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Uddannelses- og Forskningsudvalget 2014-15 (1. samling)
FIV Alm.del Bilag 13
Offentligt

Evaluation of the Danish Council

for Independent Research

Report of the Evaluation Panel

Research and Innovation: Analysis and Evaluation 17/2014

Danish Agency for Science,

Technology and Innovation

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Table of Contents

Preface by the Minister for Higher Education and Science ........................................................................... 3

Preface by the Chairman of the Evaluation Panel ............................................................................................ 4

Executive Summary ..................................................................................................................................................... 6

1. Introduction ............................................................................................................................................................... 8

1.1. Terms of Reference and Methodology of the Evaluation ............................................................................... 8

2. The (New) Danish Research Landscape ......................................................................................................... 10

2.1. The Danish Council for Independent Research (DFF) ................................................................................... 12

2.1.1. Structure and Funding Role ............................................................................................................................... 12

2.1.2. Current Funding Instruments .......................................................................................................................... 15

2.1.3. Advisory Role ............................................................................................................................................................ 20

2.1.4. Internationalisation Strategy ............................................................................................................................ 21

3. An International Perspective – Principles, Guidelines, and the Role of

DFF in the Danish Research System................................................................................................................. 24

3.1. Principles and Guidelines for an Efficient and Effective Research Ecosystem ................................. 24

3.1.1. A Sound Framework for the Public Research System ....................................................................... 26

3.1.2. Autonomy, Transparency, and Accountability ...................................................................................... 26

3.1.3. Planning, Monitoring, and Evaluation ........................................................................................................ 26

3.1.4. Dynamic Leadership and Strategic Management ................................................................................ 27

3.1.5. Interaction, Cooperation, and Partnership ............................................................................................... 27

3.1.6. Internationalisation and Strategic Alliances ............................................................................................ 27

3.1.7. Successful Research Funding Structures .................................................................................................... 27

3.2. Role and Function of DFF in the Danish Research System ......................................................................... 28

4. Assessment of DFF’s Performance, Challenges, and Perspectives ....................................................... 30

4.1. Research Funding Environment .................................................................................................................................. 30

4.2. Governance and Management ..................................................................................................................................... 34

4.3. DFF’s Funding Practice....................................................................................................................................................... 37

4.4. Specific Areas of Consideration .................................................................................................................................... 39

4.5. Advisory Role .......................................................................................................................................................................... 40

5. Recommendations by the Evaluation Panel ............................................................................................... 42

5.1. Recommendations Addressed to the Danish Government and Parliament .................................... 42

5.2. Recommendations Addressed to DFF ..................................................................................................................... 44

a. DFF’s Position in a Future Research System ....................................................................................... 44

b. Governance and Management of DFF .................................................................................................. 44

c. DFF Funding Instruments.............................................................................................................................. 45

d. Transparency and Conflict of Interest Policy ..................................................................................... 46

e. Communication and External Perception ........................................................................................... 47

5.3. Recommendations Addressed to Universities.................................................................................................... 47

5.4. Recommendations Addressed to the Wider Danish Research System ............................................... 48

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Appendix 1: Members of the Evaluation Panel .............................................................................................. 49

Appendix 2: Documentation Available to the Panel .................................................................................... 50

Appendix 3: Interview Partners of the Evaluation Panel............................................................................ 52

Appendix 4: SWOT-Analysis by DFF ..................................................................................................................... 56

Appendix 5: Bibliometric Analyses of Publications by Grantees of DFF .............................................. 57

Appendix 6: Overhead Policies ............................................................................................................................. 58

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Preface by the Minister for Higher

Education and Science

The Danish Council for Independent Research (DFF) has been a key institution in the

Danish research funding landscape for the past ten years. By funding bottom-up inde-

pendent research projects and providing support for young researchers, DFF has been

a cornerstone of many researchers’ careers.

Last year the Danish National Research Foundation was evaluated, and this year three

former Danish research and innovation councils merged to form the Innovation Fund

Denmark. In light of this, it was decided to carry out this evaluation of DFF.

The evaluation clearly shows that DFF fulfils its role very successfully. DFF supports

the brightest minds and most talented young researchers while maintaining the high-

est respect and appreciation throughout the Danish research landscape. This is very

impressive.

I am convinced that DFF contributes to the high performance of Danish research. DFF

is the stepping stone for talented young researchers, who are given a chance to embark

on a research career. And the council is open to researchers’ own ideas that may be

risky, but can lead to genuine breakthroughs that provide important new knowledge

and solutions to our society’s challenges.

Even so, I also take notice of the many useful recommendations made by the panel.

For instance, as it is pointed out, there is clearly room for improving the gender balance

in Danish research. Female researchers are still markedly underrepresented, especially

in senior level research positions. This means that we are missing out on both talent

and excellent research ideas, which is an issue that we must take very seriously.

Like the panel I too consider internationalisation to be an opportunity which should

be seized by all the Danish researchers. International collaboration and researcher

mobility are crucial elements in developing and strengthening Danish research and its

results, and DFF is an important institution in this regard.

The recommendations of this evaluation report are not met overnight and they will

require active participation from many stakeholders. But I feel confident that we are on

the right path, and I look forward to the continued dialogue on these important ques-

tions.

In conclusion, I would like to express my sincere gratitude to the panel for taking on

the task of evaluating the research council.

Sofie Carsten Nielsen

Minister for Higher Education and Science

Danish Agency for Science, Technology and Innovation

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Preface by the Chairman

of the Evaluation Panel

The quality of research-based expertise and the accessibility of new knowledge gener-

ated anywhere in the world are decisive for the future well-being of society as it seeks

to meet a wide array of different challenges in a rapidly changing world. In this respect

the most successful form of knowledge transfer lies in the training of excellently

qualified researchers who can take over leading functions in science and scholar-

ship, in business, and in wider sectors of society. The provision of a continual flow of

highly-qualified researchers, who have been trained on the basis of a competitive grant

system, into other domains is by far the best means for the transfer of expertise from

universities and other research organisations to society at large.

At a time when the generation of new knowledge and expertise is progressively accel-

erating, institutional structures and the processes operating within them must not only

recognise the requirement for continual adaptation but also establish the necessary

organisational structures. Ultimately, they must be prepared to take on new challenges

and advance new research areas in exchange with the respective communities to

ensure that themes of future significance are supported early on.

Against this background, the Evaluation Panel has explored the efficiency and effec-

tiveness of the Danish research system with particular emphasis on universities and

the Danish Council for Independent Research (DFF): Both have a central role to play

in linking research and research-based training with the highest international qual-

ity standards. It makes them essential for the well-functioning of the entire system.

All other stakeholders must ultimately place reliance on DFF and the universities in

providing them with the next generation of well-trained experts and researchers, as

stewards of their disciplines and, indeed, as partners for collaboration in various areas

of society.

The Evaluation Panel recognises that DFF in many of its activities is to be seen as a

crucial part of the Danish research system. Proposals accepted by DFF are appreciated

throughout Denmark to meet the highest standards. In particular for postdoctoral

researchers, they often provide a ‘quality stamp’ which considerably enhances their

career prospects. Empirical evidence, also resulting from a bibliometric study, further

underpins the crucial importance of DFF support for ensuring scientific and scholarly

excellence throughout the Danish research and innovation system.

The Evaluation Panel’s recommendations are designed to improve DFF’s already very

successful mode of operation even further. It strongly advises the Danish Parliament to

enable DFF to continue on its path of supporting high-level, internationally recognised

research activities by way of a longer term guaranteed financial framework and, if pos-

sible, with increased resources. This seems necessary as DFF sets about its task to gain

and retain research talent for Denmark, as well as to pay attention to future challenges

for a dynamically evolving knowledge-driven society.

Danish Agency for Science, Technology and Innovation

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As Chairman of the Evaluation Panel I would like to express my sincere thanks to

my colleagues Suzanne Fortier, Christoph Kratky, Maria Nedeva, Peter Nijkamp, and

Andreas Seidel-Morgenstern, as well as to Jonas Burgheim who served as our academic

secretary. Furthermore, I am extremely grateful to all the researchers, representatives of

universities, other research organisations, industry, and private foundations, the board

members and the secretariat of DFF, as well as the Minister and the staff members of

the Danish Ministry for Higher Education and Science for their readiness to support us

throughout the process, and for their openness in the discussions we had. It has been a

delight to work with all of them.

Wilhelm Krull

Chairman of the Evaluation Panel

Danish Agency for Science, Technology and Innovation

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Executive Summary

Since its formal establishment in 2004, the Danish Council for Independent Research

(DFF) has been playing a key role in the Danish research funding system. By providing

basic research funding for projects and fellowships it contributes to ensuring a con-

tinual flow of well-trained and highly-qualified researchers among and between the

different stakeholders in universities, in industry and the service economy, as well as in

wider sectors of society.

The evaluation of DFF focused on and was mainly concerned with its role and func-

tion within the Danish research ecosystem, the evolution of its funding instruments,

the appropriateness of its selection processes, the interaction with universities and

other stakeholders, as well as governance, organisational structures, and the manage-

ment of DFF.

•

All in all, DFF is widely recognised and highly accepted as a guarantor of interna-

tionally acknowledged high quality research funding. It serves as an important

catalyst of academic success and particularly helps some of the most promising

research talents to further develop their careers.

•

DFF should remain an independent funding body. It should not be merged with

the Danish National Research Foundation (DNRF).

DFF should be provided with sufficient funds to secure the health and develop-

ment of the Danish research system. In order to fulfil the tasks recommended by

the Panel, the funding allocated to DFF should move beyond its current phase of

stagnation.

•

A review of the duration of funding periods should generally be considered.

Longer-term funding for a period of up to five years can favour more risk-taking just

like it can allow for researchers to pursue their respective projects in a focused man-

ner without the detraction caused by the preparation of new funding proposals at

short intervals.

•

Early stage mobility is considered an important precondition for research success.

In view of the available data and the researchers’ statements, the overall level of

mobility within the Danish research environment (nationally and internationally)

appears to be relatively low. This should be counteracted by strengthening the

existing MoBILEx programme and by introducing stronger and more flexible

mobility incentives as part of the other funding instruments provided by DFF.

•

The gender ratio in Danish research does not live up to reasonable expectations.

This holds true in particular for senior level research positions. With regard to the

development of female participation in higher education and research, a scissor di-

agram can be observed, encapsulating the fact that from the first entry into tertiary

education up to higher level positions in academia the ratio of female and male

representation is reversed. Stronger, more flexible, and better integrated support for

female researchers is strongly recommended at all levels of DFF funding and in the

Danish research system at large.

Danish Agency for Science, Technology and Innovation

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•

Across Europe one of the major challenges for universities is to provide and

maintain the infrastructure required for highest level research projects. Universi-

ties cannot be expected to carry the sole responsibility for infrastructure costs.

They should rather be supported by other public funding sources and, in particular,

bodies like DFF, Innovation Fund Denmark (IFD) or DNRF as well as the funds al-

located by the Minister upon the recommendation by the National Committee for

Research Infrastructure (NUFI).

•

The DFF Secretariat is currently based within the Ministry of Higher Education

and Science. This combined with the Minster’s authority inter alia with regard to

the appointment of members of the subject-specific councils and the Board could

lead to a problematic closeness between the Ministry and DFF. A Memorandum of

Understanding between the Danish Agency for Science, Technology and Innova-

tion (DASTI) and DFF to this effect has entered into force on 1 April 2014, which is

a good step in the right direction. An even more clearly defined distance between

the two organisations and the possibility for complete disintegration should be

seriously considered in the future. Related communication activities by DFF could

contribute to an accrued institutional identity which would be desirable and could

only benefit its role and its cause in which autonomy is closely linked to credibility.

•

The interface between the five subject-specific councils gathered under the DFF

umbrella ought to be improved. New devices and processes to address the chal-

lenge of appropriately allocating and treating cross-disciplinary research proposals

should be developed by the Board on top of the existing mechanisms. The ‘matrix

committee’ for inter-disciplinary selection is a first constructive step to address this

challenge. Further steps could be a more dynamic attribution of resources to the

respective council and/or a more extensive use of review panels with multi-disci-

plinary representation.

•

Several stakeholders expressed their concern that there could be a correlation

between the institutional affiliation of the subject-specific council members and

the share of grants provided to respective universities. This would have a strong

negative effect on the legitimacy of DFF and measures to correct it should be intro-

duced. The Panel believes that one such measure is to ensure a good representation

of researchers from all Danish universities and to avoid the provision of more than

a maximum of two subject-specific council chairs per university at a time. Nev-

ertheless, outstanding scientific competence has to remain the main criterion for

selection.

In order to enable DFF to continue its very successful operations, the Panel strongly

recommends the Danish Parliament to provide reliable long-term and, if possible,

increased funding for DFF.

Danish Agency for Science, Technology and Innovation

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1. Introduction

With the Danish Council for Independent Research (DFF) Denmark can rely on a

well-established funding and advisory council as part of a diverse landscape of funding

institutions for research and innovation. DFF was formally established in 2004. Since

then DFF has funded research in providing overall close to DKK 15 billion (EUR 2 bil-

lion) in support of research projects. The institution is governed by a Board of Directors

(‘Board’) and consists of a total of five ‘subject-specific research councils’ composed of

accomplished researchers from the respective fields. As part of a recent re-alignment

of the Danish national research and innovation funding structures, DFF has also been

subject to structural review. According to the political agreement that “on the basis of

the evaluation of the Danish National Research Foundation (DNRF)

and the evalu-

ation of the Danish Council for Independent Research the political parties will be

invited for discussions on the overall organisation of research in this area”

, the report

is to serve as a basis for further political considerations and structural developments.

1.1. Terms of Reference and Methodology of the Evaluation

An international evaluation panel has been mandated by the Minister for Higher

Education and Science based on political agreements from october 3, 2013 and oc-

tober 31, 2013, on Innovation Fund Denmark (IFD) and the allocation of the Danish

Research Reserve respectively. The panel has been selected to be composed of six

international experts with broad professional backgrounds and competences in the

fields of international management and strategic planning, notably funding, in and by

research institutions. The panel members from Europe and North America include

internationally acknowledged researchers, research funding executives, and members

of national and international funding bodies and organisations.

The purpose of the evaluation process is to critically consider the structure, function-

ing, and results of DFF’s funding and advisory contribution to the Danish research

landscape. The evaluation shall in particular focus on:

•

The structure and the organization of DFF;

The research output and the quality of research output (bibliometric analysis)

based on the funding granted by DFF alone or in collaboration with other funding

bodies;

•

DFF’s contribution to an enhanced career development of research talents and the

general research base in Denmark;

DFF’s contribution to international collaboration, international co-publications, and

other aspects of DFF’s internationalisation strategy for the Danish research environ-

ment;

The report for the Evaluation of the Danish National Research Foundation (DNRF) was published in fall

2013.

See political agreement on ‘Danmarks Innovationsfond’, 3 october 2013.

Danish Agency for Science, Technology and Innovation

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•

The funding instruments of DFF and their coherence with other funding instru-

ments in the Danish and European research and innovation system.

The evaluation is directed towards three target groups. The first target group is com-

posed of representatives of the political system and the general public; both will be in-

formed about the results of the evaluation. Considerations can be conducted whether

or not the structure and role of DFF are fulfilling relevant criteria of efficiency and ef-

fectiveness in the designated way. The second addressee of the evaluation is DFF itself;

it should make use of the results to further adjust and improve funding and advisory

roles just like to develop clear-cut future priorities. The third and final target group for

the evaluation is composed of the affected research institutes and universities which

shall be in a position to make use of the results of the evaluation laid out in this report

for their future strategy, policy concepts, and further development.

