the nordic research collaboration-nordforsk
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AlignmentatTrans-RegionalLevel:CaseStudyNo.1TheNordicResearch
Collaboration-NordForsk
CaseStudyNo.1,ERALEARN2020Task4.4
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AlignmentatTrans-RegionalLevel
CaseStudyNo.1-TheNordicResearch
CollaborationNordForsk
Disseminationlevel:WiderpublicPreparedby:ItalianMinistryofEducation,UniversityandResearch(MIUR)
Contributors:INRA,UNIMAN,AIT
CaseStudyNo.1,ERALEARN2020Task4.4
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ABSTRACT
Thiscasestudyanalysesthekeyfeatures,overallstrengthsandweaknessesofapeculiarmodalityofresearchand
innovation collaboration, developed at regional level among theNordic Countries - Denmark, Finland, Iceland,
Norway and Sweden, and three autonomous areas, Faroe Islands, Greenland and the Åland Islands – via the
establishmentofaspecificorganisation:NordForsk.Establishedin2005undertheNordicCouncilofMinisters–
inter-governmental body for cooperation in theNordicRegion–NordForskpromotes cooperationon research
throughthefinancingandadministrationofresearchprogrammes.Thepeculiarityofthisregionalinitiativerelies
on the extendeduse of the “real commonpot fundingmechanism” in all its programmes and initiatives. The
study examineshow the specific context of theNordic cooperation, and in particular a long traditionof trust-based collaboration, facilitated the establishment of a common organisation and mechanisms promoting the
institutional,operationalandfinancialalignment.Thecasestudywillinparticularfocusontheresultsattainedby
NordForskintermsofalignmentoffundingthankstotheuseoftherealcommonpot.
The study underlinesNordForsk key strengths and achievements. The use of the real common pot as funding
mechanismbeensuccessfullydevelopedinthejointprogrammesadoptedandimplementedbyNordForskaswell
asinlarge-scaleinitiativesliketheTop-LevelResearchInitiative–TRI.Therealcommonpot,consistingofNordicCouncilofMinistersfundingandnationalfunding,isadministeredbyNordForskandallocatedtohighestscientific
qualityprojectsregardlessofhowmuchfundingeachcountrycontributedtothepot.Themainbenefitofthereal
commonpotisthatitensuresthatthebestresearchisawardedfundingandthusitfostersexcellenceinresearchand theoptimaluseof theavailablebudgetmaximising thenumberof fundedprojects.Theuniquenessof the
NordForsk relies on the fact that research funding for international cooperation is allocated with such a high
degree of trust and flexibility. NordForsk attained further specific benefits in terms of fostering the Nordic
collaboration in research infrastructures and of developing cooperation and synergies with JPIs and with the
EuropeanResearchArea.
Yet, NordForsk has been confrontedwith: i) limited budget and difficulties in recent years tomeet the target
budget; ii) a complex andmultilevel structure establishedwithin the realmof theNordic Council ofMinisters,
wheredifferentinstitutionsareactiveinthefieldofNordiccooperationinR&Iiii)differentnationalprocessesand
timelinestodefineprioritiesatnationallevel.
ACKNOWLEDGEMENTS
ThecasestudyhasbeenwrittenbyGaiaBrennaoftheItalianMinistryofEducation,UniversityandResearch.The
authorisgratefultoJosteinK.Sundet(SeniorAdviserofNordForsk)forhervaluableinputs.Shewouldalsoliketo
thanktheERA-LEARNConsortiumpartnersfortheirusefulsuggestionsonearlierdraftsofthiscasestudy.
CaseStudyNo.1,ERALEARN2020Task4.4
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Tableofcontents
1. Introduction.....................................................................................................................................................4
2. KeyfeaturesofNordForsk...............................................................................................................................4
2.1 Overview.................................................................................................................................................4
2.2 Missionandactivities..............................................................................................................................5
2.3 HowaNordicprogrammeisestablished................................................................................................6
2.4 Governancestructure..............................................................................................................................7
3. Overallstrengthsofthistool,includingkeyachievements.............................................................................8
3.1 Financialalignmentthroughtheuseofrealcommonpot......................................................................9
3.2 Setting-upofjointprogrammeswithrealcommonpot:theTop-LevelResearchInitiative.................10
3.3 Nordiccollaborationinresearchinfrastructures.................................................................................12
3.4 CrossbordercooperationandsynergieswithinitiativesatEUlevel,inparticularJPIsandERA.........13
4. Overalllimitationswiththistool,includingdifficultiesencounteredduringimplementation.....................13
4.1 Limitedbudget......................................................................................................................................14
4.2 Institutionalcomplexity.........................................................................................................................14
4.3 Differentnationalprocessesandtimelinestodefinepriorities............................................................14
5. Conclusions:Suitabilityandkeyfactorsofsuccess.......................................................................................14
REFERENCES..........................................................................................................................................................17
ANNEX1.NORDFORSKSTRATEGY2015-2018.......................................................................................................19
ANNEX2.THENORDICCENTREOFEXCELLENCE(NCoE).......................................................................................20
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1. Introduction
This case study analyses the main features of a specific modality of research and innovation collaboration
developedamongNordiccountries.TheNordicregionincludesfivecountries,Denmark,Finland,Iceland,Norway
andSweden,andthreeautonomousareas,FaroeIslands,GreenlandandtheÅlandIslands.Nordiccountriesare
homogenousalongcertainfactors, includinghistory, language,political,cultural,socialanduniversitytraditions
thatconditionedthepropensitytocooperateonseveralissues,includedresearchandinnovation.
The study examines how this specific context and the peculiarities of this region favour the setting up of
mechanisms promoting the alignment of national programmes and activities.NordForsk can be taken as good
practice in establishing, in regions with long tradition of “trust-based cooperation”, a stable organisation
providing funding for and facilitating cooperation in research and research infrastructures. It is an example of
ambitious institutionalcooperation, thathasgivenrise totheadoptionof joint researchprogrammesbasedon
common vision and strategic priorities, use of the real common pot funding mode, common evaluation and
collaboration in research infrastructure. On this basis NordForsk represents a good example of institutional
alignment, covering strategic,operationaland funding level.While taking intoconsideration its complexityand
multilevelmodalityleadingtoalignment,thiscasestudywillfocusonNordForsk’smainachievementattainedin
terms of alignment of funding thanks to the use of the real common pot as fundingmode applying to all its
programmesand initiatives.NordForsk is inparticular a goodpracticeof alignmentof fundingbasedon long-
lasting mutual trust among the Countries involved and their Research organisations, and can thus provide
importantlessonsforpublic-to-publiccollaborationtobedevelopedatregionallevel.
Following the Typology of Alignment (ERA-LEARN 2020 Task 4.1), NordForsk mainly relies on alignment at
financiallevelasusingtherealcommonpotmechanism,whileissuitabletobeincludedalsoasgoodexamplein
theadoptionofcommonstrategicresearchpriorities–atstrategiclevel-andinestablishingnetworkoralliance
ofresearchfunding/performingorganisationsandjointprojectmonitoring-atoperationallevel.
FocusingontheRegionaldimension,thisinitiativeshowshowcommonhistoric,culturalandpoliticalbackground
andsimilaritieshasledtoahighdegreeofmutualtrustandcanpavethewayforaclosecollaborationinresearch
andinnovation.TheformalcooperationandtheinstrumentssetupundertheNordiccooperationhasprovedto
beoneofthemostambitiouscomprehensiveregionalcooperationinitiativesdevelopedinEurope.Ontheother
hand,therelativelynarrownumberofcountriesinvolvedfacilitates,comparedtothewiderEuropeanlevel,the
introductionof strict formof collaborationsbasedonmutual trust, inparticular theestablishmentof common
institutionsandtheextendeduseofrealcommon-potfundingmode.
