Instructions and Template	
For Base4NFDI Basic Service Proposals 
-	Initialization Phase - 

Version 2
2023-04-20
	
I	A. General Instructions
The proposal template provides a mandatory structure and a number of tables to be completed. Apart from that, applicants may decide how to present the content.  All sections of text in grey are intended to provide guidance for completing the proposal and should be deleted in your proposal submission. 
Proposals for Base4NFDI Basic Services must be submitted via the spokesperson of the NFDI Section supporting the proposal to base4nfdi-office@lists.nfdi.de in PDF format. Further information about the next submission deadline and the entire evaluation process can be found at the Base4NFDI website, which will be updated continuously. Proposals must be written in A4 format, 11 pt Arial font with line spacing of 1.5. The length of the proposal may vary depending on the complexity of the proposed service but may not exceed 15 pages (excluding cover page, financial tables of chapter 6 and appendix). A different font or line spacing may be used in tables, figures, footnotes and the list of references, provided the text is still easy to read. The proposal and appendices are to be written in English. Please use the proposal template contained in part B of this form.
The requested funding amounts should not include programme allowances (for indirect project costs). Budgeted allowances will come from Base4NFDI flex funds and vary by the phase (initialization, integration, ramping up for operation) for which funding is requested. Funding for the Initialization Phase  – with the exception of well-argued cases – will be limited to one year and a maximum of €226.500.
For further information please refer to https://base4nfdi.de or contact Base4NFDI base4nfdi-office@lists.nfdi.de  whenever answers are not available online.

II	B. Proposal Template - Initialization Phase
1.	General Information
▪	Name of proposed Basic Service (in English)
▪	Acronym of the proposed Basic Service
▪	Service "subtitle" explaining key functionality 
▪	Lead institution
The lead institution is the coordinating institute for the Basic Service for the current stage of development. 
Please enter the institute’s name and address.
▪	Name of lead institution principle investigator
The primary contact and coordinator of the Basic Service.
 Please enter the name and email address.
▪	Participating institutions
Principal Investigator	Institution, location	Contact Email	Member in [consortium]	
				
	Table 1: List of participating institutions
▪	Planned duration of the project
Typically 1 year, under well-justified and well-explained circumstances up to 2 years. 
▪	Summary of the proposal in English and German
up to 1,500 characters each, including spaces
2.	State-of-the-Art of Proposed Basic Service (max 3 pages)
	Background and Motivation
In this section: 
Briefly explain the added value provided through a NFDI-wide Basic Service of the here proposed type.
Briefly sketch how a basic-service would look like and / or how its details would be shaped during the initialization phase.
Do also briefly provide a rationale, why you think the proposed service is a Basic Service. 
If feasible and applicable, do also briefly add from your overall perspective: how will the proposed service possibly interact with other (basic) services, what does it need?

	State-of-the-art
	Status of work results in preparation for the Basic Service
(Keywords: Preliminary identified requirements and needs (on what basis evaluated?), functional/operational gaps - Robustness, security and scalability of intended technologies - Building on existing technologies/infrastructure - Open licence technology - Coordination and integration of existing standards, conflicting standards/implementations - Necessity of further development or new development -  Alternatives - Connection to existing consortia: Which consortia currently support the development of the service?  Should also motivate the development phase overview in sections 4.2 - 4.4 … )
	Current Technical Readiness Level (TRL) of the proposed Basic Service (max 0.5 pages)
Briefly specify the current TRL for the proposed Basic Service (based on existing work). 
The following definitions apply: 
•	TRL 1 – basic principles observed
•	TRL 2 – technology concept formulated
•	TRL 3 – experimental proof of concept
•	TRL 4 – technology validated in lab
•	TRL 5 – technology validated in relevant environment (industrially relevant environment in the case of key enabling technologies)
•	TRL 6 – technology demonstrated in relevant environment (industrially relevant environment in the case of key enabling technologies)
•	TRL 7 – system prototype demonstration in operational environment
•	TRL 8 – system complete and qualified
•	TRL 9 – actual system proven in operational environment (competitive manufacturing in the case of key enabling technologies; or in space).
For non-technical services, please provide analogous information.
3.	SWOT Analysis (max 2 pages)
Please detail strengths, weaknesses, opportunities and threats for the proposed service in the table below and provide an explanation and transparent reflection on opportunities and risks, plans to overcome weaknesses and strengthen opportunities. Focus is on the one hand the intended service and its characteristics, on the other hand the analysis of the environment for the acceptance of the service in the NFDI and beyond.
Internal	Strengths
1.
2.
3.
…	Weaknesses
1.
2.
3.
….	
External	Opportunities
1.
2.
3.
….	Threats
1.
2.
3.
…	
Table 2: SWOT analysis
4.	Working Concept for the Development of the Basic Service (max 2.5 pages)
Describe the overall concept for the development of the Basic Service with regard to all stages (Initialization, Integration, Ramping up for Operation). As this proposal is for the initialization phase, describe it in more detail. Include in particular how requirements and use cases across all consortia are captured.
	Service initialisation concept
Describe how the Base Service is going to be introduced into the evolving infrastructure, e.g. landscape reviews, requirements collection, consortium-specific as well as overarching analysis, gap analysis, exchange with sections, …
	Development and integration outlook
Explain the development and integration work required to establish the Base Service for different NFDI consortia, e.g., required work for interfaces with other existing IT solutions (see 4.1), adaptations to standards, and further development to meet specific requirements. 
	Ramping up for Operation
Explain the requirements that have to be achieved to scale the service to a larger user group including hardware needs, operational overheads, estimates for compute power and continuous maintenance. The Base Service may be accessible through a central site (central operations) or in a distributed way (e.g., operations through individual NFDI consortia). Make an effort to explain your own estimates. 
	Risks and Challenges
Give an overview on the risks and challenges that may occur through operations of the service. 

