alignment at trans-regional level: case study no.2 bonus ...cooperative, interdisciplinary and...

hhh

AlignmentatTrans-RegionalLevel:CaseStudyNo.2

BONUSProgramme

CaseStudyNo.2,ERALEARN2020Task4.4

1

AlignmentatTrans-RegionalLevel

CaseStudyNo.2–BONUSProgramme

Disseminationlevel:WiderpublicPreparedby:ItalianMinistryofEducation,UniversityandResearch(MIUR)

Contributors:INRA,UNIMAN,AIT


2

ABSTRACT

ThejointBalticSearesearchanddevelopmentprogramme(BONUS)whichwaslaunchedundertheArticle185of

theTreatyon theFunctioningof theEuropeanUnionasa strategic,multi-annual joint researchundertakingof

eightBalticMemberStates

TheProgrammehascreatedamacroregionalcollaborationofresearchandinnovationfundinginstitutionsthat

supports sustainable development of the Baltic Sea ecosystem services. Its purpose is to overcome research

fragmentationandduplicationbyintegratingnationalprogrammesintoasinglecentrallymanagedprogramme

ThestudyhighlightstheArticle185’smanybenefits.BONUShasenabledparticipatingcountriestoachievestrong

alignmentatstrategicandoperationallevels,thanksto:

(i) theelaborationofacommonvisionandDevelopingaStrategicResearchAgenda;

(ii) theimprovementofaresearchcapacityacrossEuropethankstojointtrainingandcapacity

buildingactivitiesforparticipatingresearchersandthesharingofnationalresearch

infrastructures;

(iii) abettervisibilityanddisseminationofresearchdataatEuropeanandinternationallevel;

(iv) theincreaseofcrossbordercooperationwithvariousEuropeaninitiativesintheBalticregionand

cooperationwithnon-EuropeanCountries.

Yet, the BONUS programme has also been confronted with: (i) a weak financial integration with financial

administratedwithinavirtualcommonpotratherthanarealcommonpot(ii)thelowparticipationofsmalland

mediumenterprises.

ACKNOWLEDGEMENTS

The case study builds on the ERALEARN2020 Task 4.3 (“Alignment at Trans-Regional Level”), and relies on an

analysisofexistingandpotentialmodalitiesforaligningnational/regionalactivities.

The case study has been written by Luisa Garofalo from the Ministero dell’Istruzione, dell’Università e della

Ricerca(MIUR).The author is grateful toAndris Andrusaitis(BONUSProgrammeManager),UlrichWolf (National

BONUSContactPointforGermany)andJoachimHarms(GermanMemberofBONUSSteeringCommittee)fortheir

useful inputs. She would also like to thank the ERA-LEARN Consortium partners and Advisory Board for their

usefulsuggestionsonearlierdraftsofthiscasestudy.


3

Tableofcontents

1. Introduction.....................................................................................................................................................4

2. KeyfeaturesofBonus......................................................................................................................................4

2.1 Overview.................................................................................................................................................4

2.2 Missionandactivities..............................................................................................................................6

2.3 Governancestructure..............................................................................................................................7

2.4 Theimplementationphase.....................................................................................................................8

3. Overallstrengthsandkeyachievementsofprogramme................................................................................9

3.1 Alignmentat strategic level:Crossbordercooperationandsynergieswith initiativesatEU level, in

particularEUSBSR..............................................................................................................................................10

3.2 Alignmentatstrategiclevel:CrossbordercooperationandsynergieswithJPIsOceans.....................11

3.3 Alignmentatstrategiclevel:Conductofjointstakeholderconsultation.............................................12

3.4 Alignment at operational level: Contribution towards increasing collaborationwith Russian funding

agencies.............................................................................................................................................................12

3.5 Alignmentatoperationallevel:Jointuseofresearchinfrastructures.................................................13

3.6 Alignmentatoperational level:Strategiestostrengthenhumancapacity-building in interdisciplinary

scienceandscience-basedmanagement..........................................................................................................14

3.7 Alignmentatoperationallevel:Developdedicateddisseminationinstrumentsforeffectiveimpacton

end-user............................................................................................................................................................14

4. Overalllimitationsanddifficultiesencounteredduringimplementation.....................................................15

4.1 Progressinmanagerialandfinancialintegration..................................................................................15