2. KeyfeaturesofNordForsk
2.1 Overview
TheNordiccooperation,basedonlong-lastingandcontinualco-operationoccurringbetweentheCountriesofthe
region, has been institutionalized at parliamentarian level through the Nordic Council1 since 1952 and further
strengthenedin1971whentheNordicCouncilofMinisterswasestablished2.Setupwithaspecific intentionof
maintaining the Nordic co-operation, the Nordic Council of Ministers became the forum for the Nordic
governmental co-operation. It consists of, not just one but several individual councils ofministers for specific
policyareas3withthePrimeMinistershavingtheoverallresponsibilityforNordicCo-operation
4.
1TheNordicCouncilwasestablishedasaforumforNordicparliamentarycooperation,involvingmembersofParliamentfrom
Denmark,Finland,Iceland,NorwayandSweden,andfromthethreeautonomousareaoftheFaroeIslands,Greenlandand
ÅlandIslands.TheCouncilhasbeentakinginitiativesandactinginanadvisoryandsupervisorycapacityonissuesandmatters
ofinterestforofficialNordiccooperation.2ApreviousattemptatNordiceconomicco-operation–theso-calledNordek–failedtheyearbefore.Theestablishmentof
theNordicCouncilofMinisterswasprecededbynegotiationsonmultiple levelsandapermanentcommitteeofministers
startingworkingtogethersince1961.TheguidelinesfortheNordicCouncilandtheNordicCouncilofMinistersarelaiddown
inthe1962HelsinkiAgreement.3TheNordicMinistersgroupedforspecificpolicyareasmeetacoupleoftimesayear.Currentlythereare10constellations
ofpolicycouncilsofministers.ThePresidencyoftheCouncilofMinistersrotatesbetweenthefiveNordiccountriesand is
CaseStudyNo.1,ERALEARN2020Task4.4
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AlongsidethesettingupofspecialisedinstitutionsaimingatfosteringNordicco-operation5,therehadbeenthe
development of awideNordic collaboration in the areaof research, even thoughwith little coordination. The
reportrecommendingthecreationofaEuropeanResearchArea–ERA–tointegratethescienceresourcesofEU
member States6, inspired the Nordic ministers of education and research, that commissioned two reports to
explore the potential in combining instruments already in place and introduce the Nordic Research and
Innovation Area – NORIA. The first report7 envisioned how the Nordic region could have achieved its goal of
becominganinternationallyleadingresearchandinnovationregionandplayedanimportantroleinthefounding
ofNordForsk two years later. In parallel, a second report8 recommended to progressively reduce the financial
support fromtheNordicCouncilofMinisterstoanumberofresearchperforming institutionsandreinvest it in
more flexible funding instruments that could promote Nordic excellence in Research. On the basis of the
recommendations and findingsof the abovementioned reports, theNordic counterpart of the ERA, theNordic
ResearchandInnovationArea–NORIAandNordForskwereestablished,withthevisiontomakeNordicresearch
andinnovationgloballyleadingthroughstrengthenedNordicregionalcooperation.
TheresearchandinnovationcooperationamongtheNordiccountrieshassincethenstructuredintwodifferent
butcooperatingstrands:oneforresearchandoneforinnovation,withtwoorganisationsestablishedtocoverthe
entire sphere of research and innovation at the Nordic level: NordForsk9 to strengthen research and Nordic
Innovationforthelatter.Bothorganisations,andthethirdsisterorganisation–theNordicEnergyResearch-are
co-locatedinthesameheadquartersinOslo.
2.2 Missionandactivities
NordForskisanorganisationundertheNordicCouncilofMinistersthatprovidesfundingforandfacilitatesNordic
cooperationonresearchandresearchinfrastructures.Itsmandateisinparticulartofacilitate,i.e.toidentifyand
respondto,commonstrategicprioritiesforNordicresearchcooperation,andtherebycreateNordicaddedvalue.
NordForsk’s role is to function as a platform facilitating cross-border research cooperationwhere the national
funding agencies and the university sector contribute with funding to joint Nordic research and research
infrastructure programmes. Its role as afacilitatorinvolvesconsultationswith Nordic funding agencies and the
Nordic University Association regarding priorities for joint Nordic actions and possibilities for co-funding of
research and research infrastructure. Through the financing and administration of research programmes
NordForsk brings together national research groups and promotes research activities of the highest scientific
quality.NordForsk’skeystakeholdersincludeuniversities,nationalresearchcouncilsandotherresearch-funding
bodies.
ThevisionisofaNordic regionthat isglobally leading in researchand innovation,withNordForskcontinuously
contributingtothisbypromotingandfinancingbestandmostpromisingresearch.
heldforaperiodofoneyear.ThecountryholdingthepresidencydrawsupaprogrammewhichguidesNordicco-operation
duringtheyear.4 In practice, responsibility is delegated to the Ministers for Nordic Co-operation and to the Nordic Committee for Co-
operation,whichco-ordinatestheday-to-dayworkoftheofficialpoliticalNordicco-operation.5During the1970s, thebudgetwas increasedandseveralNordic research instituteswereestablished,while in the1980s,
commonprogrammeswere conducted under collaborative agreements betweennational funders and theNordic funding
level.6TheReportbytheEUResearchCommissionerPhilippeBusquinwasissuedin2000.
7“NORIA:WhitepaperonNordicResearchandInnovation”issuedbytheFinnishprofessorGustavBjörkstrandin2004,has
the mandate to address several issues related to the Nordic research cooperation, including organization, funding and
instruments, in order to formulate specific recommendations to make the Nordic region a leading area in the field of
researchandinnovation.8 “En nordisk dimension i nationale forskningsmiljøer,Nordiske forskningsinstitutioner under nationalt ansvar”, 2003. The
reportwas led by Professor Dan Brändström and focused on funding responsibility for a number of research performing
institutionslargelyfinancedbytheNordicCouncilofMinistersforEducationandResearch(MR-U).9 Theactivitiesof the formerNordicResearchPolicyCouncil and theNordicAcademy forAdvancedStudies (NorFA)were
incorporatedintoNordForsk.
CaseStudyNo.1,ERALEARN2020Task4.4
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Thegoalof NordForsk is to enhance the quality, impact and cost-efficiency of Nordic research and research
infrastructure collaboration. The main research priorities focus on strengthening integrated cross-sectorial
researchwiththeaimoftacklingsocietalchallengesandensuringsustainabledevelopmentandcreatingacritical
massinpotentiallyexcellentresearchareas.
Toobtainitsgoal,NordForskappliesthefollowingprinciplesinallitsactivities:
• conductinganalysisofkeyissuesontheNordicsciencepolicyagendas;• requiringco-fundingfromatleastthreeNordiccountriestostartalargeresearchand/orinfrastructure
programme;
• establishingopencallsforproposalswithinternationalpeerreviewofapplications;• conductingex-postassessmentofresearchandresearchinfrastructurecollaboration;
• ensuringopenaccess;• ensuringtransparency;• improvinggenderequality;
• providingsupportformobility,highereducation,internationalcooperation,researchintegrityand
research-driveninnovationinlargeprogrammes;
• promotingNordicresearchcooperationinaEuropeanandinternationalcontext;
• ex-postassessmentofcollaboration.
NordForskactivitiesarefundedbyallocationsprovidedbytheNordicCouncilofMinistersandnationalbudgets.
