Centres for Research-based Innovation (SFI) Description of the SFI scheme

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1 Research Council of Norway 21 October 2009 Centres for Research-based Innovation (SFI) Description of the SFI scheme The SFI scheme seeks to promote innovation by providing funding for long-term research conducted in close cooperation between research-performing companies and prominent research groups. The SFI centres are to develop expertise of high international calibre in fields of importance for innovation and value creation. The scheme is designed to enhance technology transfer, internationalisation and researcher training. The centres are to be co-financed by the host institution, partners and the Research Council. Companies must take active part in the centres management, financing and research activities. The centres will be established for a period of maximum five plus three years. The centres will be selected primarily on the basis of their potential to generate innovation and value creation. The scientific merit of the research must be of high international calibre. 1 Objectives and targets of the SFI scheme The overall objective of the Centres for Research-based Innovation (SFI) is to enhance the ability of the business sector to innovate by providing funding for long-term research conducted in close cooperation between research-performing companies and prominent research groups. The SFI scheme seeks to: Encourage companies to innovate through a greater focus on long-term research, and make Norway an attractive location for international companies to establish their operations. Facilitate active cooperation between innovative companies and prominent research groups. Promote the development of industry-oriented research clusters which lie at the forefront of international research and which participate in dynamic international networks. Enhance researcher training in areas of importance for the business sector, and generate transfer of research-based knowledge and technology. The Research Council has established the SFI scheme to promote innovation and internationalisation with Norwegian trade and industry. The scheme also seeks to enhance quality and efficiency in the public sector. The SFI scheme is characterised by higher ambitions, a longer term perspective and a more concentrated effort than other innovation-related instruments administered by the Research Council, and is directed at the R&D-performing component of Norwegian companies. The SFI scheme provides companies with the opportunity to take a longerterm perspective on, as well as enhance the continuity and reduce the risk of, their research initiatives. The SFI scheme offers research groups an opportunity to achieve long-term development of expertise through research of high international calibre conducted in close cooperation with companies. The companies participating in the centres are expected to be the main users of the research results, but results that fall outside of the company partners core areas may be commercialised by other means, e.g. through establishing new research-based enterprises. 2 Background of the SFI scheme The scheme for Centres for Research-based Innovation (SFI) was established in 2004 following a study conducted by the Research Council of Norway. The Government followed up the proposal to establish the SFI scheme in Report No. 20 ( ) to the Storting Commitment to Research. 1

2 The SFI scheme was proposed for a number of reasons: The need to encourage established companies with high aspirations to increase their research activity, and make Norway a more attractive location for international companies to establish their operations. The need to promote more basic industry-oriented research and a longer-term perspective within both companies and research institutions. The need to focus on creating internationally recognised research groups that are attractive partners in the international research arena. The need to strengthen interaction between R&D-performing companies and research institutions and to forge alliances across institutions and disciplines. The SFI concept is modelled on the competence centres that have been successfully established in a number of countries over the past 20 years. The USA came first with its Engineering Research Centers, followed by the Corporate Research Centres in Australia and the Kompetenssentra in Sweden. The Norwegian SFI scheme has been adapted to conditions in Norway, and is a competition-based, national initiative under the Research Council of Norway, which confers status as and allocates funding for the Centres for Research-based Innovation. The first funding announcement for the SFI scheme was issued in June Fourteen centres were selected in June 2006 and began their activities in spring The SFI scheme was also used as the model when the Research Council established the Centres for Environment-friendly Energy (FME) in The Government states the following in Report No. 30 ( ) to the Storting, Climate for Research : The SFI scheme has been very well received by the business sector as well as by groups involved from the research sector, and the Government has high expectations for the results. The Government will consider issuing another funding announcement under the Centres for Researchbased Innovation (SFI) scheme after consultations with the Research Council of Norway based on the same means used for the assessment of the Centres of Excellence (SFF) scheme. This indicates that the Government will request an assessment from the Research Council regarding the scope of the scheme as well as how the value created through the scheme may best be utilised. Plans call for issuing funding announcements at fixed intervals. 3 Main features of the SFI scheme Partners It is primarily the companies participating in the centre s activities that will reap the benefits of the centre s research findings and expertise. These are referred to as company partners. Public institutions may also be partners and relevance to society will be an important aspect of their participation in the centres, but SFI centres are required to have company partners and are intended primarily to facilitate innovation and value creation in companies. Companies and public institutions that participate in the centres are referred to as user partners. Each centre will normally have at least three user partners that support and participate in the centre s activities. The user partners must take active part in the centre s research projects and conduct their own innovation activities. The scheme will be highly flexible with regard to encouraging the involvement of large, internationally-oriented enterprises as well as of small and medium-sized companies. Research institutions may also be partners in the centre by participating in the establishment and financing of the centre and on the research conducted there. These participants are referred to as research partners. 2