5.	Work Programme (ca. 6 pages)
This section should describe the structure of your work programme for the initialization phase as it relates to the overall objectives of the proposed Basic Service. 
	Overview of work packages
The work programme for the initialization of a Basic Service is divided into different work packages, deliverables, and milestones within. Please include all institutions working together on a work package (as a structure-building unit of the project) and name the institution, who leads the work package. Note that deliverables are tangible outcomes of the work (software, documents, plans, designs, …), while milestones are specific moments in time or in the course of the project. Here, the achievement of the goals (i.e. deliverables) of one of the development phases and the transition to the next phase is considered a milestone. 

Work package	Deliverables (D) and 
milestones (M)	Responsible partner	
1.	content 	D1.1 
D1.2 
M1.1 
…	institution	
2.	other content	D2.1 
D2.2 
M2.1 
…	some other institution	
…	…	…	
Table 3: Overall work programme with work packages, deliverables, milestones, and responsible partners.
	Detailed work programme
Please provide a detailed description of the work packages, using one subsubsection per work package. Please include a Gantt chart summarising the duration, dependencies, deliverables and milestones of the WPs. 
5.2.1 WP1
5.2.2 WP2
5.2.3 WP3

6.	Funding Request

List the task area in the table heading and the individual work packages in the table. Add additional lines as necessary.
	Year 1	Year 2	Total
in €	
Work Package 1				
Work Package 2				
Work Package 3				
…				
Total project funds 				
Table 4: Funding request by work package

List the name of each institution, adding additional lines if necessary.

	Year 1	Year 2	Total
in €	
Institution	Totals in €			
Lead institution				
Participating institution 1				
Participating institution 2				
Participating institution 3				
…				
Total project funds 				
Table 5: Funding request by institution

Please note the current staff funding rates of the DFG at the time of application, only on this basis funding is possible. In addition, please keep in mind the maximum budget that can be requested in the initialization phase (cf. Section I A).
Any proposed instrumentation funding must be explained separately below the table.
	Year 1	Year 2	Total
in €	
DFG Funding category	Totals in €			
Staff				
Direct project costs				
Total project funds				
Table 6: Funding request by funding category

List the number of person months for which funding is requested under the given staff categories of the DFG Personnel Rates.
	Year 1	Year 2	
Staff category	Number of person months		
Postdoctoral researchers
and comparable
			
Doctoral researchers
and comparable
			
Other research assistant			
…			
Table 7: Funding request by staff category
7.	Required Support Actions from Base4NFDI / NFDI Sections / NFDI Consortia (max 1 page)
Please add additional support you explicitly need from the Sections, from Base4NFDI or from single consortia or any other support.  An example is shown in table
Support from	Work package	Contact Person Basic Service	
Base4NFDI	Support in setting up questionnaire for requirement analysis	Lara Musterman, Musterinstitut, lara.musterman@musterinstitut.de	
Section Metadata		max.mustermann@blabalabl.de	
…			
Table 8: Support request

We herewith certify that we have submitted this proposal to Base4NFDI and that the information provided therein is accurate. 

Head of the lead / participating institution

____________________________			__________________________________
First name last name				   		City, date signature

Principal investigator
____________________________			__________________________________
First name last name				   		City, date signature
III	Appendix
The appendix may only include the following information and documents: 
a)	Bibliography and list of references
Please list all sources and data repositories, information infrastructures and software that you have used to describe the status quo in your proposal. Indicate which sources were written or developed by members of the participating institutions (for example, by highlighting the source in bold). 
b)	Letters of support by the consortia supporting the Basic Service development (cf. section 7 of this form)
Here you may attach letters of specific support provided by NFDI consortia or additional partners, that contribute as designated in section 7 of this form. Please note that the term partners does not include lead or participating institutions of the proposed Basic Service. 
Please do not provide generic support letters. General support including  the approval of 25% of the NFDI consortia will be requested in a separate process by the Base4NFDI coordination team. 

All signed documents must be sent by mail to the Base4NFDI Coordination, in a PDF by the date of the decision round this proposal is seeking.