NordForsk’s budget is set in the annual budget negotiations in the Nordic Council and the Nordic Council of
Ministers.TheannualbasicallocationthatisreceivesfromtheCouncilofMinistersisofapproximatelyNOK120
million (roughly 12.6millioneuros),while additional funding areprovided fromnational sources, primarily the
research councils.One thirdofNordforskactivities are financedwithNordic fundsand two-thirdwithnational
funds.
Most of NordForsk’s activities are organised under programmes for cooperation on research and research
infrastructureinfieldswheretheNordiccountriesseethereisaddedvalueincooperation.Thetopicssuitablefor
researchactivitiesattheNordic levelcanissuefrompolitically-baseddiscussionsanddecisions,or inputfroma
widerangeofactorsintheresearchsectorandsocietyatlargeonareaswheremoreknowledgeisneeded.Inthe
definitionofprioritiesforthejointinitiatives,NordForskisusuallytheprimedriver,whileitisthenagreedinthe
individualprogrammeswhatwillbethemainNordicaddedvaluestobeputemphasisoninaspecificcall.
2.3 HowaNordicprogrammeisestablishedTheprogrammesforcooperationonresearchandresearchinfrastructurearedefinedandcarriedoutonthebasis
ofpre-definedsteps,whichcanbesummarisedasfollows:
a) Addedvalueincooperation
NordForsklaunchesandcoordinatesresearchprogrammesinfieldswheretheNordiccountriesseethereis
added value in cooperation. Although each Nordic country is small on its own, joint programmes and
projectsenableresearcherstoworktogetherinlargergroups,whichyieldsbetterresearchresultsonthe
basisofabroaderfoundationwhilehelpingtoestablishlastingnetworksandresearchgroups.
ThefirststepistoidentifyanimportanttopicthatissuitableforresearchactivitiesattheNordiclevel,and
whichNordForsk can help to coordinate. The topicsmay be defined at political level or on the basis of
discussionsfollowinginputsfromresearchactorsandstakeholders.
b) Preliminarystudy
Oncea topicor field isdeemedashavingmajorpotential togenerateNordicaddedvalue,apreliminary
study is launched to provide recommendations for a joint Nordic research initiative. A working group
comprising experts in the relevant area as well as country representatives is appointed. The working
group’s findings are often presented in a report or policy paper outlining opportunities and
recommendations.
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c) Financing
TheNordForskBoarddecidesifandwhentoinitiatenegotiationswiththenationalfundinginstitutionsof
thefivecountries.Duringthisprocess,moredetailsemergeaboutthethematicareaoftheprogrammeand
thecountriesthatwillbecontributingfunding.Aminimumofthreecountriesmustagreetoparticipatein
order for theprogrammetobeapproved.NordForskwillalsocontribute fundingtotheprogramme,and
other organisations under the auspices of the Nordic Council ofMinisters will often do so as well. The
programmemustalsoattainaminimumfundingvolumeinordertojustifyitsstart-upandadministration.
ThevariouscontributionsarepaidouttoNordForsk,whichadministerstheentirebudget,typicallyintheformofarealcommonpot.OnceNordForskand theparticipating countrieshave reachedanagreement, aprogrammecommittee is
appointedwithmembersfromalltheprogramme’sfundingbodies.Thecommitteeservesfortheduration
of the programme period and assists NordForsk in designing and implementing the programme and
programme content and in following up programme activities. This is important for ensuring that the
programmeisadequatelyalignedwithnationalprioritiesandiswellcoordinatedwithnationalinitiatives.
d) Fundingannouncements
Funding underNordic research programmes is always announced inopen calls for proposals so that allrelevant researchers have the opportunity to apply. Project proposals must normally involve the
participationof researchers fromat least threeNordiccountries tobeeligible for funding.Applicationsare evaluated following the peer review process. The programme committee then prepares a
recommendationbasedon the setofprojects judgedasbestable toachieve theprogrammeobjectives.
TheNordForskBoardtakesthefinaldecisionregardingwhichprojectstoawardfunding.
e) Theresearchactivitiesstart
NormallyaNordicresearchprogrammehasatimeframeofatleastfiveyears.Projectsworkindependently
andwith other projects to generate new knowledge. At the same time, new forms of cooperation and
networksamongresearchersintheNordiccountriesareestablished,oftenleadingtoadditionalresultsin
the long term. The programmes also train new researchers, who then have access to the entire Nordic
regionforeducationalandworkopportunities.
f) Results
Nordic research programmes lead to the development and dissemination of new knowledge, methods,
tools and research infrastructure (including databases and registries). New cooperation between
researchers and research groups acrossnational borders is launched.Research findings, innovations and
applicationsofnewknowledgebringbenefitstotheNordicregionasawhole.
2.4 Governancestructure
NordForsk governance is structured around the NordForks Board, the Director and the National Research
Councils.TheNordForskBoardisappointedbytheNordicCouncilofMinistersandhastheoverallresponsibility
for the operations of NordForsk. Ithas full responsibility for NordForsk´s actions and takes yearly strategic
decisionsonhowtospendthefundsprovidedbytheNordicCouncilofMinisters.TheBoardisalsoinchargeof
drawing up plans for how to develop NordForsk further in the future. It is responsible for the organisation's
strategy,economyandpersonnelpolicy-withintheframeworksetbytheNordicCouncilofMinisters.
It is composed of high-level representatives from the research funding agencies in Denmark, Finland, Iceland,
NorwayandSweden,a representative forNordicUniversityCooperation (NUS),andobservers fromtheNordic
CouncilofMinistersandfromtheFaroeIslands,GreenlandandtheÅlandIslands.Therearefivemembersfrom
theresearchcouncilsandonefromtheNordicUniversityAssociation.ThechairmanshipoftheNordForskBoard
CaseStudyNo.1,ERALEARN2020Task4.4
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circulatesamongtheboardmembers10.Thesecretariatisacommoninfrastructuredealingwithalltheaspectsof
a joint call launched within a programme. From the operational point of view a joint structure and common
secretariat greatly simplify the administrative process and avoid long discussions on how to finance the
implementationcostsofthecallforproposals.
3. Overallstrengthsofthistool,includingkeyachievements
Since its inception in2005,NordForskhasattainedseveralachievementsandtheNordicresearchcollaboration
facilitated by NordForsk has been considered an example to be followed by other regions. The Nordic
collaborationfacilitatedbyNordForskhasbecomevisibleandrelevantandhasmadeNordForskakeyplayer in
Nordiccollaboration,whileenhancingthereputationoftheNordicsasagloballyleadingresearchandknowledge
region.
NordForsk promotes cross-border cooperation through the launch andmanagement of joint Nordic researchprogrammes.NordForsk’sprogrammesarecharacterisedbyNordicaddedvalue,multidisciplinarity,responseto
theGrandChallenges,identificationofsharedprioritiesthroughconsultativeprocesses,jointfundingwithareal
commonpot.Atoperationallevel,theseprogrammesincludetheopencompetitionandinternationalpeerreview
process andex-post evaluation.During the2010–2014period, interdisciplinaryprogrammeswere launched inthe following areas: climate; health and welfare; societal security; education for tomorrow; responsible
developmentoftheArctic;andeScience.Inaddition,newinitiativesweredevelopedinthefollowingareas:green
growth/bioeconomy; neutron/materials science; Nordic languages, including communication and language
culture in the Nordic region; and gender research with particular focus on conditions within the research
community.
OfparticularvalueoftheNordiccooperationinresearchandinnovationistheabilitytobuild,viatheestablished
structuresandinashortperiodoftime,common-potfundedresearchcollaborationbasedonnationalpriorities.
Theseinitiativesincorporateaconsiderableamountofnationalco-fundingandareopentoresearchersfromall
of theNordic countries. The strongnetworksanddeep trust among thekeyactors that this generates creates
significantpotentialforfuturecooperation.