4.2 LowParticipationofSME......................................................................................................................17

5. Conclusions:Suitabilityandkeyfactorsofsuccess.......................................................................................18

REFERENCES..........................................................................................................................................................19

ANNEX1.BONUSOBJECTIVES...............................................................................................................................21

ANNEX2.THEMESCALLEDFORBONUSCALL2015:BLUEBALTIC........................................................................22


4

1. Introduction

Thiscasestudyexaminesthekeyfeaturesandoverallstrengthsandweaknessesofaspecificalignmentmodality,

namelytheArticle185Initiative/EuropeanBONUSasthehighestlevelofformalizedintegration(intheEuropean

ResearchArea.ImplementingArticle185impliesthattheparticipatingEUMemberStatesintegrate(ratherthan

simplycoordinate)theirresearcheffortsbydefiningandcommittingthemselvestoajointresearchprogramme,

in which the European Community promotes the voluntary integration of scientific, managerial and financial

aspects.

AccordingtotheTypologyofAlignment,theArticle185instrumentisusedduringtheresearchimplementation

phaseinviewofestablishingastrategic,long-termandintegratedEuropeanresearchprogramme.Themodality

of this alignment is focused on the operational and strategic levels, and involvesmany actors in the research

programmingcycle (policymakers,scientist, researchfundingagencies,performingorganisations,and individual

researchers).

TheprogrammeplaysanimportantroleinEurope’seffortstodesignandpromotediverseandoftenconflicting

sectorsofblueeconomyandalignthemwithsocietalgoalsincludinggoodenvironmentalstatusofourseas.

Toensure that expansionof theblueeconomy truly increaseswelfare, itmust go alongwith the fundamental

principlesformulatedintheEurope2020strategy:growthmustbesmart,sustainableandinclusive;smartwith

respecttointegrationofcuttingedgescience-based,innovativesolutionsandindustrialleadership,sustainablein

economic, social and ecological terms tackling societal challenges and inclusive considering the multitude of

coastal,marineandmaritimeactivitiesandtrade-offsbetweenthem.

ThegeneralobjectivesforBONUScorrespondtothosedefinedbyArticle185,whichseekstointegratenational

researchprogrammesandasaconsequencerequiresintegrationatthreelevels:

1. Managerialintegrationsuchasmanagementbyadedicatedimplementationstructure(DIS);

2. Scientific integration by the establishment of central programming and a common excellence-based

evaluation

3. Financialintegrationwhichmaybeachievedthrougha'commonpot'thatpoolsParticipatingStates’and

EUfundsandcommonfundingrules;

These objectives towards financial, managerial and scientific integration seek to move towards a European

ResearchArea,whichwillovercomeproblemsoffragmentationinresearch.

2. KeyfeaturesofBonus

2.1 Overview

The joint Baltic Sea research and development programme (BONUS) for years 2010-2017, was started by the

BONUSmemberstates1togetherwiththeEUandofficiallylaunchedinSeptember2010.

Ithasbeendecidedbyaco-decisionprocedureoftheEuropeanParliamentandtheCouncilasaTreatyonthe

Functioning of the EuropeanUnion (TFEU) Article 185 activity and it is the first European strategy targeting a

particularmacro-region.2

Since its inception in 2007, BONUShasbuilt a unique,macroregional collaborationof research and innovation

fundinginstitutionsthatsupportssustainabledevelopmentoftheBalticSeaecosystemservicesthroughresearch

and innovation. BONUS is considered an EU-widepioneer in creating amacroregional governancenetwork for

researchand innovationanda forerunner in testingmanyof theprinciplesnow implemented inHorizon2020

1

Denmark, Germany, Estonia, Latvia, Lithuania, Poland, Finland and Sweden (the Participating States) defined in the Decision No

862/2010/EUoftheEuropeanParliamentandoftheCouncilof22September2010ontheparticipationoftheUnioninaJointBalticSea

ResearchandDevelopmentProgramme(BONUS)undertakenbyseveralMemberStates.2

InApril2011EuropeanCounciladoptedtheStrategyoftheDanubeRegionasthesecondmacro-regionalstrategyoftheEU.


5

such as pursuing challenge-oriented interdisciplinary research, bringing closer science and innovation and

involvingstakeholdersacrossmultitudeofsectorsinallphasesoftheprogramme.