In its scope, the evaluation addresses DFF’s structure and modi operandi and the fund-

ing allocated by it in support of independent research. The evaluation furthermore

focuses on the structure and working procedures in place for and conducted by DFF.

Previous reports and evaluations also have been considered, some of them being refer-

enced in the present evaluation report.

For the data collection various other methods like desk studies, a self-assessment by

DFF, qualitative interviews, questionnaire surveys, bibliometric analyses, and special

requests of data by the evaluation panel towards DFF have also been applied and

conducted. The panel provides its description, analysis, assessments, and conclusions

in this report with its recommendations as a cumulative synthesis and result of its

evaluation.

Danish Agency for Science, Technology and Innovation

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2. The (New) Danish Research

Landscape

Denmark’s well-functioning research and innovation system must ensure a continual

flow of highly-qualified researchers among and between the different stakeholders

involved in basic research, scientific and technological development, as well as in prod-

uct and service innovations. In view of the increasing speed of knowledge generation

and accelerating cycles of innovation, it is not only necessary to recognise the require-

ment for adjustments and adaptations but also to establish appropriate organisational

structures.

With the entry into force of the new “Act on research consulting, etc.”,

the Danish re-

search funding landscape has been subject to considerable re-adjustments and changes

to its structure and form with the changes being implemented as of 1 April 2014. In the

former system three independent organisations with both funding and advisory roles

had been responsible for the promotion of strategic as well as applied research and

innovation. The Danish Council for Strategic Research (DSF) supported both basic and

applied research in fields of political priority. The aim of the Danish National Advanced

Technology Foundation (HTF) was to create growth and employment in Denmark by

supporting activities that transfer knowledge from Danish research institutions to the

Danish business community. Collaborations had to involve at least one public research

institution and at least one private company. The Danish Council for Technology and

Innovation (RTI) was both an advisory body to the Minister for Higher Education

and Science about technology and innovation policy and an administrative body for

initiatives handed to the council by the Minister. These initiatives particularly aimed

at the promotion of innovation and dissemination of knowledge between knowledge

institutions and enterprises.

These activities have been merged and combined in one Innovation Fund Denmark

(IFD). IFD is expected to have an annual budget of approximately DKK 1.5 billion

(EUR 213 million) in 2014, and it is thus set to surpass DFF with regard to the available

funds for support and advice by more than EUR 50 million. IFD has the competence

to provide “high level independent expert advice on research, and is responsible for

ensuring that the advice incorporates relevant national and international experience

and developments.”

The revised legislation also brought about a unified Danish Council for Research and

Innovation Policy with the objective “to promote the development of Danish

research,

technology,

and

innovation

for the benefit of society as a whole.”

This broad scope of

activity is described more narrowly in its task to provide the Minister for Higher Educa-

Act on research consulting, etc. (consolidated act no. 1064 of 6 September 2010) in its amended version

incorporating the changes introduced by section 4 of act no. 623 of 12 June 2013, and section 1 of act no.

310 of 29 March 2014.

Cf. Evaluation of the Danish National Research Foundation (DNRF), report 2013, for further details.

Act on research consulting, etc., part 3, art. 3, para 1.

Act on research consulting, etc., part 1, art. 1, para 3.

Danish Agency for Science, Technology and Innovation

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tion and Science, the Danish parliament and all government ministers “with high-level,

independent expert advice”.

This new institution for advice on research and innova-

tion policy is replacing the previous Danish Council for Research Policy as an overarch-

ing advisory body on all

research policy

matters.

Figure 2.1

Research and Innovation system 2014

Advice

Danish Council for Research and Innovation Policy

Policy

advice

Scientic

advice

Danish Council

for Independent Research

€ 159 M (2013)

Funding

Danish National Research

Foundation € 56 M (2013)

Innovation Fund Denmark

€ 213 M (budget 2014)

Basic

Research

Applied

Research

Innovation

Bottom-up

Politically

prioritised

Source: The Danish Agency for Science, Technology and Innovation

In contrast, the Danish Council for Independent Research (DFF) fulfils two roles: the

DFF “awards

grants

and provides

advice on research”.

The two main purposes of the

Council are to support tangible research initiatives based on researchers’ own initia-

tives (1) and to provide advice on research associated with these initiatives (2).

A review in parallel to the restructuring process of the innovation support bodies

creating one general funding column each for the fields of basic research and innova-

tion (applied research) was previously considered by some political actors. As part of

the political process which preceded the legislative amendments it was decided that

subsequent to the evaluations of the Danish National Research Foundation (DNRF)

and DFF there would be further political consideration and discussion on the organisa-

tion of the range and structure of funding mechanisms for fundamental research. At

least until that point in time the established dual structure for basic and independent

research will remain in place while introducing some amendments to the overall ‘land-

scape’ and the scope of activities of the respective bodies. This decision corresponded

with the relevant recommendations from an external evaluation process conducted

by an international panel of experts for the DNRF in 2013 of which the report was

Ibd, paras 3 and 4; for more information go to: http://ufm.dk/en/research-and-innovation/coun-

cils-and-commissions/the-danish-council-for-research-and-innovation-policy.

For more information on the former Danish Council for Policy Advice go to: http://ufm.dk/en/re-

search-and-innovation/councils-and-commissions/the-danish-council-for-research-and-innovation-poli-

cy/the-danish-council-for-research-policy.

Act on research consulting, etc., part 1, art. 1, para 4.

Ibd.

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released in the autumn of the same year.

The recommendations made in this report

may eventually form a part of further discussions in this regard.

2.1. The Danish Council for Independent Research (DFF)

The Danish Council for Independent Research has been operational since January

2004. It was created as a successor (next to the former Danish Council for Strategic Re-

search) to a set of six independent national research councils. In a structural similarity

to the recent establishment of the Danish Council for Research and Innovation Policy

DFF was, therefore, a product of a review process intended to re-align the previously

more diverse Danish research support landscape. In its operation it has since been

a central body in research funding for all main areas of Danish academia. It has also

made use of its expertise within science and research to provide advisory services on

research questions to the Danish Minister for Higher Education and Science just like

other relevant actors e. g. government ministers, the Danish Parliament, and external

institutions in order to actively fulfil its tasks as a contributor to the increase of the

level of research and academia in Denmark.

2.1.1. Structure and Funding Role

At the basis of DFF’s structure stands its Board of Directors with nine members, all of

whom must be recognised researchers.

one of these members serves as the Chair-

person of the Board. This Chairperson and all ordinary members of the Board are

appointed by the Minister for Higher Education and Science in their personal capacity.

They are appointed for an initial four-year term and they can only be re-appointed for

an additional term of two more years for an overall maximum of six years in office.

The Board constitutes the governing body of DFF and is given the authority to draw up

its own statutes. It carries the responsibility to ensure that DFF fulfils its purpose in the

foreseen manner.

It is also eligible to establish and to name up to six subject-specific

research councils. By making use of the latter competence, the Board has established

the following five subject-specific research councils tasked to fulfil DFF’s funding and

advisory functions for the respective fields of research: Humanities (FKK), Natural

Sciences (FNU), Social Sciences (FSE), Medical Sciences (FSS), and Technology and

Production Sciences (FTP). Each of these subject-specific research councils is headed

by a council chairman and consists of an overall membership of 12 to 18 members.

These members like the Board members are appointed by the Danish Minister for

Higher Education and Science. The chairmen are elected by the membership of the

respective subject-specific research councils themselves. There cannot be an overlap in

membership between the Board of Directors and the subject-specific research councils.

At the same time, cooperation and coordination between the Board and the chairmen

of the different subject-specific councils are encouraged and conducted through the

institutionalised meetings of the Chairmen’s Group with approximately six meetings

per annum. The Board furthermore conducts and oversees coordination processes

with the Danish Innovation Fund, the DNRF, and the rest of the research system. This

is particularly the case with regard to activities linked to international partnerships.

Evaluation of the Danish National Research Foundation (DNRF), report 2013, pp. 9 and 41.

Act on research consulting, etc., art. 10, para 2.

Ibd., para 3.

Ibd., art. 9.

Ibd., art. 9, para 3.

Danish Agency for Science, Technology and Innovation

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An exchange is also guaranteed with the Danish Agency for Higher Education (DAHE)

directly in occasional encounters and indirectly via the general inter-departmental col-

laboration within the Ministry. DAHE was established on 1 october 2013 and replaced

two former agencies – namely the Agency for Higher Education and Educational Sup-

port and the Agency for Universities and Internationalisation. It is, therefore, now to be

considered as the ministerial institution responsible for governmental development

and administrative tasks in relation to universities and higher education, the admin-

istration of student loans and grants, and quality and coherence in higher education

programmes.

As an independent body, DFF is supported by a secretariat. This role is fulfilled by a divi-

sion in the Danish Agency for Science, Technology and Innovation (DASTI) as part of

its tasks as a Ministry for Higher Education and Science agency. The interaction and col-

laboration between DASTI and DFF has been prescribed in a Service Level Agreement

concluded between the DFF Board’s chairman and DASTI’s Director General.

The

secretariat is designed in a matrix organisation structure with specific units representing

the different areas of academia addressed by DFF and the subject-specific councils in

particular as well as interdisciplinary and especially designated fields of support.

The overall annual research funding by DFF in the years 2009 to 2013 amounted to

DKK 1.2 billion (EUR 148), In 2013,the budgeted funds were attributed to the five

thematic research areas and granted by the subject-specific councils in the subsequent

ratio: Humanities DKK 153.4 million (EUR 20,5 million), Natural Sciences DKK 285.6

million (EUR 38,3 million), Social Sciences DKK 117.4 million (EUR 15,7), Medical Sci-

ences DKK 274.6 million (EUR 36,8), and Technology and Production Sciences DKK

280.4 million (EUR 37,6). 2013 was a year with unusual high success rates due to spe-

cial circumstances which included only one round of applications for DFF-Individual

postdoctoral grants (normally two) and a larger amount of returns from earlier years’

grants. With a total of 2,347 grant applications and 457 grants awarded, the success rate

gauged by numbers of applications was at 19% for that year, whereas it was at 16% if

calculated by amount granted. Especially the 2013 success rate for the latter was unu-

sually high due to the special circumstances for that year. From 2009 to 2012 the aver-

age success rate was at 13%. For 2014, the success rate by amount granted is expected

to range around 10%. This is caused by a large number of applications for the YDUN

programme, which is only offered once.

Funding decisions are taken by the subject-specific councils in accordance with

guidelines set out by the Board which have a binding character for their decisions.

The Board does not have authority to interfere in the funding decisions taken by the

subject-specific councils, but, as a governing body, it ensures that all subject-specific

councils act according to their obligations and in observing the given guidelines. It also

oversees the prescribed involvement of relevant external assessors in the evaluation

and decision-making processes for funding applications.

By way of its competence to

“Memorandum of Understanding of the Danish Agency for Science, Technology and Innovation’s (DAS-

TI) secretariat services for the Danish Council for Independent Research”, signed by Mr Munk Christian-

sen for DFF and Mr Müller Pedersen for DASTI, entered into force on 1 April 2014.

Ibd., para 2.

Ibd.

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distribute the respective funds between the different subject-specific councils, through

its capacity to establish the guidelines for the distribution of funding to applicants

from academia, and by way of its overall role as a governing and supervisory body, the

Board can be said to have an important if indirect impact on the procedures and set-

tings in which funding decisions are taken by the subject-specific councils.

Membership in the subject-specific research councils is offered to recognised re-

searchers exclusively. The Minister for Higher Education and Science appoints a total

maximum of 75 members to the subject-specific councils in their personal capacity.

The Minister is held to ensure that each subject-specific council possesses as broad an

academic membership within its thematic field of activity as possible; a wide-ranging

Danish national and international research experience is a further criterion for the

composition of the subject-specific councils’ membership to be considered by the

Minister in the appointment processes. Funding decisions taken by the subject-specific

research councils are taken along the lines of the provisions stipulated by both the

Act on research consulting etc. (in particular according to art. 7) and by the guidelines

established by the Board.

The funds are generally awarded personally to the main

applicant from academia who is responsible for their sound administration and subse-

quent use. Funding decided upon by the subject-specific councils can be attributed to

individual areas of research, interdisciplinary research, and Danish researcher’s interna-

tional activities. Funding decisions must adhere to the published criteria and DFF is to

ensure that funding is awarded to international research collaborations in a sufficient

and suitable manner.

Decisions can be taken in favour of

special initiatives

as set out

by the Board which may include interdisciplinary initiatives or those involving more

than one subject-specific council. A maximum of one fifth of DFF’s overall funding

may be attributed to such special initiatives.

The Minister for Higher Education and Science has the authority to lay down specific

rules relating to and governing the broader lines of DFF’s work. The Minister’s author-

ity includes but is not limited to prescribing the conditions for the Council’s financial

reporting, the preconditions for its funding, just like the calls for funding, their publica-

tion, and related requirements. In this capacity the Minister has a legal authority to

formulate general expectations which can be as detailed as setting out specific obliga-

tions for the DFF funding decisions; this can be the obligation to involve external

experts in the assessment of applications and to specify the degree of such an involve-

ment or formal requirements including such for binding online communications and

application deadlines. Also, while decisions by DFF’s Board and the subject-specific

councils cannot be appealed to from the outset, the Minister may determine that com-

plaints can be filed with regard to legal questions related to rulings by the subject-spe-

cific councils or by a body the former may have delegated decision-making authority

to. This kind of legal complaint would then be brought directly before the Minister.

Furthermore, “politically prioritised measures” can be defined, which the Council can

be asked and/or authorised to support in addition to its regular field of basic independ-

Ibd., art. 11.

Ibd., art. 13.

Ibd., art. 7 and art. 30; cf. below.

Ibd., art. 7, para 3 and art. 11.

Ibd., art. 15

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ent research funding.

Combined with the aforementioned authority to appoint the

members of the Board and the subject-specific councils, the Minister for Higher Educa-

tion and Science, through these competences, has a relevant leverage to impact and

direct the work of the Danish Council for Independent Research. Based on its annual

plans of action DFF together with the Ministry determines the suitable way forward in

contributing to maintaining Denmark’s position in research and academia. As a basis

for such action plans, the work of DFF is shaped to include and observe some basic pri-

orities: Quality and excellence of research are to be strengthened through researcher-in-

itiated research and a high level of diversity in research is to be maintained. DFF thrives

to guarantee this by selecting some of the most talented researchers with some of the

most innovative research ideas in its different lines of support.

one important aspect

in these aspirations is to increase the eligibility of researchers supported by DFF for

subsequent international funding from institutions like the European Research Council

(ERC). This ambition is also reflected in the internationalisation strategy DFF pursues.

2.1.2. Current Funding Instruments

Throughout the recent years, DFF has attempted to systematise and simplify the realm

and scope of its funding activities with inter alia a considerable reduction in the num-

ber of funding instruments in place. From almost fifty in 2004, the number of different

support instruments has been reduced drastically to below fifteen in 2013.

Figure 2.2

Development of the Number of Funding Instruments, 2005 - 2014

2005

2006

2007

2008

2009

2010

2011

2012

2013

2014

Source: The Danish Agency for Science, Technology and Innovation

Note: Cross-council, common instruments are only counted once

Motivated by the ambition to define the different lines of funding more clearly and

aiming at a suitable support structure for some of the best researchers and their needs

to realise high standard and innovative projects, these steps are intended to stimulate

an even better and internationally competitive research output. Application proce-

dures shall be simplified to ease the administrative requirements inflicted upon the

applicant researchers at the same time.

Ibd., art. 7, para 4.

Cf. DFF Self-Evaluation Report 2014, pp. 17 ff.