Thepeculiarelementofthisregionalinitiativecanbesummarisedbytheconceptoftrust.ThistrustislinkedtothefactthatintheNordicregionthereisaNordicculturalcommunity,similarprioritisationandasortofcommon
identity.Moreover,Nordiccountriesaresimilarwithregardtoacademiclevelsandstandardsandthisfacilitates
theprocesstowardscreatingjointprogrammesorcommonpotschemes.
A specificprogrammedirectly inspiredby theERANET scheme,hasbeendevelopedand fundedbyNordForsk.
TheNORIA-netprogramme11consistsofanetworkofNordicnationalresearchfundersandmanagers,engagedin
coordination activities aimed at joint actions in research funding and research policy. Aiming at creating
coordinationactivities leading tosustainablecollaborationand investments, ithasasultimategoal toestablish
enduring funding instrumentsand fundingmechanismscoordinatedand fundedbyNordForskand thenational
research councils together. The results of a NORIA-net can either be directed towards the development of a
common research policy of a given area, with possible joint Nordic initiatives in research policy and research
funding,orthesettingupofspecificprogrammes12andcallforproposals
13.
FurtherspecificresultsattainedbyNordForskrelatestoresearchermobility,that isstronglyencouraged.Cross-borderaccesstoandportabilityofgrantsisindeedanintegralcomponentofallNordForskprogrammes.
10 The representatives of the National Research Councils are detailed on www.nordforsk.org/en/about-
nordforsk/organisation.11TheNORIA-netprogrammewaslaunchedin2007.
12ExampleswhereNORIA-netsledtothedevelopmentofco-fundedprogrammesare“TheSustainableFreightandLogistics
inaNordicContext”and“ANordic-BalticResearchandInnovationProgrammeonLivingLabs”.13 More details on NORIA-nets projects are available at www.nordforsk.org/en/funding/funding-schemes/noria-
net/@@fof_projects.
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Finally,NordForskhasbeenveryactiveinpromotingOpenAccess. In2013,theNordForskBoardadoptedOpenAccessguidelinesforpublications.NordForskplacespriorityon implementationofOpenAccesstopublications,
data,softwareandeducationalresources.
3.1 Financialalignmentthroughtheuseofrealcommonpot
NordForsk’suniquefeatureisthatitfacilitatesNordiccooperationusingtherealcommonpotwithnofairreturnasfundingmodeappliedinallitsprogrammesandinitiatives.
NordForsk’sbudgetincludesNordicCouncilofMinistersandnationalfunding.TheNordicandnationalfundingis
consolidatedina"commonpot"undereachNordForskresearchprogramme.
NordForsk’scommonpotbudgetisusuallymadeoftwoparts:onepart,equivalenttoone-thirdofthefunding(so
calledglue-money) is thefundingfromtheNordicCouncilofMinisters; thesecondpart,correspondingtotwo-
thirds,isallocatedatthenationallevel,throughnationalfundingagencies/researchcouncils.Thecontributionto
aprogrammebyacountryisdeterminedbythefractionoftheGPDforthatcountry.Inpracticalterms,theGPD’s
aresummedupandaCountry’sfractionwillbe[GPD(Country)/GDP(NordicCountries)]*2/3*totalprogramme
budget. The various contributions are paid out to NordForsk, which is in charge of administering the entire
budget.
Onceaprogrammeattainstheparticipationofatleastthreecountriesanditssetupisagreed,NordForskBoard
negotiates with the countries what budget will be targeted. The target is to have the 1/3-2/3 partitioning
betweenNordForskandthenationalresearchcouncilstobefulfilled.WhileNordForskmeetsthistargetwith1/3
ofthefunding,thefundingagencieshavetoworkinternallyintheircountriestoreservetheneededfunding.Asa
result,howthisprocesswillbecarriedoutinthecountriesinvolvedandwithwhichtimelinesmaydiffer.When
theprogrammeisstartedupthepledgesaregivenbyeachcountry.
Themainbenefitsofusingtherealcommonpotrelyonfosteringexcellenceinresearch,byallocatingfundingto
theresearchprojectsdeemedtobeofhighestscientificqualityafterpeer-reviewassessment,regardlessofhow
muchfundingeachNordiccountryhascontributedtothepotuntilthebudgethasbeenusedup.Thisallowsthe
optimaluseoftheavailablebudgetmaximisingthenumberofprojectstobefunded.Theuseofrealcommonpot
isfundamentaltohelpthecoordinationoflargernationalinvestmentsandcreateNordicsynergies.
It isuniquetoNordiccountriesthatresearchfundingforinternationalcooperationisallocatedwithsuchahigh
degree of trust and flexibility. In comparing the way Nordic countries are making an extensive use of real
commonpotandthedifficultiesofotherEUinitiativestowidelyadopttherealcommonpotcanbemotivatedby
thedeeptrustexistingamongNordiccountries,aswellassimilaritiesinpriorities,traditionsandculture.
Adrawback is that this fundingmodel is dependentonexisting, significant national research investments.The
partitioning1/3-2/3hasn’t been kept to the target inmost recent years, butNordForsk ambition is tomeet it
soon. Nevertheless, over the years, NordForsk has succeeded in increasing the budget share allocated by thenational research funding agencies, primarily in the Nordic countries. In 2016 the national co-funding was
approximately 96million NOK (around 10million euros). In addition, there are in-kind contributions from the
highereducationinstitutionshostingtheprogrammes.
Figure1.DistributionofFundingNordForskactivitiesNordForskwebsite.FactsandFigures
CaseStudyNo.1,ERALEARN2020Task4.4
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Figure2.FundingofNordForskInitiativesviacommonpotbudgetin2005-2015NordForsk10years,2005-2015,NordForskMagasine�
�
TheinstrumentoftheNordicCentresofExcellence(NCoEs),representingoneofNordForskfundinginstrument,is
agoodexampleofco-fundedprogrammeswherethenationalresearchfundingagenciesagreetoputacertain
amount of money in a common pot and to issue joint calls. In NCoE research groups compete for relatively
sizeable allocations within the framework of a common-pot budget. The first NCoEs14 with funding from
NordForskhadatotalbudgetof170million(18millioneuros)forafive-yearperiod.Theevaluationofthesefirst
programmes under the NCoE scheme showed that this model is effective and yields high-quality research
results15.Thereportalsoindicatesthattheabovementionedschemeisbeneficialforalready-establishedgroups
ofresearcherswithastrongpositionintheirfields.
3.2 Setting-upofjointprogrammeswithrealcommonpot:theTop-LevelResearchInitiative
NordForsksetupandadministeredanumberof jointprogrammingwitharealcommonpot16,oneofwhich isconsidered as a model for Nordic Collaboration: the Top Level Research Initiative on climate, energy and
environment (TRI). The TRI, detached from the usual process of Nordic cooperation and consultation, was
initiated as top-down initiative, by the Nordic prime ministers as part of a globalization agenda for Nordic
collaboration17.TheTRI,establishedin2008withabudgetof450millionNOKoverfiveyears,becamethelargest
jointNordic research and innovation initiative to date and represents a significant development of theNordic
research and innovation collaboration. The TRI has had the effect of focusing and structuringNordic research
cooperationtoalargerextentandithasdemonstratedapracticalformofgovernanceforsuchamorefocused
effort.
TRIprimaryobjective is to involvetheverybestagenciesand institutions intheNordicregionandtostimulate
researchand innovationat thehighest level inorder tomakeaNordic contribution towards solving theglobal
climatechangechallenge.
