a statement by the source operator on the availability of the source. Theoretical work may be funded within the framework of this measure in so far as it is directly connected with experimental funding projects and decisive for their success. Such theoretical work must in all cases be organized as part of a collaborative project together with the development of instruments or methods. Applicants who form a larger research network, are working on an extremely complex task over a longer period and are organized in the form of a collaborative project may apply for the establishment of a "BMBF Forschungsschwerpunkt" (BMBF FSP). This approach is intended to enhance networking and coordination in the field of science and to strengthen supraregional cooperation between the best groups of researchers. The BMBF would thus like to ensure that its Forschungsschwerpunkte (Research Priorities) develop to become thematic networks of excellence with a strong international profile. The BMBF can provide support for the necessary additional coordination work required. Scientific topics which do not refer to the development of new instruments or methods cannot receive funding under this measure. These topics include, for example, the routine operation of experimental facilities or of standard equipment. 1 On the basis of the agreement between the BMBF and the Bavarian State Ministry of Science, Research and the Arts. 2 On the basis of the BMBF-VIK Dubna cooperation agreement

5 This document is for information purposes only only the German text is legally binding. 3. Recipients of funding Research proposals may be submitted by German institutions of higher education. Research establishments which receive joint basic funding from the Federal Government and the Länder can only be granted project funding for their additional expenditure under certain conditions. One precondition is satisfied if the involvement of a research institution is essential for the success of a collaborative project and an appropriate own contribution is assured. 4. Prerequisites for funding Applicants should familiarize themselves with the EU's Research Framework Programme with regard to the envisaged national project. They should check whether the intended 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 results of such investigations should be described briefly in the national funding application. Cooperation between the partners in a collaborative project must be laid down in a cooperation agreement. Before a funding decision can be taken, the cooperation partners must prove that they have reached a basic agreement on certain criteria stipulated by the BMBF. For further details, please refer to BMBF form 0110 (cf. No. 7). 5. Type, scope and rates of funding Funds will be awarded in the form of non-repayable project grants. 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. 6. Other terms and conditions for funding 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) will be part of the notification of award for grants on a cost basis. The Allgemeine Nebenbestimmungen für Zuwendungen zur Projektförderung (ANBest-P) (General Auxiliary Conditions for Grants Provided for Projects on an Expenditure Basis) 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

6 on Expenditure Basis) will form part of the notification of award of grants on an expenditure basis. 7. Procedure 7.1 Involvement of a project management organization and request for documents The Federal Ministry of Education and Research has entrusted the following project management organization with the implementation of the funding activity: Projektträger DESY 22603 Hamburg Telephone: +49 (0) 40 8998-3702 Fax: +49 (0) 40 8994-3702 E-mail: pt@desy.de WWW: http://pt.desy.de Please contact: Dr. Olaf Kühnholz (particularly neutrons, BMBF-VIK Dubna cooperation) Telephone +49 (0) 40 8998-2917 E-mail: olaf.kuehnholz@desy.de Dr. Michael Birke (particularly low-energy photons, charged particles) ) Telephone +49 (0) 40 8998-6198 E-mail: michael.birke@desy.de Dr. Wolfram Meyer-Klaucke (particularly photons) ) Telephone +49 (0) 40 8998-5020 E-mail: wolfram.meyer-klaucke@desy.de Dr. Tinka Spehr (particularly neutrons and accelerator physics) Telephone +49 (0) 40 8998-5029 E-mail: tinka.spehr@desy.de The new electronic application system "easy-online" 3 should be used to draw up the formal application for funding. https://foerderportal.bund.de/easyonline/ For the application form, select the "Fördermaßnahme" "Erforschung kondensierter Materie 2013-2016" (Condensed Matter Research 2013-2016 funding measure) in the application form. The project description should not exceed 10 pages (Arial 11). Notes on submitting an application can be found on the website of the project management organization: 3 "easy-online" replaces the previous (offline) electronic application system "easy".

7 This document is for information purposes only only the German text is legally binding. http://pt.desy.de/bekanntmachungen/ Application forms, guidelines, leaflets, information and auxiliary terms and conditions are available online at (under "Formularschrank/BMBF"). http://foerderportal.bund.de/ 7.2 Presentation of formal applications for funding and decision-making procedure Formal applications for funding are to be sent to the project management organization by post in written and in electronic form as far as possible using "easy- Online" by 10 December 2012 at the latest. In the case of collaborative projects, the project applications are to be submitted in consultation with the proposed collaboration coordinator. The submission deadline is not a cut-off deadline. However, it may not be possible to consider applications received after this date. The BMBF's Committee of Experts on "Condensed Matter Research at Large-Scale Facilities 2013-2016" will be involved in evaluating the applications on the basis of the following criteria: - Research policy relevance for the strategic development of the infrastructure of large-scale research facilities, - Scientific standard of the instruments or methods developed in international comparison, - Merit of the scientific question that forms the basis for the development of the respective instruments and methods, - Scientific potential for a wider range of users or for developing new research fields, - Significance for the research programme of the large-scale scientific facility, coordination with the operator, - Expansion of the specific strengths of the large-scale scientific facility, - Competence of the project leadership, the network of projects or the partners in a collaborative project. - Structure and prospects of success of the project and the exploitation of results, - Training of young researchers A funding decision will be taken following a final evaluation of the application. Funding is intended to begin on 1 July 2013.

8 The projects should be designed to run for a maximum of three years and structured stating concrete milestones. 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) and sections 48 to 49a of the Administrative Procedure Act (VwVfG) unless deviation is permitted under the present funding regulations. 8. Entry into force These funding regulations will enter into force on the day of their publication in the Federal Gazette (Bundesanzeiger). Bonn, 4 October 2012 Federal Ministry of Education and Research Dr. Heike Prasse Head of Basic Scientific Research Division