Cf. DFF Self-Evaluation Report 2014, p. 29.

Cf. DFF Self-Evaluation Report 2014, pp. 14 and 28 ff. for more detailed information.

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Changes and amendments to the support instruments were mainly conducted from

2008 to 2009 and from 2012 to 2013 respectively. The three central funding instru-

ments in place today are Postdoctoral Grants, Research Projects, and the Sapere Aude

Programme. These three programme lines make up for 97% of the funds distributed

by DFF; the number of instruments with funds for smaller and council-specific sup-

port has been reduced to favour the aforementioned funding programmes. Calls for

applications and the selection processes for these just like for other lines of funding

are conducted in an open national competition format accompanied by international

publication. According to DFF’s self-evaluation, the most relevant considerations to

take such drastic steps in re-structuring the funding instruments involved the wish

expressed by Danish universities that the range of funding instruments offered just like

the application procedures for them should be designed in a clear-cut and transparent

manner. It has also been the declared ambition of DFF to harmonise the thematic calls

of the five subject-specific research councils following their re-structuring process and

according to its operational set-up since 2005. In 2013 DFF published its first joint call

for proposals with the identical set of funding instruments being applied to research

fields of all five subject-specific councils.

As a predominant aspect in its funding, DFF particularly aims at supporting younger

talented academics in the effort to attain their research goals. This is in particular

pursued with the ambition to provide the best research conditions for such aspiring

talents. DFF has, therefore, chosen to invest an amount equal to approximately 45% of

the funds at its disposal in

postdoctoral grants.

Approximately half of these funds are

granted through DFF’s Individual Postdoctoral Grants, the rest of them come as embed-

ded postdoctoral grants in the Research Projects or the Sapere Aude instruments.

Figure 2.3

Amount awarded for DFF Postdoctoral Grants 2010 - 2013 (DKK million)

1,400

1,200

1,000

800

600

400

200

2010

2011

2012

2013

Amount awarded for DFF-Individual postdoctoral grants

*Amount awarded for embedded postdoctoral grants

Total amount awarded

Source: The Danish Agency for Science, Technology and Innovation

Note: *Amount awarded for embedded doctoral grants 2010-2011 is estimated based on the amount awarded for DFF-

Individual postdoctoral grants combined with the number of embedded postdoctoral grants. In 2012-2013 the amount is

estimated based on informations from the applicants

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With these funds DFF is in a position to provide funding for some 300 postdoctoral

researchers annually while attempting to attract national just like international talents

working abroad to re-locate to Denmark and, thereby, further enhance the attractive-

ness of the Danish research environment. Postdoctoral funding comes from two

different sources: those directed towards individual research projects are to be differen-

tiated from those of an ‘embedded’ nature where the postdoctoral research activity is

part of a larger research project. In the latter the grant recipient is not the postdoctoral

researcher her-/himself, but a more experienced researcher acting as the head of the

respective research project and fund recipient guaranteeing the involvement of a post-

doctoral researcher.

The funding programme

Research Projects

is another of the three main funding instru-

ments currently in place. Like the previously described, it has been developed in merg-

ing a number of pre-existing funding instruments. Support for Research Projects has

been offered as a field of funding since DFF was first established. The current funding

instrument is focused on providing researchers with the opportunity to explore their

research project ideas; regardless of the topic. To enable an efficient and well-defined

handling of the respective projects and for an appropriate oversight, Research Projects

have been grouped in three different categories (groups 1, 2, and 3).

Table 2.1

Support Categories and Funding Levels

Instrument

Average grant size

(including overhead rate

of 44 percent)

Maximum grant

size incl. overhead

(2013)

Sapere Aude

Research talent

483,000 DKK

(65,000 €) Add-on to an

individual Postdoc-grant

6.7 m DKK (900,000 €)

11.3 m DKK (1.5 m €)

500,000 DKK

(67,000 €) Add-on to an

individual Postdoc-grant

7 m DKK (950,000 €)

12 m DKK (1.5 m €)

Starting grant

Advanced grant

Research Projects

Research Project 1

Research Project 2

Research Project 3

2.1 m DKK (280,000 €)

5.1 m DKK (680,000 €)

9.1 m DKK (1.2 m €)

2.6 m DKK (350,000 €)

6.5 m DKK (870,000 €)

12 m DKK (1.6 m €)

MOBILEx

Individual Postdoc

2 m DKK (275,000 €)

2.2 m DKK

2.5 m DKK (340,000 €)

No budget limit

(Wage and operating expenditures)

Source: The Danish Agency for Science, Technology and Innovation

With a progressive level of complexity in the respective project design and an ascend-

ing number of actors involved depending on the academic field at hand, the maxi-

mum funding level for the three groups is set at DKK 2.6 million (EUR 349,000), DKK

6.5 million (EUR 670,000), and DKK 12 million (EUR 1.6 million) respectively. The

number of rejected Research Project applications has been rather high and regularly

surpassed 85% in past years. This can be contrasted by the figures for the overall suc-

cess rate of applications to DFF gauged by numbers of applications, which has been

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at or close to 18% for the last five years (2009 to 2013; 15% in 2011). The success rate

based on amount granted has been 13.6% in that period. Either way many Research

Projects considered as being of high quality cannot be supported by the Council due to

its limited resources. Many of the applicants rejected in the selection processes of this

line of funding were able to claim funds from other sources subsequently according to

an evaluation conducted for the time period between 2001 and 2008.

Figure 2.4

Success Rates for Research Project Applications, 2009 - 2013 (percent)

2009

2010

2011

2012

2013

Success rate for number of grants (number of grants/number of applications)

Success rate for the amounts applied for (among granted/amount applied for)

Source: The Danish Agency for Science, Tecnology and Innovation

In the

Sapere Aude

(‘Dare to Know’) funding line, it is the ambition to support the

best Danish researchers in their career development and enable clear career paths for

them. This involves support for the development of international profiles to increase

researchers’ chances of international academic breakthrough and success. This field of

funding is likewise designed in application of three funding groups: the DFF Research

Talent, the DFF Starting Grant, and the DFF Advanced Grant. The Research Talent grant

can be obtained complimentarily by those younger researchers who have obtained

an Individual Postdoctoral Grant in the same year; the Research Talent grant ranks at

a funding level of up to DKK 0.5 million (EUR 67,000). The Starting Grant is designed

for those researchers who are ready to lead their own research team, but who have

not necessarily attained professorship level yet; the maximum funding level for this

group of applicants is at DKK 7.1 million (EUR 954,000). Finally, the Advanced Grant

is directed at researchers at a full professorship level with the qualifications to lead a

research team according to the highest international standards with a maximum fund-

ing level of DKK 12 million (EUR 1.6 million). The latter category of grants has only

been offered since 2012. And while a total of 162 Research Talent Grants and 105 Start-

ing Grants have been assigned, Advanced Grants have so far only been awarded 14

times. The entire Sapere Aude research career programme is aiming to stimulate the

competences and to create the incentives for the supported academics of the highest

level to eventually be eligible for ERC funding which is also actively encouraged in the

grant letters sent to the recipients. The programme will be subject to an evaluation in

2015.

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Figure 2.5

Interconnectedness between DFF and ERC

Academic Position

DFF Sapere Aude

Programme

ERC Grant Schemes

Professor

DFF

Advanced Grants

ERC

Advanced Grants

Professor

Associate Professor

DFF

Starting Grants

ERC

Consolidator Grants

Assistant Professor

Postdoc

DFF

Postdoc Grants

ERC

Starting Grants

Source: The Danish Agency for Science, Tecnology and Innovation

Next to these three funding instruments there are more specific and more temporary

lines of funding:

MoBILEx mobility grants

is an EU-supported mobility grant designed

to contribute to an increase in terms of mobility in Danish just like in international

research settings for both in- and outbound postdoctoral researchers. The programme

has in parts been established as a response to an increase in the number of applications

for collaboration projects involving international aspects and partnerships.

In 2013 the Board furthermore proposed the establishment of the

Younger Women

Devoted to a University Career

(YDUN) funding line. This initiative is particularly

directed towards creating academic career opportunities for female researchers at

associate professor level or similar. Full professors, professors with special responsibili-

ties or clinical professors cannot apply for YDUN. Today approximately 30% of the

associate professors and less than 20% of the full professors in Denmark are women.

The programme offers a maximum amount of DKK 4.5 million (EUR 600,000) to those

candidates who fulfil the criteria at the time of the call for this initiative. The basis for

this funding line is a political agreement. It shall offer grants for the successful candi-

dates throughout a funding period of up to four years starting in 2014. This funding

opportunity to be offered only once.

Finally, specific funding for the individual subject-specific research councils has been

reduced continuously throughout the last years and was at only roughly 1% of the to-

tal funding available in 2013 (down from approximately 3% in 2009). Specific funding

instruments remain in place for the three subject-specific councils Humanities, Social

Sciences, and Medical Sciences. The specific instruments offered are: Research Net-

works and Scientific Conferences and Journals (Humanities), Research Stays Abroad

(Social Sciences) just like Pre-graduate Scholarships and Clinical Scientist Positions

(Medical Sciences).

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2.1.3. Advisory Role

In its advisory role, DFF is called upon to provide advice associated with the research

initiatives it supports in its funding capacity as described above; the advice, therefore,

is meant to be research-related.

Before the latest 2013 revision of the underlying

Act on research consulting etc., the scope of DFF’s advisory role had been defined to

include a broader range of possible services. Throughout the past years (2010 to 2013)

the number of advisory engagements has remained at a relatively stable amount of

approximately 430 to 500 service cases.

Figure 2.6

Number of Advisory Services, 2006 - 2013

1,000

900

800

700

600

500

400

300

200

100

2006

2007

2008

2009

2010

2011

2012

2013

Source: The Danish Agency for Science, Tecnology and Innovation

An important part of such advisory services has been directed towards the Danish

government represented mainly by the Minister for Higher Education and Science as

prescribed in the Act on research consulting, etc. as a legal basis and the role accorded

to the Minister therein. Through the composition of DFF with experts from different

research fields, high level input and advice can be provided for questions related to

these fields of competence. Different Danish government and parliamentary actors

and groups rely on this expertise. DFF is also in a position to provide its advisory

services to other public and private organisations in Denmark and on an international,

particularly European, level. This can involve appointment procedures for membership

in relevant working groups, bodies and institutions, or recommendations for research

awards and the like as described further below.

In a variety of cases, advisory services are provided to other funding institutions and

foundations with regard to their distribution of grants. Given the often long-standing

relationship and cooperation between DFF and supported institutions, the latter rely

on the scientific advice offered by DFF to perform their funding role. Advisory services

Act on research consulting, etc., part 1, art. 1, para 4.

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are regularly provided by the Board and in collaboration with the relevant subject-

specific research councils. Some of the most recent main advisory service recipients in-

clude the Danish Council for Technology and Innovation (DCTI), the Danish Advanced

Technology Foundation (DATF), the Danish National Research Foundation (DNRF),

the Danish e-Infrastructure Cooperation (DeIC), and the Lundbeck Foundation.

relation to the DNRF, the other relevant publicly funded basic research support body,

advice is provided mainly with regard to application processes for the Foundation’s

two main funding instruments the Centres of Excellence (CoE) and the Niels Bohr

Professorships. In the 2013 evaluation of the DNRF, the fields of work of DFF and the

Foundation’s activities were differentiated; DFF was mainly characterised as focusing

on research project support, and the DNRF principally as providing the funding for its

CoE scheme.

In the advisory context, DFF is also playing a role in contributing to a close collabora-

tion with other relevant funding bodies just like political decision makers on a national

and European level. According to its own statements, DFF is the “most heavily utilised

body when it comes to scientific research advisory services in Denmark” and it has

considered its role as being “required to apply its academic research expertise to advise

society at large as well as the Danish scientific research environment.”

DFF, therefore,

places a high priority on its research advisory role and services.

2.1.4. Internationalisation Strategy

Irrespective of the specific area of academia, questions of internationalisation are of al-

most ubiquitous relevance in current research contexts. DFF is, therefore, undertaking

an effort to position Danish research in an ever-internationalising environment and in

improving the openness in the Danish research system towards national and interna-

tional researchers currently engaged abroad. Both ambitions are pursued by means of

respective mechanisms and support concepts. on the one hand, funding instruments

are continuously amended to fulfil the conditions and requirements according to inter-

national standards. on the other hand, collaboration and co-funding with international

funding institutions is desired and actively pursued. Special initiatives to strengthen

the internationalisation processes are being launched in the Danish research landscape

on an ongoing basis with a particular ambition to foster synergies, improved coordina-

tion with international research programmes, and, thereby, an added value through

international knowledge exchange, mobility, and an increased ability to obtain

international research grants. A strong Danish involvement in international research

funding and policy bodies is considered as a crucial precondition for the success and

internationalisation of research and academia in Denmark.

DFF has prioritised six overarching focus areas for strengthening the international com-

ponent in the Danish research environment. These priority fields entail the strength-

ening and support of international components in research project implementation,

international collaborations, publications via internationally accessible channels,

international research conferences, research stays abroad, and attracting foreign talent

to Denmark. International aspects have also been included in more specific form, of

which some has been described above, in the different funding instruments of DFF.

Cf. DFF Self-Evaluation Report 2014, pp. 66 ff. for more detailed information.

DFF Self-Evaluation Report 2014, p. 69.

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In selection and evaluation processes for project funding in the Postdoctoral Grants

and Research Project lines international aspects are generally considered positively.

This benefits the situation in which a relatively high number of projects with inter-

national components can be supported. With Sapere Aude it is one of the declared

ambitions of DFF to stimulate and prepare Danish researchers to apply for ERC grants.

Their chances to obtain such funds at a later stage in their academic careers are to be

increased through the experience, insight, and acknowledgement derived from suc-

cessfully claiming the DFF grant.

Table 2.2

Relationship between DFF and ERC Grants, 2007 - 2013

2007

Number of ERC Grants to be conducted

at a Danish institution

ERC Grant holders who previously have

received a grant from DFF

Number of postdoc grants granted to

ERC Grant holders

Number of DFF-Research projects granted

to ERC Grant holders

Number of Sapere Aude: DFF-Starting Grant

granted to ERC Grant holders

Number of other instruments granted to

ERC Grant holders

2008

2009

2010

2011

2012

2013

Total

Source: The Danish Agency for Science, Technology and Innovation

In how far this ambition and the goal formulated by the Danish government to reach

a cumulated total annual funding amount of DKK 1.5 billion (EUR 201 million) from

the EU support programme Horizon 2020 for research in Denmark have been attained

shall be considered as part of the envisaged evaluation of the Sapere Aude funding

instrument in 2015. Sapere Aude in itself also aims to contribute to an internationali-

sation process: 17 foreign nationals have been amongst the overall 117 grant holders

in and Advanced Grants programme lines to date. Indirect effects such as the con-

sequences of aligning selection procedures for DFF grants to internationally applied

standards (e. g. those of the ERC) are considered a possible further source of an increas-

ingly successful internationalisation of Danish research. In a more concrete manner,

Danish academia has further been internationalised through the MoBILEx mobility

grants offered by DFF for younger researchers at the postdoctoral stage. Possibilities

to conduct research as an in-, or outbound visiting researcher in Denmark or another

country (where the researcher has not resided for more than 12 months within the

three years prior to application) are being offered. This can potentially be a basis for

later international academic networks and success.

on the advisory level, DFF has engaged in a broad range of international collabora-

tions with inter alia the Nordic research councils and as a member of Science Europe,

a forum of European research organisations and funders with four Danish committee

members which have been supported by DFF and with whom an institutionalised

dialogue is maintained. Membership in the European Science Foundation (ESF) has

been maintained since its establishment in 1974, but will expire in 2015 as a transfer

of ESF’s predominantly coordinative and member-driven strategic research activities

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to Science Europe shall be completed by that time. There have also been meetings and

substantive exchanges with representatives of European institutions like the European

Commission and the European Parliament to contribute to a sustained development

of research in both the EU and in Denmark. With its aforementioned own funding

activities DFF has contributed to the development of a European research environ-

ment in indirect ways. Through a more direct advisory engagement it has contrib-

uted to the formation process of the structural basis for the ERC as conducted by the

European Commission just like with other consultation activities and expertise. In the

framework of the European Research Area (ERA), and in particular as part of the more

concrete ERA-NET format of pan-European research project collaborations, DFF has

participated in eight ERA-NET projects with a total amount of DKK 55.3 million (EUR

7.4 million) of funding provided since 2004. Additionally there have been some joint

programming efforts, in particular directed to the humanities and to select areas of the

natural sciences. Funding in this field of support for research projects with a minimum

of three parties from a minimum of three countries is on a relatively small scale and

does regularly not surpass amounts between DKK 750,000-1 million (EUR 100,000 to

130,000).