14 After a decision taken by the NordForsk Board in 2006, two jointly funded programmes were established: the Nordic
Centre of Excellence (NCoE) Programme onWelfare Research and the Nordic Centre of Excellence Programme on Food,
NutritionandHealth.15TheTechnopolisfinalevaluation,ledbyPeterStern,waspublishedin2014.
16ExamplesofjointprogrammeswithrealcommonpotareTransportandLogistic,LivingLabs,Nordunet3,Nordbib.
17TheNordicprimeministers,presentedat their summermeeting in2007,aproposal (then referredas theGlobalization
Initiative) calling for joint Nordic activities in research and innovation, including suggestions for joint programming of
research,openingnationalinvestmentsfundsforcross-borderNordicprojects,strengtheninginnovationinfrastructuresboth
within Nordic and coordinating Nordic research on energy and environment. The prime Ministers suggested that the
Ministers responsible forNordiccooperationdefineanewbudgetofapproximately8millioneurosandestablisheda task
force for rearrange existing cooperation budgets. In December 2007 a steering co0mmitte was appointed to develop a
proposalforthefirstTRI.
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015
300 MNOK
250 MNOK
200 MNOK
150 MNOK
100 MNOK
50 MNOK
0
Funding of NordForsk initiatives, 2005–2015NordForsk’s common pot budget consists of two parts. One part is the funding from the NordicCouncil of Ministers. The other part is national co-funding for all initiatives.
National co-funding
Funding from theNordic Council ofMinisters (NCM)
CaseStudyNo.1,ERALEARN2020Task4.4
11
Asfirstexampleofatop-downsharedNordicprogramme,theTRIisacomplexorganizationwithrepresentation
of all five countries, the Nordic Council of Ministers, three Nordic organisations (NordForsk, Nordic Energy
ResearchandNordicInnovation)andanumberofstakeholders18.Theprogrammeisco-fundedbythefiveNordic
countries, with budgetary funding divided in proportion to their GDP. On top of this, the Nordic Council of
Ministers, theNordicorganizationsNordForsk,NordicEnergyResearchandNordic Innovation,all contribute to
thefinancingoftheInitiativeanditsmanagement19.
Figure3.OrganisationofTRIInterimEvaluationoftheTop-LevelResearchInitiative,DAMVAD
TheTRIgoalsare:(i)beacentralpartofNordicresearchandinnovationeffortsinthefieldofclimate,energyand
environment and create the preconditions for increased cooperation between the countries, the Nordic
institutionsandnationalagencies;(ii)beacross-institutionalNordicresearchprogrammeforinvestmentsinthe
abovementionedfield;(iii)contributetodevelopingframeworkconditionsintheNordiccountriesforcooperation
between top research and innovation communities; (iv) contribute to increased coordination and professional
leadershipofNordicresearchandinnovationefforts;(v)ensureefficientandstrategicapplicationofresourcesby
identifying areas in which Nordic initiatives havemajor potential and by stimulating the development of new
initiativesthroughpilotprojectsandprogrammes;(vi)actasaplatformforfurther internationalcooperation.A
majorimportanceisattachedtoaclosepartnershipwithbusinessandindustrysoastoensurethemarketuptake
andapplicationofresearchresults.
Figure4.ThematicprioritiesofTRIInterimEvaluationoftheTop-LevelResearchInitiative,DAMVAD
18ObserversfromtheFaroeIslands,Greenland,AlandislandsareintheManagementBoard.
19The threeNordic institutionsofNordforsk,Nordic InnovationandNordicEnergyResearchactas theSecretariat for the
initiative,contributingtheircombinedcompetenciesinthefieldsofresearch,innovation,technologyandenergy.
CaseStudyNo.1,ERALEARN2020Task4.4
12
The TRI is organized as a real commonpot,which implies that noneof the financially contributingpartners is
guaranteedanequalshareoftheresearchgrants20.
The TRI programme, representing a political and organizational experiment, has proved to be a significant
contributor to the Nordic research collaboration. As first cross-institutional Nordic research and innovation
programme, the TRI has been a model and an example of feasibility for multilaterally funded research
collaboration in a broader international context. The TRI represents a precedent-setting Nordic cooperative
modelwithcleartop-downmandateofthefiveprimeministersoftheNordicCountries.TheTRIhascontributed,
fromtheorganizationalpointofview,tobuildingthetrustandcoordinationrequiredforarealcommonpotlarge
initiative among the Nordic countries. The TRI has in particular contributed to developing Nordic research
communities and has thus developed good framework conditions in the Nordic countries for top-research
cooperation.
Thesesignificantresultspavedthewayforfurtherattemptstobuildsimilarprogrammes,atregionalandEUlevel.
Intermsofresultsattainedbytheinitiative,TRIhas ingeneral ledtosubstantialscientificresultsandplayedacentralroleinNordicresearcheffortsinthespecificfieldofinterest.Inparticular,TRImainachievementscanbe
summarizedasfollows21:
• Thenumberofscientificpublicationsincreasedsignificantlyfrom2010to2013andsodidthenumberof
highqualitypublications22;
• Cross-country research collaborations and interdisciplinarity have largely been achieved as 66% of TRI
scientificpublicationshaveinternationalco-authorsand70%ofTRIpublicationsareinterdisciplinary;
• TRI funded projects have contributed to the establishment of new Nordic research communities, to
identifyingnewcollaborationpartnersandbuildnewconnections,alsobeyondtheTRIproject23;
• The initiativesuccessfully identifiedandcoordinatedNordicresearch inthefieldofenergy,climateand
environment24.
3.3 Nordiccollaborationinresearchinfrastructures
One of the main goal of NordForsk is to enhance the research infrastructure collaboration, as a mean of
enhancingresearchqualityandimpact.Excellentresearchinfrastructurestypicallyrequirelargeinvestmentsand
a cooperation on thiswill thus be beneficial in terms of use, access and investment. TheNordic countries are
moving towards a closer cooperation in relation to research infrastructures, and have developed specific
initiativesfundedunderNordForsk:
• Joint use of Research Infrastructure Programme, aiming at optimizing joint Nordic use of research
infrastructures,increasetheinteractionbetweenexistingsetsofinfrastructuresandsharebestpractices.
Acall forJointNordicUseofResearchInfrastructureswas launchedasanewfunding instrument.After
thelaunchofafirstcall,19infrastructuresprojects, includingparticipantsfromallNordiccountriesand
fromRussiaandtheBalticstates,receivedNordForskfunding25;
• NORIA-netontheNordicResearchInfrastructureNetwork(NRIN),atoolforexpandingthenetworkofNordiccooperationonresearchinfrastructurespolicies.Themainobjectiveofthenetworkistoidentify
barriers and obstacles at a structural and organisational level for the development ofNordic Research
20ThefundinginstrumentsemployedintheTRIinclude:NordicCentresofExcellence;NordicNetworks;IntegratedProjects;
User-drivencompetencecentres;Studies.21FinalReportfromtheOngoingEvaluationoftheTop-LevelResearchInitiative,commissionedbyTRItoDamvad,2014.
22 The number of high quality TRI publications was measured on the Norwegian authority list, showing a share of 31%
publications remarkably higher than the expected average of 20%. The Norwegian authority list, scientific journals are
dividedintwolevels:“normal”level1and“highlevel”2(international,leadingscientificjournals).23 In the survey conducted by Damvad, 60% of TRI projects participants find that the TRI has largely contributed to the
formationofnewties,whilethe80%indicatesthattheyhaveextendedthecollaborationbeyondtheTRIproject.See“Final
ReportfromtheOngoingEvaluationoftheTop-LevelResearchInitiative”,2014.24NordiccountriesarecurrentlydiscussingatpoliticallevelifandhowtocontinuetheTRIandinwhatform.
