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


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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.


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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

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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


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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.


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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


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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


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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)


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.


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.


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.


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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.


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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.


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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.

.


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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:


DAMVAD,InterimEvaluationoftheTop-LevelResearchInitiative,October2011.Availableat:


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


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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:



Nordera,NordicR&Icooperation:AchievementsandChallenges,Report1.Oslo,March2010.Availableat:



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


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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.


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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

The Nordic Research Collaboration-NordForsk

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