As laid out in more concrete form in sections above, contributions by DFF to interna-

tionalisation processes in an evolving research landscape have been made in both its

funding and advisory roles. DFF’s ambition in such activity was to guarantee a transla-

tion of its engagement into concrete results. If such concrete results have generally

been attained to the desired extent remains a question for further consideration as

clear definitions and reporting on (monetary) contributions and their effect are dif-

ficult to derive in a field as transient as the internationalisation of academia.

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3. An International Perspective

– Principles, Guidelines, and

the Role of DFF in the Danish

Research System

With its broad range of responsibilities and activities, DFF has an ambitious mission to

accomplish. Its role in the wider Danish research system will be put into perspective

and more generally be considered in the following parts of the report. In the process

of evaluation it has become apparent that DFF forms an important and highly valued

part of the Danish research funding infrastructure. It can be regarded as generally ac-

cepted that DFF’s tasks can only be accomplished in a sound overall research (funding)

environment. Some more general observations shall contribute to the understanding

of what such an infrastructure should look like; they can possibly serve as a source of

inspiration for the further development even in a research environment as success-

ful as the Danish. While these considerations are of a more fundamental character,

they are meant to serve as a basis for the specific analysis of DFF’s role in the Danish

research system.

3.1. Principles and Guidelines for an Efficient and Effective Research

Ecosystem

Research systems throughout Europe and internationally regularly carry different

traits making up for their most noteworthy characteristic features. These can entail

structures with widely differing traditions: While some national university systems

are based on the Humboldtian tradition of a broad and much-encompassing selec-

tion of thematic fields and faculties, others are an example of individual institutions’

reduction to specificity in order to guarantee their focus and high level of professional

concentration on very select fields of academic expertise. Similarly big differences and

respective path-dependencies can be observed in a comparison of private and public

university structures and, in a more detailed analysis, with regard to funding bodies

and organizational structures. At the same time, the challenge to maintain a strong

national and institutional recognition in an international research environment is a

sound and valid reason for the maintenance of regional and even local research activi-

ties.

The Danish system – quite similar to the Swiss in size and scope – like Switzerland is

widely recognized as one of the most efficient and effective research systems in the

world. Among other things this is reflected in the impressively high number of cita-

tions it achieves for its research publications. This is usually considered an important

indicator of success. In Denmark the overall citation rate ranges at a strong average of

more than 12 high level citations per publication according to a 2012 Thomson Reu-

ters report. In Switzerland the comparable figure stands at close to 14 such citations per

publication according to this data.

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Figure 3.1

Citations per Publication, OECD, 2008 - 2012

New Zealand

Luxembourg

Portugal

Greece

Hungary

Czech Republic

Chile

Australia

OECD

Estonia

Source: InCitesTM, Thomson Reuters (2012). Report Created: 15-07-2014

While these ‘success’ rates can only be considered as one of the indicators to gauge

research success and do not apply to all fields of research or faculties in a comparable

manner, they can nonetheless serve as a basic yardstick. other factors, like a high num-

ber of renowned scientific awards received by researchers from a particular country,

or the number of breakthrough research findings may be considered, but they can

be misleading all the same. Measuring research success cannot be a one-dimensional

exercise; the analysis of the quality of supporting funding mechanisms can, therefore,

not be accomplished in a simple manner either. To a large extent their success is linked

to the research community and its general perception of support earned.

This being said, it is not only due to high citation numbers that Denmark and Swit-

zerland, and in particular their research infrastructures, can be considered as compa-

rable to a certain extent. The level of academic proficiency both in Switzerland and in

Denmark is linked to a strong underlying research funding infrastructure. A part of this

underlying system has been described above and will be exposed below to a more

in-depth analysis, appreciation, and evaluation for the Danish environment. other

funding cultures and mechanisms will not be addressed in this review. But it should

be noted against the background of different international research landscapes that

there are some recurrent factors which can contribute to high performance research

environments. The level of funding available for the support of tertiary education on a

national scale, and the ability of its actors to attract additional funding internationally

can be considered an important basis for all successful research systems. Bearing this

in mind, it must not be overlooked that other criteria are similarly fundamental for the

initiation and maintenance of successful research. Some of these central aspects for

research success can well be captured and described, others may escape the general

methodologies of review. How well a research ecosystem is performing depends in

complex ways on the financial resources available, the quality of the human resources

involved, the degree of intense cooperation, interaction, and integration among the

Iceland

Switzerland

Denmark

Netherlands

Sweden

Belgium

United States

United Kingdom

Finland

Germany

Singapore

Austria

Ireland

Canada

France

Norway

Slovenia

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Mexico

Slovakia

Poland

Turkey

Korea

Italy

Israel

Spain

Japan

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various stakeholders, on the creativity of people throughout the system, and on the

transfer of their ideas into social and economic practice.

3.1.1. A Sound Framework for the Public Research System

Research requires an appropriate legal, institutional, and financial framework. This

framework needs to ensure that a variety of institutions, organizations, and policies are

put in place which give effect to the different functions required. While this can partly

be guaranteed through the attribution of sufficiently high levels of research funding,

other aspects such as freedom and autonomy will be of similar relevance. Individual

research institutions can strongly impact the output of their affiliated researchers in

creating inspiring micro environments or ‘habitats’ in the overall research ecosystem.

on a more macro-level, system-wide note, research needs to be conducted based on

reliable structures and should be able to blossom in a well-preserved but also suffi-

ciently well-exposed and challenging environment. Guaranteeing for such a setting is

a task not easily achieved under the influence of scientific and scholarly requirements,

institutional interests, and frequent political transition processes. It should be an ambi-

tion of all actors involved to provide for a balanced underlying organizational structure

and a stable financial regime.

3.1.2. Autonomy, Transparency, and Accountability

Research necessarily requires a far-reaching scope of freedom. But research funding

bodies will in many areas also serve some of the national and transnational interests

they may be based on. This is the case for national research funding and support agen-

cies – in particular in the field of strategic or applied research. For the basic research

fields, the highest possible degree of independence should be guaranteed; attempts of

political alignment should be avoided as far as possible.

For all fields of research support transparency and accountability of the research

funding bodies towards their public donors, and of the researchers towards funding

agencies and host institutions, should be main characteristics. Research support should

always be provided in transparent and well-accessible structures and processes. A good

equilibrium of independence, transparency, and accountability in the different spheres

of a research system is key to creating and maintaining a successful research ecosystem.

3.1.3. Planning, Monitoring, and Evaluation

While freedom and independence can be considered main criteria, monitoring and

evaluation are of similar relevance. The detection of potentially high quality research is

a difficult task in itself. A well-designed and structured research support setting can be

an important basis for such recognition. only in such a system, monitoring and evalu-

ation can be implemented appropriately. The results of this can again help to develop

competences in research assessment and notably the design of suitable support instru-

ments and mechanisms. Such a well-structured set of instruments should provide the

basis of any research-funding system to avoid obvious insufficiencies.

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3.1.4. Dynamic Leadership and Strategic Management

It is crucial to guarantee sound and far-sighted leadership in all fields of research. The

development of clear strategies and their implementation by well-placed and clearly

mandated management can be considered a contributing factor on the track towards

accomplishing research success. While cooperation is a central element for the success-

ful work of research funding mechanisms, the main stakeholders involved (govern-

ment, funding agencies, individual researchers, and universities) must each possess

an appropriate standard of autonomy. This will not only allow for them to fulfil their

mandated role in an appropriate manner. It will also enhance their respective level of

credibility and respect accorded to them by the public.

3.1.5. Interaction, Cooperation, and Partnership

observing the above-mentioned appropriate levels of independence and autonomy,

academic success can only be attained in a constructive atmosphere of interaction,

cooperation, and partnership. All actors must be willing and able to interact in order to

achieve the common goal of nourishing and protecting a productive research environ-

ment. Cooperation should be aspired to whenever common themes and similar inter-

ests have been identified. Partnership may be entered into when this is sensible in an

institutional structure and when general interests of the wider academic community

can be impacted positively by such a rapprochement. It should be avoided at any time

to neglect, or even hinder the exchange in the system of communicating tubes which

is the research funding environment.

3.1.6. Internationalisation and Strategic Alliances

In a research environment which does neither halt nor end at any institutional or na-

tional border, internationalisation processes have grown to be of increasing relevance.

This development should also be taken into consideration by research funding bodies

and stakeholders within their respective roles in the funding environment. Funding

bodies should consider and position their approaches and instruments in exchange

with similar bodies internationally; in particular the comparison with bodies from

similar research environments can be helpful.

Governments are bound to interact in inter-, and supranational organisations in many

fields of policy-shaping today. To a lesser extent this is also true for a traditional na-

tional and culturally impacted domain like research policy. Universities and research-

ers regularly and actively form a part of international collaborative research projects

and are more and more addressing border transgressing themes with their respective

research projects. Possible strategic alliances should always be subject to in-depth con-

siderations with regard to sensibility and suitability before their establishment. They

can form an important additional component of internationalisation activities, last but

not least in making them more sustainable.

3.1.7. Successful Research Funding Structures

Funding structures have to be established specifically for the relevant academic

research environment. This can only be achieved with the knowledge contributed by

experts of the academic landscape at stake. At the same time, comparisons with other

systems in place can be a useful source of inspiration and adaptation. The putting into

place of sound funding structures requires a strong interrelation of all actors involved.

Their sound interplay and respective institutional leadership (cf. above) can be a reli-

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able basis for the development of research funding structures as required for a specific

research environment. Adaptations at regular intervals are required once such a system

has been installed to allow for further improvements and necessary amendments to

be implemented.

With these factors considered, good soil for a blossoming research landscape can be

prepared. Much of this broader framework has already been created in Denmark. This

was underpinned inter alia in the 2013 external evaluation of DNRF which brought

about largely unblemished results. The evaluation of DFF comes at a time when

numerous structural changes have been put into effect for the wider research funding

system only recently. The described basic criteria for a successful research environment

and funding structure can be considered to be at the base of some of the observations

which will be addressed as part of the more concretely DFF-related findings in the fol-

lowing parts of this report. It is the conviction of the Evaluation Panel that in continu-

ous observance of the principles outlined above, the Danish research system will also

find excellent soil to grow, evolve, and bring about rich fruits of success in the future.

3.2. Role and Function of DFF in the Danish Research System

DFF forms a crucial part of the Danish national research system. It is the sole public

funding body providing financial support to researcher-initiated projects, to a large ex-

tent pursued by a range of younger and aspiring academic talents at the beginning of

their careers. Applicants can be all researchers as of the postdoc level. In an overarching

system-wide analysis it becomes apparent that DFF has a key role to play, in particular

in view of the fact that none of the other public funding bodies can be considered as a

supporter of career development for the early stages of academic careers. DFF offers a

number of such support mechanisms. Its role as supporter of aspiring research talents

provides a strong basis for the overall health of the Danish research ecosystem. This is

particularly the case for some research disciplines, like the humanities and the social

sciences as well as physics and mathematics, where other funding opportunities –

public or private – are rare in the Danish research funding and support system.

DFF can further be described as the funding body supporting individual researcher-

initiated projects which range from the smaller postdoc support scheme to expensive

research projects like its Sapere Aude step 3 line of funding.

This general range of

activities is a differentiating factor from the other support bodies in so far as it includes

the early academic career levels and as it is addressed specifically to basic research.

DNRF offers basic research support to a large extent through its excellence scheme, the

‘Centers of Excellence’ (CoE), and overall takes a more elite-oriented approach support-

ing the high end of academia. CoEs do also attract junior researchers, but they do not

offer as independent a research environment as can be provided for as a result of a suc-

cessful postdoctoral application for funding by an early-stage individual researcher.

DFF carries out the role of a core independent basic research support body in an

impressive manner. other funding institutions may partly support similar research pro-

jects, but their general focus is not on the combined traits of independent, researcher-

initiated projects with a large thematic variety and particular opportunities for young

researchers in the field of basic research. Along with this role DFF has developed its

Cf. above on pp. 15-21 for more details with regard to DFF funding instruments.

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function as a supporter as well as an enabler and initiator of high quality basic research

in Denmark: The competitive quality selection and funding offered by DFF is to serve

as a qualifying step for Danish researchers towards obtaining international and, in par-

ticular, ERC grants to an increasing degree.

Another function pursued and filled by DFF is that of an active contributor to gender

equality and internationalisation in the Danish research environment. The general

flexibility in the design of its funding instruments, the kind of research support offered

by DFF, and the type of research projects supported make it an important catalyst for

the promotion of research talents and emerging topics of great relevance to the entire

Danish research ecosystem.

Next to the DNRF, Innovation Fund Denmark (IFD), and the Danish Council for Research

and Innovation Policy (DCRIP), DFF has been attributed its own well-defined field of ac-

tivity. It plays a vital role in the Danish research ecosystem as the support agency for new

and innovative basic research ideas and findings, a broad range of research areas, young

researchers, just like aspects of general concern for the greater research environment like

gender equality and internationalisation. This differentiating set of traits underscores

the crucial institutional role that DFF carries for the further development of the Danish

research system at large. An innovative and strong science base with a lot of talented

young researchers is an indispensable precondition for subsequent success on higher

and highest research levels. It is also a conditio sine qua non for many fields of strategic

research regularly based on or at least impacted by the latest basic research findings. Ac-

cess to new knowledge and the most recent developments in scholarship, science, and

technology is crucial for the well-being of a knowledge-based society.

Therefore, it must be considered to be of the highest structural relevance that DFF

fulfils its core functions and roles appropriately to strengthen Danish research and,

thereby, to contribute to emerging opportunities for continued strategic or applied

research success in the future.

The advisory role of DFF has been clarified as a result of the recent reform process in

which much of the policy advice role has clearly been accorded to DCRIP. It may be

considered a further refinement and even clearer attribution of roles and functions

of the different public bodies serving research funding and support in Denmark. The

concrete consequences and impact of this and other amendments will likely become

more perceivable in the coming years with the practical implementation of the newly

prescribed roles and functions of the different research support bodies.

Independent basic research as supported by DFF may not at all times be considered a

strategic asset for the advancement of concrete goals. But it can well be regarded as an

invaluable instrument for capacity building and as a knowledge basis for the further

development and evolution of a healthy research ecosystem, a knowledge-based

economy, and society at large. The Panel has no doubt about this and expresses its

strong support for a perspective in which DFF with its role and function will remain a

central contributor to and guarantor of a rich harvest of basic research fruits grown on

fertile Danish grounds. A comparable research support mechanism is considered an

important contributor to providing a strong research base, and thus serves as a source

of societal progress and sustainable growth.