25Thecallwaslaunchedin2007.
CaseStudyNo.1,ERALEARN2020Task4.4
13
infrastructure cooperation and tomake proposals to overcome such obstacles, thus strengthening the
overallNordiccollaborationonresearchinfrastructures;
• Hosting the Nordic e-Infrastructure Collaboration (NeIC), an organisation that facilitates the
developmentandoperationofhigh-qualitye-infrastructuresolutionsinareaofJointNordicinterest26.
3.4 CrossbordercooperationandsynergieswithinitiativesatEUlevel,inparticularJPIsandERA
NordForsk, while focusing on achieving added value through Nordic cooperation, hasmoved towards awider
Europeanperspective.On thebasisof thisperspective, cooperationwith JPIs andwith theEuropeanResearch
Areahasbeendeveloping.
In introducing, inspired by the ERA, the Nordic Research and Innovation Area – NORIA, Nordforsk has theambition topromotea globally leadingNordic research and innovationby strengthening regional cooperation.
ERAprioritiesplayedan important rolewhenNORIAwas setup, and theaimsofNORIAare toa largedegree
similartothoseoftheERA.TheERAGreenPaper27emphasizessixareasthatneedtobestrengthenedinorderto
stimulateR&Dcooperation in theEuropean region: (i)providing commonprioritiesand jointprogramming; (ii)
developingcommon research infrastructure; (iii) stimulating increasedmobilityof researchers; (iv)encouraging
excellenceinresearch;(v)contributingtoknowledge-sharing;andsecuringabroaderinternationalcooperation.
In line with this priorities and strategy, a close collaboration with the ERA was established through a
MemorandumofUnderstanding betweenNordForsk and the European Commission, signed in 2012.With this
MoU, NordForsk agreed in particular to develop actions related to ERA priorities, as defined in the ERA
Communication 201228, within its remit. The areas addressed by the MoU included career opportunities for
researchersandresearchermobility,genderequality,cooperationonresearchandresearchinfrastructures,and
OpenAccesstodataandpublicationswithafocusonNordiceScience.
NordForsk further develop its ties with European initiatives by collaborating with the European JointProgramming Initiative JPI Climate, thus actuating a new type of cross-border cooperation with jointprogramminginitiatives.HavingasimilarfocuswiththeJPIClimate,theTop-LevelResearchInitiativeexperiences
canbeconsideredasa jointcontribution fromtheNordiccountries to the JPI.Aspartof theaimof theTRI to
establish platforms of international collaboration, NordForsk has thus closely followed the development of JPI
ClimateandhasaroleofobserverwithintheJPIClimateGoverningBoard.In2013–2014,NordForskadministered
JPI Climate’s first joint call for transnational collaborative research projects, in cooperation with the French
NationalResearchAgency.
4. Overalllimitationswiththistool,includingdifficultiesencounteredduringimplementation
TheNordiccooperationinResearchandInnovation,andtheinstrumentssetupwithintherealmofNordForskare
valuableexperiencewithsuccessfulrealcommon-potarrangementsandalignmentoffunding.Themain obstacles encountered in attaining the ambitious goal ofmaking theNordic region a leading region
within research and innovation are linked to the complexity of the Nordic R&I framework created under the
auspicesof theNordicCouncil ofMinisters - inwhichNordForsk is oneof themain actors - and the relatively
limitedbudgetallocatedtoNordiccooperationcomparedtoresearchfundingallocatedatnationallevel.
26 TheNeICwas launched in 2003 in response to a decision by the research funding agencies in theNordic countries to
contribute toadistributedcomputing infrastructure foranalysingandstoringdatageneratedbyexperimentsat theLarge
Hadron Collider at CERN. Itwas then established as an organizational unit underNordForsk in 2012. In 2013, theNordic
countries signed a 10-year agreement on joint development of advanced IT services for research. This demonstrates a
significant commitment to developing serviceswithin awider range of scientific fields in a sustainablemanner. Research
infrastructureprovidedbytheNeICisofcrucialimportancetotheNordiceScienceGlobalisationInitiative(NeGI),whichisa
large-scale Nordic research and educational programme that also supports training in e-Science tools andmethods. The
thematic areasof theNeGIencompass climate researchandhealth/social preconditions forhealth.More informationare
availableatneic.norforsk.org/about.27GreenPaper,TheEuropeanResearchArea:NewPerspectives,COM(2007)161.
28 ERA Communication “A reinforced European Research Area Partnership for Excellence and Growth”, adopted by the
EuropeanCommissionon17thJuly2012.
CaseStudyNo.1,ERALEARN2020Task4.4
14
4.1 Limitedbudget
NordForskhassupportedtheincreaseofthevolumeandqualityofresearchcooperation.Thishadbeenachieved
inpartthroughtheallocation,viarealcommon-pot,ofsubstantialsumsbytheresearchfundingagenciesinthe
five Nordic countries – in addition to funding provided by the Nordic Council of Ministers (glue money,
correspondingto1/3ofNordForskbudget)–andinpartasaresultofthecompetitionforrelativelylargefunding
amounts,which has led to higher-quality new knowledge, as for instance in climate change in the case of TRI
initiative.Nevertheless, compared tonational level, thebudgetallocatedwas relatively limited.Theamountof
resourcesallocatedwaspartially influencedby theglobal financial crisis for2007.Thiswasparticularlyevident
with the TRI,whichoriginally envisionedbudgetwas consistently reduced.However, performance indicators –
such as the better success of Nordic research groups in performing in EUH2020, rate of high profile journals
publishingandattractivenessoftopresearchersfromabroad29-showsthatthepaybackgainedfromtheNordic
cooperation is very high and the expectations of reaching excellence in research, creating a criticalmass and
increasenetworkingamongresearchershavebeenreachedandexceeded.
4.2 Institutionalcomplexity
TheNordiccollaborationinresearch&innovationdevelopedgraduallyandatdifferentlevels,thusgeneratinga
complex structure. One of the first actions taken in the context of implementing the NORIA concept was to
reducethe levelsof institutionalcomplexitywithinthestructureoftheNordicCouncilofMinisters.Asaresult,
NordForsk and NeIC were established and a number of institutions directly funded by the Nordic Council of
Ministers reduced. Nevertheless, a number of other institutions active within the field of Nordic cooperation
remains. The current institutional structure under twopillars – research and innovation - organised under the
abovementioned twodifferent institutionswithnocommongovernance, still shows someproblems in termof
coordination, thus reducing the efficiency of the institutional structure and the effectiveness of the limited
resources.FocusingonNordForsk,ithasnotbeeneasyfortheorganisationtofinditsroleinthecomplexNordic
research landscape and challenges related to the complexity of the institutional framework persist. The
institutions involvedare complexandhighlydiverse,and improvements shouldbemade to implementgreater
coordination..
4.3 Differentnationalprocessesandtimelinestodefinepriorities
ThefoundationfortheNordicR&IcooperationistheexistenceinalltheNordiccountriesofastrongpoliticalwill
to cooperate. Despite this positive attitude towards Nordic cooperation, there are still challenges involved in
coordinatingthenationalpoliciesinconcretecasesandcomingupwithNordicsolutions.
WhiletheNordiccountrieshavemanysimilarities,therearealsoimportantdifferencesbetweenthemthatmay
haveconsequencesforNordiccooperation.Nationalprocessestodefineprioritiesareslightlydifferentbetween
Nordiccountriesandsoarethetimelinesfordefiningthem,thenumberoforganisationsinvolvedandthebinding
conditions.First,thecontextualframesfortheR&Icooperation,overarchingR&Ipoliciesandinstitutionalsetupsareverydifferentinthefivecountries.Theresearchandinnovationsystemsofthefivecountriesarestructured
differentlyandtherearevariationsinthenumbersofactorsinvolvedandhowtheyarerelatedtoeachother.The
degree towhich innovation and research policy is seen as an integral part of the R&D system varies, as does
whetherasingleinstitutionordifferentinstitutionsareinchargeofbothresearchandinnovation.