Itsmainaim is toovercome research fragmentationby integratingnationalprogrammes intoa single centrally

managedprogrammewhichwillmoreeffectivelyprovidesolutionssupportingsustainabledevelopment,effective

andlong-termmanagementandpolicythatis 'fit-for-purpose'andbasedonsoundscientificknowledgederived

frommultidisciplinary research. Indeed,, theprogramme seeks toextend theparticipation todifferent funding

institutions.

Ithasalsobeenforeseenthat funding institutions intheRussianFederationandotherthirdcountries (thatare

notparticipatinginBONUSnorareEUmemberstatesorassociatedtoEU’sHorizon2020Programme)maysup-

porttheirnationalprojectparticipantsintheBONUSprogrammethroughseparateagreements.

TheexperienceofitstwopredecessorsERA-NET3andERA-NETPlus(BONUS+)4hasinfluencedthedefinitionandimplementationoftheBONUSprogramme.

Indeed,itwasestablishedintwophases:aninitialstrategicphaseandafullyoperationalimplementationphase.BONUSwasthefirstArticle185initiativetoincludeastrategicphasetoenablethedevelopmentoftheStrategicResearchAgenda5thatlinksterrestrial,coastalandmarineecosystemsandtheirresponsetobothdevelopment

pressuresandeffectsofclimatechange,modalitiesandstructuresinadvanceoftheimplementationphase.

Thisinitialphasehasbeenessentialandithasallowedatransitionwherestakeholderscanbeengagedtojointly

developandsupportthescientificprogrammereflectedintheStrategicResearchAgenda.6

Thestrategicphasewaseffectiveinenablingthenecessaryformulationofthemodalitiesandfundingrateswithin

the framework of the mandate provided by the legislative decision. This is effective in providing a clear

frameworkwithinwhichtheprogrammemustproceed.

The strategic phase started in June 2010 and the implementationphase, lasting at least five years, started inOctober2012asaEUR100million jointundertakingofeightBalticMemberStateswiththesupportoftheEU.

The total funding amount comprises an EU contribution not exceeding EUR 50 million matched by an equal

amountofcontributionsoftheParticipatingStates.

3

The initial BONUSERA-NET (BONUS for theBaltic Sea Science–Networkof FundingAgencies)was supportedby the 6th Framework

Programme of the EU with a total funding of EUR 3 million between 2003 and 2008. This project brought the key research funding

organisationsfromallEUBalticMemberStatesandRussiatogetherforthefirsttime.Theprojectconsortiumcomprisedelevenfunding

agencies,aresearch instituteandtwointernationalorganisations.BONUSERA-NETaimedtoestablishanetworkandpartnershipofkey

agenciesfundingresearchtodeepentheunderstandingneededforscience-basedmanagementofenvironmentalissueswithintheBaltic

Sea. The BONUS ERA-NET did not fund research projects, but aimed at enhancing cooperation between the national research funding

organisationswithavisiontocreateaJointBalticSeaResearchandDevelopmentProgrammetofundresearch.

4

BONUS+testedthemechanismsofcollaborationamongthenationalfundinginstitutionswithatotalof16projectsfundedforEUR22

millionandinvolvingover100researchinstitutesanduniversities.Currentlythereare21nationalfundinginstitutionsinvolvedinBONUS

either as members (10 funders) or associated through specific co-financing agreements (11 funders). Based on their mandates, these

includebasicresearch(8funders)andinnovationfunders(8funders),aswellasthoseabletofundbothtypesofresearch(5funders)5

SRAidentifiesgapsinourcurrentscientificknowledgeortechnologicalbaseandinferfromtheseresearchprioritiesandneeds.Theytend

tobeforward-lookingastheyprovidealistoffutureresearchtopicswhichareofparticularrelevance.6

https://www.bonusportal.org/files/1246/Publication_No._12_SRA.pdf


6

Figure1:DevelopmentofBONUS

2.2 Missionandactivities

TheBONUSresearchanddevelopmentprogrammeaimstofacilitategenerationoffit-for-purposeknowledgeand

know-hownecessarytoovercomethemajorenvironmentalandkeysocietalchallengeswhichtheBalticSea

regionfacesandwillfaceinthecomingyears7.Theseeffortsaimtoensureultimatelythelong-termsustainability

oftheBalticSeaecosystemservices.Inordertoachievethis,BONUSworkstoimprovetheefficiencyand

effectivenessoftheBalticSearegion‘sresearchprogrammingbyintegratingtheresearchactivitiesintoadurable,

cooperative,interdisciplinaryandfocusedmulti-nationalprogramme. BONUSrespondstotheEU’sgrowthandjobsstrategybyimplementingmanyprinciplesoftheEUHorizon2020