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4. Assessment of DFF’s

Performance, Challenges,

and Perspectives

With the unique role of DFF in the Danish research landscape in mind, the Panel was

assigned with the task to evaluate the structure and activities of the funding body. The

assessment of DFF’s performance constitutes the core of these considerations. This as-

sessment forms the basis for the final chapter of this report in which the Panel formu-

lates its recommendations addressed to the different stakeholders. It is delivered with

the intention to open paths towards a continuous amelioration of DFF’s already very

high quality of work and in view of researchers’ current and future needs.

Considerations and recommendations expressed in this report are formulated with

the intention to provide the requested external view and additional impetus to the

continuous self-evaluation and consideration invested by DFF’s Board and staff. The

overall performance of DFF is considered to be of extraordinary and internationally

highly competitive quality. This is also underpinned by the results of the bibliometric

analysis conducted for and as part of this evaluation (see Appendix 5). The main focus

of the analysis was on the proportion of highly cited publications, assuming that they

can be linked to excellence in research. In order to provide a national and international

context for the indicators calculated for DFF publications, two sets of benchmark units

were used for comparison: 1) DFF’s contribution to the national performance of Den-

mark; 2) ten European and American universities specifically chosen among the top-

performing strata in different fields of the Leiden Ranking. The years reviewed includ-

ed projects for the funding period from 2005 to 2008 which typically ended between

2009 and 2012. The analysis supports the conclusion that with respect to highly cited

publications, DFF grants result in publications at a very high level, comparable to the

highest-performing universities in Europe, and often better. DFF thus contributes nota-

bly to the overall Danish impact. Around 19% of DFF-supported publications qualify as

highly cited, i.e. they rank among the top ten percentage group of most cited publica-

tions in the database (compared to 14.6% of all Danish publications). For the period

analysed, DFF-supported research constituted about 7.8% of Danish publications, and

they accumulate 9.7% of all Danish citations. According to this bibliometric analysis,

DFF’s citation results are thus close to the results found in DNRF’s 2013 evaluation.

Apart from the very positive overall judgement by most of the stakeholders involved

in the interview and review processes, a number of noteworthy points were raised

repeatedly in the interviews and in Panel discussions. In considering and valuing these

points appropriately, a more elaborate depiction of them is provided hereinafter. The

following assessment is based on a synthesis of such recurring themes which reflects

the Panel’s perspective and position.

4.1. Research Funding Environment

In 2013 an evaluation was conducted for the other basic research funding body in

Denmark, the DNRF. Two recommendations in the DNRF evaluation report were also

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addressed to DFF. one of them claimed that bridging the gap between small individual

and large grants in the field of humanities and social sciences is a task for DFF, not for

DNRF. Another stated that senior researchers working at DNRF Centres of Excellence

should not be placed at a disadvantage when applying for DFF grants.

Both of these

findings from the DNRF evaluation shall be picked up again in the Panel’s considera-

tions with regard to DFF. In its overall analysis the 2013 DNRF evaluation panel and

report reached the conclusion that DNRF and DFF should remain independent funding

bodies. The Panel would like to stress that it shares this position, also in view of the pre-

sent review, as it is convinced that both bodies do not fulfil mainly identical but rather

largely complementary roles.

With the observation in mind that the Danish research funding ecosystem can be

considered healthy to a large and impressive extent, no fundamental organizational

changes should be introduced for central elements of this well-functioning system.

The overall equilibrium of the Danish research funding ecosystem appears to be guar-

anteed. For DFF and some of its practices amendments may, nonetheless, be recom-

mendable. In a closer analysis it can also safely be assumed that DFF provides a num-

ber of support opportunities which are unique in type and style in Denmark. Whereas

amendments and adaptations of some parts of these instruments and lines of support

may be suggested subsequently, a generally very positive assumption has effectively

been confirmed. It is against the background of these general and some of the more

specific considerations below that the Panel is convinced that DFF should remain an

independent funding body. It should not be merged with the DNRF as it had been

discussed during the recent restructuring process which led to the establishment of

Innovation Fund Denmark (IFD) in the applied research field. This being said, adapta-

tions to further improve DFF’s role could be introduced by the relevant stakeholders.

Given these general observations, the Panel takes the position that an ‘adequateness’

of the system’s configuration can only be upheld if DFF is provided with sufficient

funds to secure the health and evolution of basic research in particular within univer-

sities and, therefore, of an important part of the Danish research system. In order to

fulfil its tasks in observing the recommendations from this report, the Panel expresses

and shares the position that funding for DFF should clearly move beyond a phase of

stagnation

; its budget should by no means be reduced. A sustainable functioning

and an appropriate equilibrium in the Danish research ecosystem’s funding oppor-

tunities should thereby be created and upheld. DFF, academia, applied research, and

society at large would be beneficiaries of an increased attribution of public funds to

investigator-initiated independent research. The Panel is in favour of such a develop-

ment. DFF could, thus, also be enabled to continuously equip Danish researchers for

successful applications in the international funding context (e. g. for funds provided by

the ERC).This is a crucial role to play in the larger research funding environment. DFF’s

supportive role in this regard is one of the expectations expressed by the ministry and

other stakeholders. Therefore, DFF should be provided with a good and reasonable

opportunity to live up to such expectations with the appropriate budgetary basis. The

implementation of some of the recommendations by the Panel will only be possible

if additional funding for DFF can be provided. The Panel suggests that this should be

Evaluation of the Danish National Research Foundation, report 2013.

See Appendix 6 on overhead policies and annual funds allocated to DFF 2004-2014.

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taken into consideration when preparations are made for the medium term budgetary

planning process at the Danish Parliament.

In the larger research system an appropriate balance should also be maintained be-

tween core funding provided to universities and respective additional project-based

funding. The Panel considers it as crucial that, in a research environment, different

actors and sources of funding are in a state of a well-calibrated and reasonably bal-

anced interplay. A strong basis of public core funding for universities is considered

an indispensable precondition for effective and successful research institutions. Third

party or project-based funding can and should not be considered a substitute for this.

In some thematic fields, in particular the bio-medical field in Denmark, a noteworthy

availability of private funds can be observed. The strong role of private foundations

and other stakeholders in this field is beneficial to the entire research system. Whereas

this could be perceived as a contradiction to the plea for strong public core funding,

particular resources in such thematic fields with this kind of strong additional funding

should nonetheless be observed and considered when a funding decision is taken by

public institutions. Eventually the most effective interplay between public institutional

support and private project-based funding should be pursued and attained. A healthy

coordination between the different support mechanisms would be desirable to this

end and could be of benefit to the entire Danish research system.

Some groups, areas, and fields of research benefit particularly strongly from the current

research support framework, whilst others are not accorded a comparable attention,

treatment, and support. As one of the latter groups the Panel has identified doctoral

students in Denmark. Their work is being remunerated with the expectation to

contribute with their academic activities not only to the Danish research but also to

the tertiary education system. Universities do, at times, struggle with the established

system of remuneration for such doctoral researchers as the cost for the positions is

relatively high and largely comparable to that of the more advanced postdoc positions.

At the same time it is mainly for the universities to fund doctoral projects from a share

of their block funding. There is currently no specific agency for individual PhD funding

in Denmark. But a strong level of support in this area is generally considered an impor-

tant precondition for a successful and sustainable research ecosystem by the Panel.

The distribution of funding within universities is also of relevance when it comes to

DFF’s support for independent researcher-initiated projects. A considerable share of

the funds granted is hereby earmarked as overhead costs. Such funds are to be used

for the general university support of the specific research initiatives. Areas of invest-

ment for these funds can among others include costs for infrastructure, instruments

and instrument usage, departmental and faculty services, or other university support.

For DFF the current percentage of overhead costs is at 44 % of the grant amount which

goes towards the projects’ direct expenses. In the Danish system the funds are attribut-

ed by the universities to the respective areas in relatively large autonomy. For the time

being, there are no specific requirements or obligations which are extended by DFF in

relation to the overhead payments. This practice leads to the situation that universities

are using the received funds in diverse and non-specified ways. The Panel generally

supports the autonomous decision-making by the respective university leadership.

But the communication about the actual use of such funds which have been raised by

the researchers and are administered by the universities should also be transparent.

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Researchers, as the initiators and primary beneficiaries of such funding, have a justified

interest to be well-informed about the current practices and regulations for the use of

that share of the overall funds. This could particularly be taken into consideration in

the communication activities of the universities themselves. A responsible autono-

mous role of and decision-making by universities should serve as a solid basis for their

work in this field and an informed attribution of overhead funds in the future.

Another major challenge for universities is to provide and maintain the infrastructure

required for internationally competitive research projects. In the more instrument-

prone sciences and research projects overhead costs often only cover a share of their

costs incurred. This can lead to the situation that highly qualified and talented research-

ers choose an alternative institution to conduct their research where access to the

relevant infrastructure can be guaranteed.

Until 2011, DFF financed part of the Danish research infrastructure. This role along

with the respective funds was transferred to the Minister who allocates the funding

upon the recommendation by the National Committee for Research Infrastructure

(NUFI). In a 2011 system-wide roadmap, 19 consensual and landmark type infrastruc-

ture projects were agreed upon by research stakeholders in Denmark. This agreement

led and still leads to the establishment of at least some of the necessary infrastructure

installations. With this roadmap in place since 2011 and excluding the investments

in the European Spallation Source (ESS), the regular infrastructure funding level has

been reduced quite considerably to approximately DKK 45 million (EUR 6 million)

per annum. Roadmap projects for research infrastructure similar to the 2011 initiative

should be made possible in the future. With the necessary funds provided to them by

the government, these could, in particular, be supported by public funding bodies like

DFF, IFD, or DNRF. They could partly provide an additional infrastructure contribu-

tion to the projects or centres which are granted by them. To this effect, an agreement

should be reached amongst the three funding institutions. At the same time, universi-

ties should not be left with the impression that infrastructure, instrument usage costs,

etc. are provided beyond their budgetary responsibility; they should rather also be

reminded of their role and basic contribution to make.

Universities with a strong profile in the technical and natural sciences can be consid-

ered to be comparatively strong acquisitors of additional funding from DFF supported

projects. This is contrasted by the fact that additional (infrastructure) costs incurred

for the conduct and completion of projects in theses disciplines are often high as well.

Scientific instruments or the charges for their use are particularly relevant for research

in such fields. Specific support mechanisms should be developed and offered for spe-

cialised research units by the public funding bodies.

The Panel considers it also important to mention that obtaining funding for research

in the humanities and the social sciences can be almost impossible if it is not provided

by a public institution like DFF or similar funding bodies with an accepted societal

role. Funding in these fields should not be reduced or negatively impacted as a con-

sequence of a more coordinated support for infrastructure cost by the public funding

bodies.

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4.2. Governance and Management

The description of DFF’s underlying structure and working procedures has shown that it

is governed in a heterogeneous design. With its Board and the subject-specific research

councils it can rely on a self-owned assessment and decision-making structure. At the

same time, the members of both the Board and the subject-specific councils are appoint-

ed by the Minister who has a number of more substantive possibilities to impact on DFF

activities in addition to this role. one of these possibilities is institutionalised through

the fact that the DFF Secretariat is based within DASTI, an agency of the ministry. This

structural layout came as a surprise to the Panel, particularly since both other public

funding bodies, DNRF and IFD, have independent administrations which are not institu-

tionally governed by the respective ministries. It appears to the Panel that this combi-

nation of various rights and competences can possibly lead to an undesired closeness

between the Ministry of Higher Education and Science on the one hand, and DFF on the

other. It is understood to be a challenge for DFF to develop its independent institutional

identity in such a setting. A stronger independence of DFF from the ministry and the

general sphere of political decision-making is considered important for its reputation as

well as for long-term effective basic research support. As described above, autonomy is

an important precondition for successful independent research support.

The Panel would like to stress that it should be guaranteed that an appropriate distance

between the two bodies is secured and clearly defined at all times. Meanwhile, a Memo-

randum of Understanding (MoU) has been agreed upon by DASTI and DFF. The MoU

came into effect on 1 April 2014 and is a good step into the proposed direction. None-

theless, the Panel takes the position that an even more meticulously defined distance

between both institutions, the Ministry and DFF, just like a perspective of complete

disintegration should seriously be considered for the future.

A clearer separation of both sides, the ministry and DFF, could contribute to raising

the necessary level of credibility for DFF in providing its support. Such clarity would

also allow for clearer and more self-conscious communication activities by DFF which

could further contribute to an accrued institutional identity.

In the absence of a well-developed communication strategy the general perception of

DFF’s work stands in no satisfactory relation to its large substantive achievements. The

Panel strongly suggests to DFF to follow an improved and future-oriented communi-

cation approach including the clear description of its role and strategy in the Danish

research system to strengthen its (external) perception and outreach. A good starting

point for this could be the recruitment of additional communication staff or consult-

ants to assist the current consultant. In this regard it would also be desirable that DFF

establishes an independent, visibly self-owned website and online presence as an

additional concrete step.

With regard to the competences and procedures for the appointment of subject-

specific council and Board members, some uncertainty has been observed among DFF

stakeholders as to which procedures are applicable. More clearly defined and commu-

nicated rules and procedures would be considered a recommendable improvement

of the status quo. The impression of an interdependence of the institutional affiliation

of council members and the share of grants provided to respective universities should

also be avoided at all times and by all means in the future to further build and preserve

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DFF’s credibility. The rules of procedure for the respective appointment processes

should, in addition to existing more general provisions in the Act on research consult-

ing, etc., ideally be laid down in a specifically designed agreement between the Min-

istry and DFF. They should, furthermore, actively be communicated to the research

community to create a clear, transparent, and unambiguous basis for any membership

decisions to come. It would be advisable to see to a good representation of researchers

from

all

relevant Danish universities (of Danish and other nationality) in the subject-

specific councils and the Board.

The overall membership of the subject-specific councils is currently composed of 75

established researchers of which 51 are male and 24 are female. of this total, 25 mem-

bers come from the University of Copenhagen, 15 from Aarhus University, 9 from the

Technical University of Denmark, 6 from the University of Southern Denmark, and 6

are international members. other universities, research institutions, hospitals or private

companies are represented with three or less members in the subject-specific councils

only.

It also seems desirable to avoid the provision of more than a maximum of two subject-

specific council chairs per university at a time. With all of this in mind, the Panel is con-

vinced that outstanding scientific competence has to remain the primary criterion for

selection which should be reflected in any possible rules of procedure, which would

define the membership situation more clearly.

The subject-specific research councils are to take action when it comes to the selection

of projects which researchers have put forward in applying for funding. All five re-

search councils cover a particular field of academia. Already this distribution of specific

applications to one ‘competent’ council can be a challenge. In addition to this, cross- or

interdisciplinary research projects are more and more commonly a part of standard

applications. The appropriate attribution of the latter projects to specific councils may

at times be extremely difficult. Therefore, a ‘matrix committee’ has been put into place

within DFF to fulfil the challenging task of an appropriate attribution. The interface

between the five councils gathered under the DFF umbrella should be further devel-

oped. The DFF Board should implement additional processes to address the challenge

of appropriately allocating and treating cross-disciplinary research proposals. The Panel

suggests that a more dynamic attribution of resources to the respective councils and/or

a more extensive use of review panels with multi-disciplinary representation could be

considered. There can be an inherent risk in the attribution of specific research propos-

als as well: Some of the projects may have their strengths in fields which do not lie in

the sphere of highest expertise of the respective council designated for their review.

Some may have their strength in the cross-/inter-disciplinarity aspects as such.