5. Conclusions:Suitabilityandkeyfactorsofsuccess
The most important achievement of NordForsk concerns the use of the real common pot as a rule in all its
programmes and initiatives, fostering the alignmentof funding. Thismechanismwas successfully developed in
joint programmes aswell as large-scale initiatives like the Top-Level Research Initiative. The true commonpot
29Thenumberofhigh-qualityTRIpublicationswasmeasuredbytheNorwegianauthoritylist,showingthatthesepublications
are ranked inashareof31%, remarkablyhigher that theaverageof20%.Dataalsoshowthat66%ofallNordicscientific
publicationsareco-authoredwithinternationalauthors.TRI-fundedprojects(66%ofallparticipants)havecontributedtothe
establishment of new Nordic research communities, while the greatmajority of these projects (80% of the participants)
continuedbeyondtheTRIprojects.See theFinalReport fromtheOngoingEvaluationof theTop-LevelResearch Initiative,
DAMVAD.
CaseStudyNo.1,ERALEARN2020Task4.4
15
approach,comparedtootherfundingmodes,istheoptimaloptiontofundexcellentresearchandbestprojects
whileensuringfullspendingoftheallocatedbudget.Themutualtrustamongthecountriesinvolvedseemstobe
apre-requisiteforanextendedandeffectiveuseofthisinstrument,especiallywhenlargejointprogrammesare
concerned.
Focusingontheregionalperspective,cooperationamongcountrieshavingsimilarbackgroundisfundamentalto
createacriticalmasstoreachbestresults inresearchand innovationandmeetcommonchallenges,especially
grandchallenges.Therealcommonpotmodehasboundingconditionsthatmakeiteasiertoadoptitinregional,
bi-lateralortri-lateralcooperation.
The establishment of commonand joint structures to adopt andmanage joint programmes and initiatives has
provedtobefundamentalforaneffectiveandefficientlong-lastingregionalcooperationinR&I.
Keyfactorsofsuccess:
1)Atstrategiclevel:
• Haveaclearpoliticalwillingnessandexplicitpoliticalcommitmenttodevelopadurablecooperationandjoin forces in research activities favour the participation in large-scale research programmes and
initiatives via the establishment of a joint organisation as well as the commitment of national funds
necessaryfortherealcommonpot..
• Jointlydevelopcommonlong-termstrategicresearchprioritiesandvisionaswellasclearambitionwith
regard to theadded value of the transnational/regional collaboration ensures that these priorities areshared by all the countries involved and foster the involvement of countries in the programmes and
initiativesadoptedwithinthiscollaboration.
• Settinguppf a jointorganisation/structure in chargeofboosting the cooperationandof administering
thespecificprogrammesandinitiativesadoptedfacilitatesandacceleratesthedecisionsandsimplifythe
managementoftheprogrammes/initiatives.
2)Atfinanciallevel:
• Ensurethecreationoftrustbeforetheinitiativeisstartedfavourstheextendeduseoftherealcommon
pot as funding mechanism. A pre-existing collaboration and the mutual trust among the
countries/researchorganisationsinvolvedmakeiteasiertoenterintoinitiativesandprogrammeshaving
realcommonpotarrangementandmaximiseitsbenefits.Alonghistoryofcollaborationbuiltoncommon
identity and trust also ensures the consensus and the establishment of large-scale programmes in
relativelyshortperiodoftime.
• Clearlydefine theprocedureandmodalities fordetermining the real commonpotbudget amountand
ensure relevant amount of money to be allocated. This aspect is fundamental to meet the targeted
budgetandensureamoreefficientdistributionofthecommonpot.Thedefinitionofcriteriafordefining
the common budget share among the organisation budget and countries contribution simplify the
negotiationswhilecuttingtherequiredtimelines.
• Concentratethebudgetinalimitednumberofinitiatives,programmesorinstrumentswheretheadded
valueisvisible.Thisaspectensuresamoreefficientuseofavailablefundingandmaximisesthebenefits
andtheimpactofthecooperation.
3)Atoperationallevel:
• Defineandsetupacentralisedmanagementoftheprogramme.Thesettingupofbodiesinchargeofthe
definition andmanagement of the programmes/initiatives facilitates their adoption and allows amore
efficientmanagement.
CaseStudyNo.1,ERALEARN2020Task4.4
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• Setupacommonsecretariatintheorganization,ascommoninfrastructurethathandlesallaspectsofthe
call for proposals, including the definition of common procedures for the call preparation, proposalevaluation and monitoring. The administration of the call by a centralized secretariat, reduces the
discussiononhowtofinancetheimplementationcostsandsimplifyitsmanagement.
.
CaseStudyNo.1,ERALEARN2020Task4.4
17
REFERENCES
Literature
DAMVAD, Advisory report to the TRI, Developed by Damvad for the Top-Level Research Initiative,May 2012.
Availableat:
http://www.toppforskningsinitiativet.org/en/om-toppforskningsinitiativet/evalueringer
DAMVAD,FinalReportfromtheOngoingEvaluationoftheTop-LevelResearchInitiative,October2014..Available
at:
http://www.toppforskningsinitiativet.org/en/om-toppforskningsinitiativet/evalueringer
DAMVAD,InterimEvaluationoftheTop-LevelResearchInitiative,October2011.Availableat:
http://www.toppforskningsinitiativet.org/en/om-toppforskningsinitiativet/evalueringer
European Commission, Green Paper “The European Research Area: New Perspectives”, COM(2007) 161 final.
Availableat:
http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=COM:2007:0161:FIN
EuropeanCommission,Norded–NordForsk,MemorandumofUnderstandingbetweentheEuropeanCommission
andNordForsk.Availableat:
https://www.nordforsk.org/files/Memorandum_of_Understanding%20between%20the%20European%20Co
mmission%20and%20NordForsk.pdf
Joint Nordic Focus on Research Infrstructures – Looking for the Future, Stockholm 27-28 November 2013,
Conferencereport.Availableat:
http://www.vr.se/NordicInfra2013
Norden-NordForsk,EnhancingtheEffectivenessofNordicResearchCooperation,NordicparticipationintheEU
FrameworksProgrammes–Bestpracticesandlessonslearned.PolicyBrief1,April2011.Availableat:
https://www.nordforsk.org/en/publications/publications_container/policy-brief-1-2011-enhancing-the-
effectiveness-of-nordic-research-cooperation
Norden-NordForsk,EnhancingNordicResearchInfrastructureCooperation,PolicyPaper3,2012.Availableat:
https://www.nordforsk.org/en/publications/publications_container/policy-paper-3-2012-enhancing-nordic-
research-infrastructure-cooperation
Norden-NordForsk,FinalReportontheAchievementsundertheMemorandumofUnderstandingbetweenthe
EuropeanCommissionandNordForsk,Policypaper1-2014.Availableat:
https://www.nordforsk.org/en/publications/collections/by-type-or-series/policy-papers
Norden-NordForsk,NordForsk10years,2005-2015,NordForskMagasine.Availableat:
https://www.nordforsk.org/en/publications/collections/by-type-or-series/nordforsk-magazine
Norden-NordForsk,NordForskStrategy2015-2018,OsloFebruary2015.Availableat:
https://www.nordforsk.org/en/about-nordforsk/purpose-and-priorities/strategy-2015-2018
Norden-NordForsk,NordiccontributionstothedevelopmentoftheERA,PolicyBrief2,April2011.Availableat:
https://www.nordforsk.org/en/publications/publications_container/policy-brief-2-2011-nordic-
contributions-to-the-development-of-the-era/view
Norden,NordiskMinisterrad,BuildingNordicStrengthThroughMoreOpenR&DFunding,ThenextStepinNoria.