3 Host institution Internationalisation Organisation Financing The host institution for a centre may be a university, university college, independent research institute, R&D-performing company or R&D-performing public service provider with a leading position within the disciplines or industrial areas addressed by the centre. Establishment of a centre must be viewed in the context of the research strategy of the host institution. In the SFI application, the host institution s administration must include a signed letter of intent stating that the institution will assume the obligations entailed in a contract to host a centre, and must describe how the research conducted at the centre constitutes part of the host institution s scientific strategy. The establishment and operation of the centre will be based on a contract drawn up between the Research Council and the host institution for the centre. If the host institution does not have the right to confer doctoral degrees, satisfactory researcher training must be provided through cooperation with a university or university college which has a doctoral degree programme in the relevant field. Research at the centre should be conducted in close cooperation between Norwegian and international research communities and companies. Proposals for centres that incorporate international companies as partners will be viewed in a positive light, but the overall objective of the SFI scheme is to enhance innovation and value creation in Norway. Importance will be attached to the applicant s experience with international cooperation and the centre s potential to become a key player in international cooperation, such as within the EU. This also includes the research communities international profile and status. It will be advantageous for the entire staff of the centre to have their place of work in the same location, but decentralised solutions will also be possible for centres whose partners are companies or research institutions located elsewhere than at the host institution. If a decentralised model is chosen, the centre must facilitate researcher exchange between the host institution and partners as well as implement other measures to promote cohesiveness among the centre s units. In all cases, centres are required to have a single leadership group, a common research plan, and a board responsible for the centre s overall scientific and administrative activities. The user partners must have majority representation on the centre s board. Financing of the individual centre is the joint responsibility of the Research Council, the host institution and the partners. The partners and the host institution must combined contribute at least 50 per cent the centre s annual budget, and the contributions from the company partners must comprise at least 25 per cent of the budget. In special cases, the Research Council may reduce the amount of the financial contribution required of the company partners. The host institution s contribution may consist of office space, equipment, personnel and strategic resources. The partners may provide budget allocations or their own resources in the form of participation in research projects at the centre. The companies own follow-up in the form of in-house innovation projects may not be counted as part of their contribution to the centre. The partners responsible for the establishment of a centre must commit to long-term involvement in the centre s activities and financing. To ensure that the research conducted at the centres has substantial depth and impact, the annual allocation from the Research Council to each centre is planned to be on average about NOK 10 million. Along with the contributions from the host institution and partners, this will result in an overall annual budget for each centre of about NOK million. Experience shows that a gradual escalation of activities during the initial years may be appropriate, and proposals that include such an escalation plan will be considered. 3

4 Duration Areas of innovation Application and selection The centres will be established for a maximum period of eight years (an initial fiveyear period with the possibility of a three-year extension). After 3-1/2 years an evaluation of the centre will be carried out under the auspices of the Research Council. This evaluation will form the basis of an assessment as to whether funding from the Research Council will be continued for an additional three years following the initial five-year period. After a maximum period of eight years the Research Council s funding for the centre will cease, and the centre will no longer have SFI status. When the centre is dissolved, it is anticipated that most of the key personnel will be able to return to their positions at the partner organisations or host institution. Doctoral students must complete their studies within the budget framework established for the centre. The centre s scientific profile will be determined by user needs and by the research expertise that is available or needs to be strengthened. The SFI scheme is aimed primarily at strong industrial fields in which Norwegian research is already on the cutting-edge. Thus, as a general rule the scheme will not focus on particular industrial sectors, but specific thematic areas for which proposals are sought may be identified. A funding announcement for the SFI scheme will be issued at the national level by the Research Council of Norway, which will be responsible for processing proposals and selecting the centres. Applications will be accepted from all interested and relevant research institutions. Applications for funding and status as an SFI centre must be submitted by the host institution for the centre in consultation with user partners and other research partners that will be participating in the centre s activities and financing. The main criteria for assessment are the centres potential to generate innovation and value creation. The scientific merit of the research conducted at the centres must be of high international quality. Internationalisation, technology transfer and researcher training will also be considered when applications are assessed. A committee comprised of members of the Research Board of the Division for Innovation and additional resource persons will submit its recommendation to the Research Council Executive Board, which is responsible for the final decisions regarding conferral of centre status and allocation of funding. When selecting the SFI centres, the Research Council will also consider the overall industrial profile of the centre s portfolio. 4 The SFI scheme in relation to other schemes and funding instruments under the Research Council The SFI scheme is a key component of the Research Council s set of innovation-oriented funding instruments which complements other instruments such as User-driven Innovation Projects (BIP) and Knowledge-building Projects with User Involvement (KMB) by providing a longer-term perspective and broader scope. It is especially important for companies that are seeking a leading international position. The Research Council of Norway seeks to facilitate good coordination between the national funding instruments that are designed to promote innovation. In 2009, the Research Council established eight Centres for Environment-friendly Energy Research (FME) based on the SFI model. These centres were launched as part of the increased commitment to R&D in the area of environment-friendly energy. Each centre receives an annual allocation of NOK million from the Research Council. The SFI scheme has much in common with the Research Council s Centres of Excellence (SFF) scheme, which was introduced in 2003 to enhance the scientific quality of Norwegian research. Both the SFI and SFF schemes seek to advance basic research of high international standards and 4

5 to promote internationalisation. The schemes also represent a long-term investment in research with the aim of developing dynamic research communities. The centres are intended to give added value to the participating groups and to create ripple effects as a result of the expertise and recruitment which will have an impact far beyond the lifetime of the centre. While the SFF scheme focuses on the scientific merit of research rather than on the benefit of research to society, the SFI scheme addresses the knowledge needs of the business sector. The SFI centres are to forge alliances between dynamic research groups and R&D-performing companies and to strengthen long-term research that promotes innovation and value creation. The SFI concept may also be viewed in light of the regional Norwegian Centres of Expertise (NCE) scheme. The objective of the NCE scheme is to support the development of industrial clusters that have the capability and determination to become leading international players. The scheme is adapted to the needs of regional industrial groups, and requires broad support and binding commitment from industry. The NCE centres are different from the SFI centres in that they primarily support network-building activities. 5