Different researchers will regularly have differing views on individual research propos-

als. This is a difficulty and a general challenge which is inherent to all selection pro-

cesses for research funding. In the case of DFF it should be clarified in which way the

selection procedures differ for different subject-specific councils. It is of highest impor-

tance that applicants are well informed and aware of any such differences. The Panel

concludes that it could be reconsidered if the current format with five subject-specific

councils, which researchers regularly still perceive as independent entities, responds

appropriately to the more recent and upcoming academic developments. The Panel

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recommends that the shape and disciplinary fields of the five research councils should

at regular intervals of 5 or 6 years be adapted in accordance with the prevalent dynam-

ics of science and scholarship.

For the majority of DFF funding instruments the selection of research projects through

the subject-specific councils has increasingly been supported through external peer

review throughout the last years. This may be the case in the form of individual re-

views or through review panels. The expertise provided by external academic experts

is to support the funding decisions eventually taken by the councils. The number of

panels varies from three to eight for the respective subject-specific councils. Panels and

reviewers are selected before the applicants and applications are known. For applica-

tions of council members themselves, it is of utmost importance that external reviews

continue to be regularly conducted.

Applying researchers and other stakeholders should be well-informed of the respec-

tive practices and procedures through an appropriate level of communication. The

level of inclusion of external reviewers in selection processes should be high. The

practice in this regard should be consistent. The Panel recommends that only postdoc

grant reviews should be excluded from this approach. Their selection should ideally

be conducted in a process involving personal presentations and interviews in order to

appropriately respond to their early career stage.

After selection processes have been completed, rejected applicants should as a rule be

provided with the opportunity to inquire about an elaboration of the reasons for the

negative decision of DFF with regard to their respective research proposal, in addition

to the formal rejection letter. This is considered of high relevance by the Panel in order

to guarantee an appropriate degree of feedback and transparency of DFF. Wherever

this does not yet exist, the Panel suggests that a standard procedure should be intro-

duced to provide the applicants with constructive feedback which can subsequently

benefit their career development. An appropriate level of transparency should be

maintained at any time with regard to the selection procedures and results. It is also

considered useful to include the transparent and open communication of overall selec-

tion statistics. This could be in the form of anonymous lists indicating the respective

funding benchmark which had to be surpassed to successfully obtain funding.

In a general observation, the Panel points to the fact that the level of rejected applica-

tions in the DFF selection process is very high. At present success rates for obtaining

one of DFF’s grants range at approximately 15 %. on the one hand, the high level of

rejections may form some of the basis for the high quality of projects selected and

supported. on the other hand, the same rejection rate can become a burden to and

even hinder excellent researchers to invest the necessary effort to draft and submit a

research proposal, as they may consider their chances too low to even invest in such

efforts. The rate can form too high a threshold to be surmounted by applicants already

in the initiation phase of an application. The Panel recommends that DFF should

pursue the ambition to increase the number of successful grant applications to a level

slightly above 20%. This aim can only be achieved if a sufficient (and increasing) level

of funding for DFF is provided by the government.

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4.3. DFF’s Funding Practice

As an important result of the evaluation the Panel would like to emphasise that many

of DFF’s overall efforts, the level of intensity of the work conducted by researchers

serving as members of subject-specific research councils, just like the many high

quality selections completed are extremely laudable. DFF’s work and effort in those re-

gards merit the highest recognition. The outstanding role of DFF with its quality-driven

review of independent investigator-initiated project proposals in the Danish research

funding ecosystem should be upheld by all means. To be selected for DFF funding

is generally regarded as an important step in successful Danish research careers. A

positive selection is considered to be a ‘quality stamp’. The Panel observes that this

is widely accepted and highly appreciated throughout the academic community in

Denmark, and it shares this view with great emphasis.

A particular field of importance for the overall Danish academic landscape is that there

is a sufficient breadth and availability of support mechanisms addressed to radically

innovative research in the basic research field. For the development of academia such

ideas are of fundamental relevance. They can serve as a stimulus for new perspectives

and even new or adapted fields of research to emerge. The Panel recommends that

a specific ‘small grants’ funding instrument could be introduced to support high risk

proposals and radically new and possibly daring ideas. It should be considered to allow

that applications for this type of small-scale funding can be transmitted in a simplified

process and be possible even prior to proof of concept. Such a line of support could

ideally turn out to become a cradle for fundamentally new thought and approaches

leading the way into an emerging field of research with great potential for the future.

This future will be shaped and influenced by the young and aspiring research talents. A

particularly important time for young researchers to evolve and take crucial steps in their

careers often occurs after the completion of the second postdoctoral stage. It is regularly

also at this point that obtaining a grant becomes a decisive self-owned responsibility of

the young researchers. DFF’s support at this stage can be a crucial asset for the continua-

tion of an individually successful academic career. DFF’s responsibility includes to avoid

suggesting future perspectives to those researchers, who have not attained a sufficient

proficiency in their work at such a point. With this responsibility in mind, high quality

and substance-driven review and evaluation of project proposals should come to their

fullest and most thorough application like in all other selection procedures. Funding

decisions taken by DFF in this individually important phase of professional evolution

can eventually have an impact on aspiring researchers’ professional careers and personal

lives. The sound attribution of funds can also benefit the overall evolution of the Danish

research ecosystem.

In relation and in addition to this, the Panel recommends that utmost priority should

be attributed to the support of highest quality researcher-initiated projects, particularly

for applicants who are early in their career, including assistant professors in disciplines

where the assistant professorship is obtained after several years as a postdoc. Still at

this level it can be considered that funding and, in particular, career and tenure per-

spectives are fundamental for the researchers’ professional and personal evolution. A

research grant concept which is notably directed towards individual researchers should

be further developed and strengthened for this stage.

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DFF’s support is provided via different funding instruments. The Sapere Aude pro-

gramme is at the centre of activities. With the introduction of this instrument the

Council has been able to underline its far-sight and vision in performing its designated

role. It should be an ambition for the future to keep this well-diversified funding pro-

gramme at the core of DFF’s funding activity. At the same time, further improvements

and refinements to the design of Sapere Aude should remain a central interest of DFF.

Sapere Aude step 3 grants are often made to established researchers with numer-

ous funding options at hand (e. g. from DNRF or ERC). The funding line is directed at

researchers at a full professorship level with the qualifications to lead a research team

according to the highest international standards. Given DFF’s limited overall funds, the

extent to which such a support is provided should be considered with great caution.

This is true in both a general sense and with regard to the funds available to DFF as the

Sapere Aude step 3 level offers the highest volume of support which DFF provides.

With their financial volume and structure, the Sapere Aude step 2 grants offer the pos-

sibility of being transformed into a more flexible funding line. The grants are directed at

researchers who are ready to lead their own research team, but who have not necessar-

ily attained professorship level yet. Their adaptation could serve to better support entry

level professorships, to create tenure opportunities, and to further the development

of sustainable academic careers. Already at an early stage, this type of support should

closely be coordinated with universities in the respective selection and support process.

Such inclusiveness would favour the well-founded effectivity of this type of support. An

opportunity may be created to develop an endowment and/or tenure option together

with the respective universities. This should be dependent on the university’s ability to

contribute with additional (third party) funding. Such a programme line could serve as

an alley of securing the sustainability of DFF’s support for those researchers who had

previously initiated projects of highest quality beyond DFF support. Flexibilisation of

this kind would depend on DFF’s initiation and the universities’ readiness as well as

activity in attracting third party funding or allocating other resources to the continuation

of initially DFF-funded researchers and projects. Through such an approach, researchers

could ideally be helped to longer-term, more reliable, and sustainable funding. Strength-

ened possibilities inter alia for female researchers could additionally be included in such

a scheme. The Panel takes the position that this should be applied and would be helpful,

in particular, for young researchers who may not have reached a full professorship level

yet.

In more general terms, the Panel would like to suggest that a review of the duration of

funding periods should be considered. Longer-term funding for a period of up to five

years can favour risk-taking. This, for its part, can be the basis for a successful evolution

of the entire research ecosystem. Researchers could, thereby, be enabled to pursue

their respective projects in a focused manner without the obligation to prepare new

funding proposals at short intervals. Any more general extension of funding periods

should be linked to the requirement of an additional consultative stage for the respec-

tive research projects. A ‘mid-term’ status symposium or an international research

conference could serve this purpose. By introducing such an obligation, for which addi-

In 2013 the average grant size of Sapere Aude step 3 grants was at approximately DKK 11.3 million com-

pared to DKK 6.7 million for Sapere Aude step 2 grants, and DKK 9.1 million for stage 3 Research Projects.

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tional funding should be provided as part of an initially granted budget, grant holders

would be encouraged to reconsider and improve the quality of their work.

Longer-term more reliable funding will as a rule have to be based on intense consulta-

tion and collaboration with the potentially affected universities. An active exchange

with them already during the selection process should be considered an important

precondition for success. Such an exchange could serve a better understanding of their

capacity and willingness to host respective research projects and to cover additional

costs which may potentially be arising. This type of funding could eventually become

a flagship funding line offered by DFF. At the same time, a clear differentiation from the

DNRF funding of research centres should be maintained. This is of particular impor-

tance as a considerable similarity between them and the Sapere Aude step 3 grants

can already be observed. An amendment of the Sapere Aude funding instrument as

described could also serve as a cornerstone for an independent communication strat-

egy and activity by DFF. The Panel is convinced that it could not only in this regard be

beneficial for DFF’s role in the Danish system.

4.4. Specific Areas of Consideration

As part of its funding activities, DFF is confronted with some inherent challenges in

areas which are of concern to most research environments. The Panel would like to

emphasise that in such spheres even the best programmes of funding institutions can

only be successful with a correlating mind-set at all levels of the wider research system.

DFF’s role can only be that of an indirect contributor to the resolution of this type of

issues. This is notably the case for questions relating to the gender ratio just like to

mobility in the Danish research community.

With regard to female representation in Danish academia a scissor diagram can be ob-

served: From the first entry into tertiary education up to higher level positions female

and male participation is reversed. The Panel takes the position that the gender ratio

in Danish research does not live up to reasonable expectations. This is in particular the

case for senior level research positions. The Panel, therefore, recommends that DFF

should actively attempt to contribute to a shift away from this status within its dedi-

cated realm. Stronger, more flexible, and better integrated support for female research-

ers is strongly recommended at all levels of DFF funding and in the Danish research

system at large. This particularly holds true for mobility requirements DFF may formu-

late and which should always encapsulate flexible support mechanisms for family and

living situations of the grant holders. one of the responses DFF has already introduced

in this regard is the current YDUN funding line which is only offered once. In itself

YDUN cannot be considered to be a sufficient answer to this fundamental problem.

But it is laudable that this project has been initiated by DFF. At the same time, the

Panel considers it as insufficient and even misleading that this programme is designed

as a one-year initiative only. In the pursuit of gender equality in academia, DFF should,

first and foremost, focus on an integrated approach. This should probably also include

a critical consideration of its own structures: The gender ratio in the current composi-

tion of its subject-specific research councils with only 24 female members – not even

one third of the overall membership of 75 – stands exemplary for the systemic deficit,

but should be critically addressed nonetheless.

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The already mentioned mobility questions form another of the inherent fields DFF

is regularly confronted with in its activities. Mobility forms part of many modern life-

styles and it can, in particular, be beneficial to academic careers. Especially early stage

mobility is considered an important precondition for research success. In view of the

available data and the researchers’ statements, the overall level of mobility within the

Danish research environment appears to be relatively low. This is true for both national

and international mobility. While national mobility may at times be hindered inter alia

by the requirement of specific research infrastructure only available at some Danish

universities, a certain extent of mobility should be required for all younger research-

ers supported by DFF. The existing MoBILEx programme should be strengthened and

stronger, more flexible mobility incentives should be introduced as part of the other

funding instruments by DFF. In the future it should be expected from postdocs to

change institutions in Denmark at least once, and to spend a part of their postdoc time

abroad. DFF’s mobility support should, ideally, be increased for both outgoing and

incoming researchers.

Mobility should not generally be considered a burden but an opportunity for research-

ers. This perception should be helped by an ameliorated awareness and an appropriate,

sensible, and flexible response to well-founded personal needs, ties, and responsibili-

ties (i.e. in particular family situations). The Panel considers international exchange for

and within the Danish research community as an important contributing factor to its

further successful evolution in the future.

In consideration of DFF’s already strong focus on supporting young researchers and

early career development, specific steps should be taken to maintain and further

strengthen this focus areaw in DFF’s work. As a concrete step towards better accom-

modating the needs of younger researchers in particular, the Panel recommends the

introduction of annual or at least biannual postdoc meetings. Such meetings assem-

bling the entirety of DFF-supported postdocs could serve to enable and stimulate the

young researchers’ feedback and exchange with DFF. They would also form a good

basis for an active dialogue between the young researchers about their support from

DFF and other relevant aspects of their activities. Besides increased incentives for

researchers’ mobility, this could constitute a valuable and concrete step to strengthen

ties in a national and international research environment which could be an important

precondition for continuous research success in the future.

4.5. Advisory Role

In comparison to DFF’s main role in research funding, its advisory function is consid-

ered by the Panel a minor component of DFF’s work. This does not imply that DFF

should exclusively be restricted to its funding responsibilities and actions. on the

contrary, it can constitute a coherent measure and a natural part of DFF’s efforts to

promote its work, e. g. through research-related advice. In general it appears reasonable

to maintain a sound level of interaction with the relevant stakeholders in the research

and research funding fields. At the same time, the Panel takes the position that the

role of providing research policy advice does not per se constitute a part of DFF’s main

tasks and competences. In reference to the Act on research consulting etc. in its most

recent form, the Panel acknowledges that research policy advice can be requested by

the Minister when required, but shall not form a general core activity of DFF’s work.

This is particularly assumed to be the case as the recently established Danish Council

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for Research and Innovation Policy (DCRIP) was specifically mandated to provide

advice in policy matters.

The Panel assumes that the latest figures of approximately 500 advisory tasks taken

on by DFF both in 2012 and 2013 include a broad range of basic services which are not

considered to be part of complex advisory functions but rather take the form of

e. g. nominations for members of scientific review panels etc. DFF should by no means

be kept from the pursuit of its own interests and their presentation in the relevant

environment. The Panel, therefore, recommends that a clearer differentiation between

merely scientific and activity-related services versus actual in-depth advisory engage-

ments should be achieved. The dividing line between research consultancy and policy

advice should also be continuously observed by DFF. The Panel suggests that a clear

interpretation of its advisory role should also be communicated by DFF vis-à-vis

researchers and the public at large. Strengths and competences in this specific advisory

field attributed to DFF could therein also be described and emphasised more clearly.

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5. Recommendations by

the Evaluation Panel

The Danish Council for Independent Research (DFF) plays a key role in the Danish re-

search funding system. Basic research funding for projects and fellowships is a prereq-

uisite for a successful and dynamic research ecosystem as well as a thriving economy.

In Denmark DFF is the only public funding agency that provides such support.

A particularly important aspect of the role of DFF in the Danish research funding space

is that it supports research talent in a broad range of research fields at various stages

of their career. The high quality standard of the projects and fellowships supported by

DFF is widely recognised and highly accepted in the Danish academic landscape. To be

selected by DFF is considered to be a ‘quality stamp’ which can be of great relevance

for successful academic careers in Denmark.

The bibliometric study which demonstrates the higher citation impact of publications

resulting from DFF funded projects in an already very good general research environ-

ment confirms this perception. Denmark contributes an overall high quality output

of academic work. The country’s strong research community not only sets standards

in relative terms but is a strong challenger in the European academic environment in

absolute terms.