Availableat:
http://www.modelonordico.com/downloads/buildingnordic.pdf
CaseStudyNo.1,ERALEARN2020Task4.4
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Norden-NordForsk,RethinkingNordicAddedValueinResearch,PolicyBrief3,April2011.Availableat:
https://www.nordforsk.org/en/publications/publications_container/policy-brief-3-2011-rethinking-nordic-
added-value-in-research/view
Nordera, A new deal for ERA. Lessons learnt from Nordic R&I cooperation?, Report 3. Oslo, November 2010.
Availableat:
https://www.nordforsk.org/en/publications/publications_container/noria-report-1-nordic-r-i-cooperation-
achievements-and-challenges-en
Nordera,NordicR&DcollaborationatEUlevel,Report2.Seville,September2010.Availableat:
https://www.nordforsk.org/en/publications/publications_container/noria-report-1-nordic-r-i-cooperation-
achievements-and-challenges-en
Nordera,NordicR&Icooperation:AchievementsandChallenges,Report1.Oslo,March2010.Availableat:
https://www.nordforsk.org/en/publications/publications_container/noria-report-1-nordic-r-i-cooperation-
achievements-and-challenges-en
Presentations
Gustafsson, G. Presentation “Lessons learned fromNordic JPIs” at the ERA-LEARN 2020Workshop of Practical
ImplementationofAlignmenti:LearningfromGoodPractice.Availableat:
https://www.era-learn.eu/events/workshop-on-the-practical-implementation-of-alignment-learning-from-
good-practice
Consultedwebsites
NordForsk:https://www.nordforsk.org/en
Top-LevelResearchInitiative:http://www.toppforskningsinitiativet.org/en
SwedishresearchCouncil,Vetenskapsradet:http://www.vr.se
Interview
JosteinK.Sundet,SeniorAdviserNordForsk
CaseStudyNo.1,ERALEARN2020Task4.4
19
ANNEX1.NORDFORSKSTRATEGY2015-201830
ReportsfocusingonNordForskachievementsunderlinedthat,whilerecognisingtremendouspotential inNordic
researchcooperation,itshouldfocusonafewcorefundinginstruments-theNordicCentreofExcellence(which
incorporates mobility of researchers, researcher training, international cooperation and research-driven
innovation), thematic programmes and the joint establishment and use of research infrastructures - in field
whereNordicresearchcollaborationisexpectedtoresultinaddedvaluethroughachievementofcriticalmass.
Thestrategicprioritiesfor2015-18,followingtheserecommendations,focusonachievingcriticalmassinareasof
futurepotential,fosteringNordicandinternationalcooperationonresearchinfrastructuresandreachingNordic
addedvalue.TheincreasedambitionwithregardtoNordicaddedvalueenvisionedthelaunchanparticipationin
large-scale,interdisciplinaryresearchprogrammesandincreasedvolumeandhigherqualityinresearch.Indetails,
theprioritiesare:
Nordiccross-borderresearchcooperation
•Strengtheningintegratedcross-sectorialresearchwiththeaimoftacklingsocietalchallengesandensuring
sustainabledevelopment
•Creatingcriticalmassinpotentiallyexcellentresearchareas
Nordicresearchinfrastructurecooperation
•Increasingcross-borderaccesstoandjointuseofexistingresearchinfrastructuresintheNordicregionand
globally
•SupportingtheestablishmentofnewNordicresearchinfrastructures
ImpactofNordicresearchandresearchinfrastructurecooperation
•ProvidingNordicpolicy-makersanduserswithnewevidence-informed/testedknowledge
• ImprovingknowledgeaboutnewresultsofNordic researchand research infrastructurecooperationon the
scienceandsocietyarenasbyincreasedvisibility.
30NordForskStrategy2015-2018,availableatwww.nordforsk.org.
CaseStudyNo.1,ERALEARN2020Task4.4
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ANNEX2.THENORDICCENTREOFEXCELLENCE(NCoE)
Nordic Centres of Excellence are established to strengthen cooperation between outstanding researchers,
researchgroupsandresearchinstitutionswithinareasofpriorityfortheNordiccountries.
MainfeaturesofaNordicCentreofExcellenceA Nordic Centre of Excellence is a multi-site or single-site environment with a joint research agenda, joint
management,coordinatedresearchertraining,commoncommunicationactivitiesandcollaborationonresearch
infrastructure.NordicCentresof Excellenceare to compriseNordic researchers at the forefrontof their fields,
andmay includeparticipants fromnon-Nordic researchenvironmentswhoareneededto fulfil thegoalsof the
centre.
NordicCentresofExcellencefacilitatemoreefficientuseofresourcesbybringingtogetherpeople, fundingand
infrastructure in collaborative entities, thereby enhancing the coordination of research efforts. They promote
internationalresearchermobility,trueinterdisciplinaryresearch,andthejointuseandestablishmentofresearch
infrastructure. The centres incorporate a targeted international strategy and provide joint access to the best
researchenvironmentsintheNordicregion,thusincreasingtheregion’sattractivenessandstrengtheningNordic
tiestoandimpactonrelevantEuropeanresearchinitiatives.Throughcoordinationofresearchereducation,the
centres build competence, establish long-term networks and expand the career opportunities of younger
researchers.
TheNCoEpromoteboththedevelopmentanduseof research-basedknowledge.The jointcommunicationand
disseminationactivitiesandcoordinateddatamanagementconductedatthecentresincreasethelikelihoodthat
theresearchresultswillbeusedbothinthescientificcommunitiesandbysocietyasawhole.Collaborationwith
publicserviceprovidersandindustryisencouragedwithintheframeworkofaNordicCentreofExcellence.
Status as aNordic Centre of Excellence and funding are granted for a five-year period. Funding is granted for
Nordicresearchcooperationasspecifiedintheproposal.TheamountoffundingallocatedbyNordForskdepends
onthecentre’sthematicarea,sizeandbudgetedactivities;however,inorderforaNordicCentreofExcellenceto
functionproperly, the fundingamountshouldnormallynotbe less thanNOK20million.NordForskmayaward
additionalgrantsinconnectionwithneedsarisingfromnewideasandpartnershipsduringthefundingperiod.
NordicCentresofExcellenceareselectedviacallforproposals.Proposalsmustberelevanttothecall,mustbeofexcellentscientificquality,andmustdescribehowaddedvalue
willbecreatedthroughthecooperation.
Tobeeligibletosubmitaproposalunderthiscall,applicantsmustfulfilthefollowingcriteria:
• The Leaderof theNordicCentreof Excellencemustbeanestablished senior researcherbasedat a research
institution in aNordic co-funding country.NordForskwill enter into a contractwith this institution,which is
responsible for the administration of the Nordic Centre of Excellence. The grant will be disbursed to this
institution.
•ANordicCentreofExcellencemusthaveinstitutionalcommitmentfromatleastthreeNordiccountries.
•Partnersfromcountriesthatdonotparticipateinthecommon-potfundingoftherespectiveprogrammemust
documenttheirowncontribution(cashandin-kind)totheNordicCentreofExcellence.
•Proposalsmustincludeastatementonresearchethics.
•ProposalsmustincludeadescriptionofgenderaspectsoftheresearchandorganisationoftheNCoE.34