The high level and high quality of publicly funded basic research is an important

condition for maintaining and continuing to improve the position of Denmark on the

European science, research, and innovation scene. The more focused funding instru-

ments used by DFF today are suitable for the Danish requirements. The number of

instruments was successfully reduced in a gradual review of the former up to 48 lines

of funding.

DFF serves as an important catalyst of academic success and notably provides good

conditions for younger research talent to further develop their careers. The Panel

considers the contribution of DFF to the career development of younger promising re-

searchers to be a crucial aspect of DFF’s work. Whereas most of the recommendations

that follow are addressed to DFF, some are directed towards the Danish Government,

Danish universities, and the Danish research system at large.

5.1. Recommendations Addressed to the Danish Government and

Parliament

The competences required and procedures used for the appointment of the sub-

ject-specific research council and Board members should be more clearly defined.

The process should be laid down in a specifically designed agreement between

the Ministry and DFF to avoid any concerns in this regard in the future.

DFF should remain an independent funding body. It should not be merged with

the Danish National Research Foundation (DNRF) as had been discussed during

the recent restructuring process which led to the establishment of Innovation

Fund Denmark (IFD) in the applied research field. For independent research, nota-

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bly for some of its specific thematic areas like the social sciences and the humani-

ties where alternative sources of funding are very few, a public support mecha-

nism taking into consideration proposals for all types and sizes of basic research

projects is a fundamental necessity. In this role DFF develops a ‘science base’ and

thus provides the solid foundations for the effectiveness of other funding mecha-

nisms like the DNRF, or the European Research Council (ERC) targeted to serve

researchers at more advanced career stages.

Support of unusual and innovative

projects can be an important source for progress and future developments in aca-

demia, applied research, and society at large. By supporting high quality independ-

ent research at early career stages, DFF provides an invaluable contribution to the

‘health’ of the Danish research ecosystem.

The DFF Secretariat is currently based within the Ministry of Higher Education

and Science. This combined with the Minister’s authority inter alia with regard to

the appointment of members of the subject-specific councils and the Board could

lead to a problematic closeness between the Ministry and DFF. While the current

structural set-up came as a surprise to the Panel (particularly since both DNRF

and IFD have administrations which are entirely detached from their respective

ministries), it appears to be a satisfactory modus operandi. Nevertheless, the Panel

considers it important to ensure that an appropriate distance between the two

bodies is defined and maintained at all times. A Memorandum of Understand-

ing between DASTI and DFF to this effect has entered into force on 1 April 2014,

which is a good step in the right direction. An even more clearly defined distance

between the two organisations and the possibility for complete disintegration

should be seriously considered in the future. Related communication activities by

DFF could contribute to an accrued institutional identity which would be desir-

able and could only benefit its role and its cause in which autonomy is closely

linked to credibility.

DFF should be provided with sufficient funds to secure the health and develop-

ment of the Danish research system. In order to fulfil the tasks recommended by

the Panel, the funding allocated to DFF should move beyond its current phase of

stagnation. DFF’s budget should by no means be reduced. DFF, academia, applied

research, and society at large would benefit from an increased attribution of public

funds to independent research. An increase of funding would not only have posi-

tive effects for the development of Danish academia, but it would also enable DFF

to equip researchers with the skills and competencies necessary for success in the

international funding context, e. g. for funds provided by the ERC. Furthermore, an

enlarged budgetary basis would support DFF in a desirable and recommended ef-

fort to increase the number of successful grant applications to a level of at least 20

% which is viewed internationally as the minimum level for an effective funding

system.

An appropriate balance between core funding for universities and third party

or project-based funding ought to be maintained. It is crucial that in a research

environment different actors and sources of funding are in a state of a well-cali-

brated and reasonably balanced interplay. A strong basis of public core funding

for universities is a precondition for effective and successful research and research

institutions. Third party or project-based funding should not be considered a

substitution, but its prevalence and particular availability for some areas (like the

See Evaluation of the Danish National Research Foundation, report, 2013.

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bio-medical field in Denmark) should nonetheless be taken into consideration for

the distribution of public resources.

5.2. Recommendations Addressed to DFF

a. DFF’s Position in a Future Research System

The outstanding role of DFF with its quality-driven review of independent

researcher-initiated project proposals should be upheld. The ‘quality stamp’ that

research funding from DFF provides to researchers is seen as an important step

in successful Danish academic and research careers. This is broadly accepted and

highly appreciated by the academic community in Denmark and should be main-

tained.

The underlying concept of DFF funding activities 1) to aim at the selection of

high quality independent researcher-initiated projects, 2) to ensure that the grant

recipients are provided with a strong degree of freedom in a high-trust research

environment just like 3) the ambition to provide for well-measured basic research

support at all post PhD levels is as successful as important for the Danish research

ecosystem and must be upheld.

DFF’s already strong focus on supporting young researchers and early career de-

velopment should be further strengthened in order to contribute to a sustainable

development of fundamental research and academia in Denmark.

b. Governance and Management of DFF

The level of rejected applications in the DFF selection process is very high. At pre-

sent success rates for obtaining one of its grants range at approximately 15%. While

this can be considered as a contributing factor for the high quality of projects se-

lected and supported, it can also constitute too high a threshold to be surmounted

by applicants. This can discourage the range and quality of the research proposals

submitted. DFF should address this issue and work towards an improved situation

in this regard.

10.

The interface between the five subject-specific councils gathered under the DFF

umbrella ought to be improved. New devices and processes to address the chal-

lenge of appropriately allocating and treating cross-disciplinary research proposals

should be developed by the Board on top of the existing mechanisms. The ‘matrix

committee’ for inter-disciplinary selection is a first constructive step to address

this challenge. Further steps could be a more dynamic attribution of resources to

the respective council and/or a more extensive use of review panels with multi-

disciplinary representation. It should also be clarified, if the selection procedures

are the same for all five subject-specific councils and/or in which way they differ

purposefully and in response to possible specific disciplinary requirements. The

shape and disciplinary fields of the subject-specific councils should reflect the

dynamics of science and scholarship.

11.

The advisory role of DFF should be reconsidered: While it is a coherent measure

and part of DFF’s efforts to promote its work with research-related advice and while

it appears reasonable to maintain a sound level of interaction with the relevant

stakeholders in this field, the role of providing research policy advice does not

per se form part of its prescribed competences as set out by the Act on research

consulting etc. in its most recent version. Research policy advice can be requested

by the Minister when required, but should not form a general core activity of DFF’s

work. This is not to say that DFF should be kept from the pursuit of its own inter-

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ests and their presentation in any way. But a clear differentiation between scientific

or science-related services and an actual in-depth advisory role should be achieved.

This should also be reflected in a clear communication strategy vis-à-vis researchers

and the general public which would be welcomed by the Panel.

c. DFF Funding Instruments

12.

With the design of the Sapere Aude programme DFF has underlined its far-sight

and vision in performing its designated role. The needs-oriented, well-diversified

instrument should remain at the core of DFF’s funding activity. In order to further

develop this already strong funding programme, some of the recommendations

below are directed towards it and should be considered specifically for refining the

Sapere Aude instrument of support.

13.

An important time for young researchers to evolve and take crucial steps in their

careers is after the completion of the second postdoc stage. obtaining support

from DFF at this point can be a crucial asset for the continuation of an individually

successful academic career just like it can benefit the overall evolution of the Dan-

ish research ecosystem. An appropriately high number of postdocs is considered a

vital basis for a strong research landscape. Particular attention should, therefore, be

accredited to this field of support.

14.

It should, in relation and in addition to this, be of the highest priority that high

quality researcher-initiated projects are supported in particular for those research-

ers who are early in their career, including assistant professors in disciplines where

the assistant professorship is obtained after several years as a postdoc. A research

grant concept notably directed towards individual researchers should be strength-

ened for this career level. Furthermore, the Panel considers as advisable the intro-

duction of new incentives for tenure options as part of the respective higher level

funding instruments like Sapere Aude step 2 and 3 grants.

15.

A review of the duration of funding periods should generally be considered.

Longer-term funding for a period of up to five years can favour more risk-taking

just like it can allow for researchers to pursue their respective projects in a focused

manner without the detraction caused by the preparation of new funding propos-

als at short intervals. A ‘mid-term’ status symposium or international research con-

ference could in this case be required of the researcher to prove the quality of the

work conducted. Additional funding for organising and hosting such a mid-term

symposium/research conference should be provided as part of an initially granted

budget.

16.

For longer-term more reliable funding, it will be important to involve and con-

sult the potentially affected universities during the second stage of the selection

process in order to have a good understanding of their capacity and willingness to

host respective research projects and to cover potentially arising additional costs.

This type of funding could eventually be considered and communicated as being

a flagship funding line by DFF. The clear differentiation from DNRF funding of re-

search centres (CoEs) should be maintained; especially as a considerable similarity

between them and the Sapere Aude step 3 grants can be observed.

17.

Sapere Aude step 3 grants are often granted to established researchers with numer-

ous funding options (e. g. from DNRF or ERC) at hand. Given DFF’s limited overall

funds, the extent of providing such support should be considered with great cau-

tion. At the same time, Sapere Aude step 2 grants could be amended to become

a more flexible funding line with strengthened possibilities inter alia for female

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researchers and extended funding periods. This adaptation could serve to better

support entry level professorships and the development of sustainable academic

careers. In order to guarantee the well-founded effectivity of this type of support,

universities should be included in the respective selection and support process

already at an early stage. An endowment/tenure option may be offered as an alley

of securing the sustainability of such support if the conducted research is deemed

to be of highest quality and the respective universities are able to contribute with

additional (third party) funding.

18.

It is of utmost importance for the overall Danish academic landscape to support

radically innovative research in a fundamental research environment. Risk-taking

by researchers may be inspired by opening up more reliable funding options as

described above. It may particularly be stimulated by a specific ‘small grants’ fund-

ing instrument introduced to support high risk proposals and radically new and

possibly daring ideas (even before proof of concept).

19.

Early stage mobility is considered an important precondition for research success.

In view of the available data and the researchers’ statements, the overall level of

mobility within the Danish research environment (nationally and internation-

ally) appears to be relatively low. This should be counteracted by strengthening

the existing MoBILEx programme and by introducing stronger and more flexible

mobility incentives as part of the other funding instruments provided by DFF. It

should in the future be expected from postdocs to change institutions in Denmark

at least once and to spend a part of their postdoc time abroad. Both outgoing and

incoming researchers should benefit from an increased mobility support. Family

and other well-founded matters of personal concern should be taken into consid-

eration in order to be able to respond to them in a sensible and flexible manner.

d. Transparency and Conflict of Interest Policy

20.

Several stakeholders expressed their concern that there could be a correlation

between the institutional affiliation of the subject-specific council members and

the share of grants provided to respective universities. This would have a strong

negative effect on the legitimacy of DFF and measures to correct it should be

introduced. The Panel believes that one such measure is to ensure a good repre-

sentation of researchers from all Danish universities and to avoid the provision

of more than a maximum of two subject-specific council chairs per university at

a time. Nevertheless, outstanding scientific competence has to remain the main

criterion for selection.

21.

It remains unclear, what policy is being followed with regard to the increasing

inclusion of external reviewers in the application review processes. There should

be a consistent and well-communicated practice with a strong involvement of

external reviewers for proposals submitted. only postdoc grant reviews should be

excluded from this approach; they should ideally be selected in a process involv-

ing personal presentations and interviews in order to appropriately respond to

their early career stage.

22.

To guarantee an appropriate degree of transparency, applicants should as a rule

be provided with the opportunity to inquire about the reasons for the (negative)

decision of DFF with regard to their research proposal, in addition to the formal

rejection letter. Wherever this does not yet exist, a standard procedure should be

introduced to serve a constructive feedback which can subsequently benefit the

further career development and considerations of the principal investigators (PIs).

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An appropriate level of transparency must be maintained at any time; this includes

the transparent and open communication of overall selection statistics (e. g. in an

anonymous list format indicating the funding benchmark).

e. Communication and External Perception

23.

Many of DFF’s overall efforts, the level of intensity of the work conducted by

researchers serving as members of subject-specific councils, just like the many

high quality selections completed are laudable. This work merits the highest rec-

ognition. In the absence of a well-developed communication strategy the general

understanding and perception of DFF’s work stand in no satisfactory relation to its

substantively founded large achievements. The Panel strongly suggests for DFF to

follow an improved and future-oriented communication approach including the

clear description of its strategy and role in the Danish research system to strength-

en its (external) perception and outreach.

24.

The introduction of annual or at least biannual postdoc meetings within DFF

should be considered to enable and stimulate the young researchers’ feedback and

exchange with DFF just like an exchange with their peers.

5.3. Recommendations Addressed to Universities

25.

There is currently no specific agency for PhD funding in Denmark. Funding for

doctoral projects is mainly distributed by universities from a share of their block

funding previously earmarked for this purpose. A strong level of support in this

area is an important precondition for a successful and sustainable research ecosys-

tem.

26.

In the current funding layout there is no requirement for universities to report

with regard to their actual use of the currently 44 % overhead costs regularly

taken off the funding granted to individual PIs in order to support the institutions.

While the clear and concise regulation and communication of the attribution and

distribution of these funds within the universities to their faculties, departments,

staff etc. would be desired, it is primarily for them to establish and guarantee this

internally in an ‘efficiency through autonomy’ approach.

27.

Across Europe one of the major challenges for universities is to provide and

maintain the infrastructure required for highest level research projects. Universities

cannot be expected to carry the sole responsibility for infrastructure costs. They

should rather be supported by other public funding sources and, in particular, bod-

ies like DFF, IFD or DNRF as well as the funds allocated by the Minister on the rec-

ommendation from NUFI (cf. recommendation no. 31 below). Notwithstanding

this responsibility of the wider Danish research system, infrastructure coverage,

especially instrument usage costs, should to an appropriate extent be provided by

universities in making use of their basic funding and additional resources for this

purpose.

28.

The variance of what level of contributions universities can secure in additional

funding to add to DFF grants is considerable. At least those universities aiming to

be top research institutions should aspire to reach out to a multitude of funding

sources and broadly diversified support alleys. This should notably include inter-

national and European funding opportunities (e. g. the ERC) for which DFF aims to

stimulate a high success rate among its (former) grantees.

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5.4. Recommendations Addressed to the Wider Danish Research System

29.

The gender ratio in Danish research does not live up to reasonable expectations.

This holds true in particular for senior level research positions. With regard to the

development of female participation in higher education and research, a scis-

sor diagram can be observed, encapsulating the fact that from the first entry into

tertiary education up to higher level positions in academia the ratio of female and

male representation is reversed. Stronger, more flexible, and better integrated sup-

port for female researchers is strongly recommended at all levels of DFF funding

and in the Danish research system at large; the one-year YDUN funding line is no

sufficient answer to this fundamental problem. Even the best funding programme

in support of gender equality can only be successful with the correlating mind-set

at all levels of the wider research system.

30.

Mobility should not generally be considered a burden but an opportunity for

researchers as it forms part of many modern lifestyles and it can, in particular, be

beneficial for academic careers. An awareness and appropriate response to well-

founded personal needs, ties, and responsibilities (i.e. in particular family situa-

tions) should be observed in order to allow for sensible and appropriately flexible

responses.

31.

In a 2011 roadmap, 19 consensual and landmark type infrastructure projects

were agreed. The current regular infrastructure funding level has been reduced to

approximately DKK 45 million (EUR 6 million) per annum (excluding the invest-

ments in ESS); this is no more than a drop in an academic ocean. In particular

experimental and instrument-prone research, where overhead costs are generally

considered to range at a level beyond 100% of the actual research project’s cost, are

confronted with serious challenges. This is especially the case when its researchers

collect a very high amount in grant money. Costs should partly be covered, if and

in as far as required for the projects supported, by the three current Danish public

funding bodies (cf. recommendation no. 27 above) in accordance with an over-

arching agreement to be established between them.

32.

A general awareness for the high variance of universities’ potential and abilities to

generate additional co- and third party funding should be maintained. Universities

with a strong profile in the technical and natural sciences can generally be consid-

ered to stand good chances in the acquisition of additional funding to help con-

duct DFF supported projects. At the same time, the additional (infrastructure) costs

incurred for the conduct and completion of research projects in these disciplines

is often high due to the regular need for expensive instruments or the charges for

their use. on the other hand, it should not be neglected that funding for research

in the social sciences and the humanities can be nearly impossible to obtain, if it

is not provided by a public council for basic research like DFF or similar general

funding bodies directed towards a long-term benefit for society.

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Appendix 1: Members of the

Evaluation Panel

Dr. Wilhelm Krull, Secretary General of the Volkswagen Foundation, Hanover,

Germany (Chair).

Dr. Suzanne Fortier, Principal and Vice-Chancellor of McGill University, Former Presi-

dent of the Natural Sciences and Engineering Research Council of Canada, Montreal,

Canada.

Dr. Maria Nedeva, Professor of Science and Innovation Dynamics and Policy, the

University of Manchester, The United Kingdom.

Dr. Christoph Kratky, Professor at the Institute of Molecular Biosciences at University

of Graz, Former President of the Austrian Science Fund, Austria.

Dr. Andreas Seidel-Morgenstern, Director of Department of ‘Physical and Chemical

Foundations of Process Engineering’ at Max Planck Institute (MPI) for Dynamics of

Complex Technical Systems in Magdeburg, Germany.

Dr. Peter Nijkamp, Professor in Regional Economics and in Economic Geography,

Faculty of Economics, Free University, Amsterdam, The Netherlands, President Gov-

erning Board Netherlands Research Council (NWo), The Netherlands, Former Presi-

dent of the European Heads of Research Councils (EURoHoRCS).

Academic Secretary

Jonas Burgheim, Former Member of Staff at Volkswagen Foundation, Hanover, Ger-

many, Programme officer – Policy and Projects, United Nations, Geneva, Switzerland.

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Appendix 2: Documentation

Available to the Panel

Documentation Provided by the Danish Ministry of Higher Education and Science

—

Note, Introduction to the Danish Research and Innovation System, 2014

Note, Supplementary comments to the DFF self-evaluation, by the Ministry of

Higher Education and Science, 2014

Abstract: Evaluation of the Advisory and Funding System for Research, 2009

Evaluation of the Danish National Research Foundation (including bibliometric

analyses), 2013

Danish Roadmap for Research Infrastructure, 2011

Comparing Research at Nordic Universities using Bibliometric Indicators, 2014

Note on the distribution of block funding for universities, 2014

Note on DASTI funding of research infrastructure, 2014

The National Committee for Research Infrastructure

Memorandum of understanding on the Danish Agency for Science, Technology

and Innovation’s secretariat services for the Danish Council for Independent

Research (DASTI’s services to DFF), 2014

—

ERAC Peer-review of the Danish Research and innovation system, 2012

Press-release regarding the Danish Council for Research and Innovation Policy,

2014

Note on Innovation Fund Denmark – board appointed, 2014

Fostering breakthrough research: A comparative study, 2012

Research and Innovation Country profile Denmark, 2013

General overview of the public support system for research and innovation, 2014

Act on research consulting, etc.

Note on researchers’ mobility, 2014.

Documentation provided by DFF

—

DFF Self-evaluation report, 2014

Note on Number of advisory tasks, 2014

Note and examples on feedback to rejected applicants (mainly postdoc), 2014

Note on criteria and procedures for appointing members of DFF, including list of

council members distributed on the 8 universities, 2014

Note on DFF coordination activities in relation to other bodies (mainly DNRF

and Innovation foundation), 2014

Note on DFF outreach and communication activities, 2014

Binding guidelines on disqualification in respect of the practice of the funding

function by the Danish Councils for Independent Research and the Danish Coun-

cil for Strategic Research, 2007

—

Note on selection procedures in DFF, 2014

Note on use of International peer review in DFF, 2014.

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Statistics:

—

Distribution on institutional type (number of grants, applications, applied

amount, amount awarded)

Cross council applications

Applications and grants distributed on instruments and gender

Age distribution on success rates

Success rates for Danish Universities in DFF

Danish Universities performance in FP7

Statistical preparedness (including a more detailed division of each university’s

external funding).

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Appendix 3: Interview Partners

of the Evaluation Panel

Aarhus University

—

Berit Eika: Pro-Rector, Professor

Johnny Laursen: Dean, Arts, Professor

Niels Chr. Nielsen: Dean, Science and Technology, Professor

Allan Flyvbjerg: Dean, Health, Professor

Svend Hylleberg: Dean, School of Business and Social Sciences, Professor

Mikkel Thorup: Associate Professor, Arts

Kim Daasbjerg: Professor (WSR), Science and Technology

Lis Wollesen De Jonge: Professor (WSR), Science and Technology

Marianne Simonsen: Professor, School of Business and Social Sciences

Søren Riis Paludan: Professor (WSR), Health

Signe Normand, Assistant Professor, Science and Technology

Nikolaj Zinner, Associate Professor, Science and Technology

Francesco Violante, Assistant Professor, School of Business and Social Sciences

Nina Kerting Iversen, Assistant Professor, Health

Kasper Green Krejberg, Postdoc, Comparative Literature.

Aalborg University

—

Per Michael Johansen: Rector

Eskild Holm Nielsen: Dean, Faculty of Engineering and Science

Kim Dremstrup: Head of Department, Daculty of Medicine

Hanne Kathrine Krogstrup: Dean, Faculty of Social Sciences

Lone Dirckinck-Holmfeld: Dean, Faculty of Humanities

Petar Popovski: Professor (WSR), Faculty of Engineering and Science

ole Kæseler Andersen: Professor, Faculty of Medicine

Poul Duedahl: Professor (WSR), Faculty of Social Sciences

Peter Stein Larsen: Professor, Faculty of Humanities

Marie Frederiksen, Postdoc, Faculty of Engineering and Science

Afshin Samani, Assistant Professor, Faculty of Medicine

Morten Frederiksen, Postdoc, Faculty of Social Sciences

Christian Ydesen, Assistant Professor, Faculty of Humanities.

University of Southern Denmark

—

Bjarne G. Sørensen: Pro-rector and appointed University Director ad interim

Henrik Pedersen: Dean Faculty of Science, Professor

ole Skøtt: Dean, Faculty of Health Sciences

Nicolai Malchow-Møller: Faculty of Business and Social Sciences, Professor,

Head of Department

Horst-Günther Rubahn: Dean, Faculty of Engineering, Professor

Simon Møberg Torp: Dean, Faculty of Humanities

Jeppe Kristensen: Project manager, SDU Grants office

Nina Dietz Legind: Professor (WSR), Department of Law

Susanne Mandrup: Professor, Department of Biochemistry and Molecular Biology

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—

Nils J. Færgeman: Professor, Department of Biochemistry and Molecular Biology

Michael Bregnsbo: Associate Professor, Department of History

Gisela Hostenkamp: Postdoc, Department of Business and Economics

Luciana Tavares: Postdoc, Mads Clausens Institute, (Mechatronics).

University of Copenhagen

—

Ralf Hemmingsen: Rector, Professor, Chair of Universities Denmark

Thomas Bjørnholm: Prorector for Research and Innovation, Professor

Ian David Hickson: Professor, Faculty of Health and Medical Sciences

Morten Michelsen: Associate Professor, Faculty of Humanities

Anna Vind: Professor (WSR), Faculty of Theology

Vibe Garf Ulfbeck: Professor, Faculty of Law

Karen Lund Petersen: Associate Professor, Faculty of Social Sciences

Tuomas oskari Kilpeläinen: Assistant professor, Faculty of Health and Medical

Sciences

Karen Asta Arnfred Vallgårda: Assistant professor, Faculty of Humanities

Maria Elisabeth Engell Jessen: Postdoc, Faculty of Theology

Louise Victoria Johansen: Postdoc, Faculty of Law

Tone Roald: Assistant professor, Faculty of Social Sciences

Lars Behrendt: Postdoc, Faculty of Science.

Technical University of Copenhagen

—

Henrik C. Wegener: Provost, professor, Executive Vice President

Claus Henrik Andersen: Head of Department, Research and Relations

Ib Chorkendorff: Professor, DTU Physics, Department of Physics

Birte Svensson: Professor, DTU Systems Biology, Department of Systems Biology

Jan Henrik Ardenkjær-Larsen: Honorary Professor, DTU Elektro, Department of

Electrical Engineering

Søren Hauberg: Postdoc, Department of Applied Mathematics and Computer

Science Cognitive Systems

Starrlight Augustine: Postdoc, DTU Aqua, National Institute of Aquatic Resources,

Centre for ocean Life

Marie Lund Traulsen: Postdoc, DTU Energy Conversion, Department of Energy

Conversion and Storage.

IT University of Copenhagen

—

Jørgen Staunstrup, Pro-rector

Rasmus Pagh, Professor, Theoretical Computer Science.

Roskilde University

—

Hanne Leth Andersen, Rector

Peter Kjær, Pro-Rector

Kim Christian Schrøder, Professor, Communication, Journalism and Social Changes

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—

Peter Westh, Professor, Nature, Systems and Models / Chemistry

Garbi Schmidt, Professor (MSo), Intercultural Studies / Culture and Identity.

Copenhagen Business School

—

Alan Irwin, Dean of Research

Susana Borras, Head of Department of Business and Politics

Peter Møllgaard, Head of Department of Economics

Christian Borch, Professor, Department of Management, Politics and Philosophy

Eva Boxenbaum, Professor, Department of organization

Jimmy Martinez Correa, Assistant Professor, Department of Economics

Jens Dick-Nielsen, Associate Professor, Department of Finance.

Additional interview partners

—

Jens Maaløe, President and CEo, Terma A/S, Chair of the Research Committee

of the Confederation of Danish Industries, Vice Chair of Innovation Foundation

Denmark (and Chair by 1 January 2015)

—

Jens oddershede, Professor, dr.scient, Department of Physics, Chemistry and

Pharmacy, University of Southern Denmark, Chair of Danish Council for Research

and Innovation Policy, former Rector of University of Southern Denmark, former

Chair of Universities Denmark (the confederation of the eight Danish Universi-

ties)

—

Peter Kurtzhals, Chair of Research Policy Committee of Danish Association of the

Pharmaceutical Industry

Jesper Allerup, Chief consultant of Confederation of Danish Industries.

Danish National Research Foundation

—

Thomas Sinkjær, Director of The Danish National Research Foundation, Univer-

sity of Copenhagen.

Private foundations

—

Flemming Besenbacher, Chairman of the Board of Directors at Carlsberg A/S and

the Carlsberg Foundation

Birgitte Nauntofte, Executive Director of the Novo Nordisk Foundation

Anne-Marie Engel, Director of Research at Lundbeck Foundation

Henrik Tronier, Head of Programme (Humanities) at Velux Foundation

Lars Arnskov olsen, Senior adviser (Natural science, technology, agricultural sci-

ence) at Villum Foundation

Anders Hede, Head of Research at Tryg Foundation

Peter olesen, former Chair of Strategic Research Council, Chair of European Insti-

tute of Innovation and Technology (EIT).

Former Chairs of the Board of DFF

—

Jens Christian Djurhuus, functioning chair 2007-2012

Nina Smith, functioning chair 2004-2007.

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DFF

—

Frederik Tygstrup, Chair of DFF| Humanities, Associate Professor

Kell Mortensen, Chair of DFF| Natural Sciences, Professor

Hans Christian Kongsted, Chair of DFF| Social Sciences, Professor

Niels Borregaard, Chair of DFF| Medical Sciences, Clinical Professor

ole Thybo Thomsen, Chair of DFF| Technology and Production Sciences,

Professor

Peter Munk Christiansen, Chair of the Board of DFF

Merete Fredholm, Vice-chair of the Board of DFF

Grete Kladakis, Head of the DFF secretariat.

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Appendix 4: SWOT-Analysis

by DFF

Strengths

—

Excellence criteria and bottom up approach

Covers all areas of research

Promotes the conditions for independent research at national and international

level

Strengthens the growth layer in research

Assures the development of new ideas

Capacity to handle cross-disciplinarity

Strong research advisory services to Government etc.

opportunities

—

Further strengthening of bottom up research and excellence

Strengthening of long-term thinking and planning in research policy

Promoting basic research as a prerequisite for innovation

Dialogue with research institutions about optimizing institutional interplay in

Danish research policy

Strengthening internationalisation of Danish research

Active participant in Danish research debate at elite as well as popular level.

Weaknesses

—

Declining success rates increase probability of risk aversion

Coherence between the five scientific councils

Are we good enough at incorporating new research fields

Follow-up on completed research projects.

Threats

—

Lack of visibility and understanding in the political system

Too little political support for the need for long-term investment in frontier re-

The view on Council members’ applications

Vulnerability in future financing.

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Appendix 5: Bibliometric

Analyses of Publications by

Grantees of DFF

The Bibliometric Analyses of Publications by Grantees of DFF can be downloaded

from the website of the Ministry of Higher Education and Science:

ufm.dk/dff-bibliometric-analyses

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Appendix 6: Overhead Policies

DFF grants include funding of indirect expenses which are necessary to enable the

research institutions to provide the framework that the researchers need for carrying

out their projects. The indirect expenses – in the form of overhead – help to cover the

institutions’ normal joint expenses for rent, premises, administration, etc.

overhead is calculated as a fixed percentage share of the amount that has been award-

ed for the direct expenses of the project. The applicable overhead rates are dependent

on the institution type (see Table A6.1 below).

Table A6.1

Rate of overhead in grants from the Danish Council for Independent Research

(percent)

Type of institution

Public research institutions (universities and sector research institutions)

Semi-public research institutions

Public hospitals

State authorized museums

Private enterprises, foreign institutions etc.

Source: The Danish Agency for Science, Technology and Innovation

Overhead rate

44.0 %

20.0 %

3.1 %

0.0 %

In 2006, the Danish Government announced its intentions that an increased share

of the public research funds should be distributed through nationwide competition,

rather than through the basic grants to the universities. Another objective was that the

competitive research funds should cover the total expenses incurred by the institu-

tions in relation to the research activities. on the basis of this, the Danish Parliament

carried out a funding reform in 2008-2009, which aimed to establish a clearer division

of responsibilities between the research councils and research institutions. This reform

entailed a sharper division between the research councils’ grant distributions and the

basic funding channelled to the research institutions. While DFF previously supported

projects with supplementary funding from the institutions, the Council has since 2009

been required to cover the full project expenses.

The full financing of indirect expenses was secured by increasing DFF’s overhead rate

for public research institutions, from the previous 20 per cent to 35 per cent in 2008,

and subsequently to the current rate of 44 per cent in 2009. The public research institu-

tions include the universities, which receive and administer the majority of the grants

distributed by DFF. Thus, in 2013 93 per cent of the total amount distributed by DFF

went to public research institutions. Figure A6.1 illustrates the annual funds including

overhead expenditures allocated to DFF between 2004 and 2014.

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Figure A6.1

Annual funds allocated to the Danish Council for Independent Research under the

Danish Finance Act, 2004-2014 (DKK million)

1,600

1,400

1,200

1,000

800

600

400

200

2004

2005

2006

2007

2008

2009

2010

2011

2012

2013

2014

Source: The Danish Agency for Science, Technology and Innovation

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