(2014-2020)bye.g.pursuingchallenge-orientedinterdisciplinaryresearch,bringingcloserscienceandinnovation

andinvolvingstakeholdersacrossmultitudeofsectorsinallphasesoftheprogramme.

All the activities carried out are focused on themain aim of BONUS: namely to respond to the unsustainable

situation througha strongcooperationacross the regionandconsolidate the joint researcheffortonamacro-

regionallevel.

Fosteringsuchaimispossiblethroughcollaborationwithintheso-called‘triplehelix’inwhichacademia,industry

andpolicyconstitutethethreehelicesandworktogether.Theneedforsustainabilitysolutionsarisesfromsociety

and involves a major potential, which is capable of triggering emergence of globally leading research and

developmentnetworksandhubsbasedonmarketandbusiness-demand.

TheBONUSstrategicresearchagenda2011–2017 ispolicy-drivenandservesas thebasis foramultidisciplinary

andtransnationalresearchprogrammeinsupportofknowledge-baseddecision-makingandlong-termsolutions

beneficialtotheBalticSearegion.ThemesandactivitiesoftheBONUSasdefinedinthestrategicresearchagenda

arelinkedandarisefromfivemutuallyinterlinkedstrategicobjectives:

1. UnderstandingtheBalticSeaecosystemstructureandfunctioning

2. MeetingthemultifacetedchallengesinlinkingtheBalticSeawithitscoastandcatchmentarea

3. Enhancingsustainableuseofcoastalandmarinegoodsandservices

4. Improvingthecapabilitiesofthesocietytorespondtothecurrentandfuturechallengesdirectedtothe

BalticSearegion

7

There aremany challenges to ensure the sustainable useof theBaltic Sea,which require comprehensiveunderstandingof the inter-

relationshipsamongterrestrial,coastalandmarinecomponentsoftheBalticecosystemaswellastheeconomic,socialandenvironmental

effectsofinteractionsamonghumanactivities.


7

5. Developing improved and innovative observation and data management systems, tools and

methodologiesformarineinformationneedsintheBalticSearegion.

2.3 Governancestructure

The programme is managed by a dedicated implementation structure (DIS), the BONUS European Economic

Interest Grouping (EEIG) and its Secretariat, located in Helsinki and established by the key national funding

institutionsfromalleightBalticSeaEUmemberstates.Theprogrammegovernancestructureincludes:

ü Steering Committee composed of representatives of national funding institutions as the highest

authority of the BONUS EEIG, forming its decisionmaking body and board governing the Secretariat;

SteeringCommittee’s ExecutiveCommittee is formedby the current chair, vice-chair and theprevious

chair.Thechairmanshiprotatesandchanges1Julyofeachyear.

ü SecretariatasthemanagementbodyimplementingtheSteeringCommittee’sdecisionsanditisfunded

bythememberfeesandtheFinnishMinistryofEducation.TheSecretariatalsodrawsvaluablesupportfromthemembersoftheBONUSAdvisoryBoard,theForumoftheProjectCoordinatorsandthenationalcontactpointsnetwork.

ü AdvisoryBoardconsistingofscientistsofhighinternationalstandingandrepresentativesofrelevantkeystakeholders. It assists by providing independent advice, guidance and recommendations regarding

scientificandpolicy-relatedissuesofBONUS.

ü ForumofProjectCoordinatorsiscomposedofcoordinatorsofongoingprojectsfundedthroughBONUS.

ItassiststheSecretariatinmattersdealingwiththescientificcoordinationofBONUS.

ü Forumof sector research: it isabespokeplatformand itbrings together representativesofministries

and governmental institutions working on marine and maritime related issues in the Baltic Sea

countries8.

ThelawdefinestheForumasfollows:

“AForumofSectorResearch(abodyofrepresentativesfromministriesandotheractorsdealingwith

BalticSeaSystemresearchandgovernance)shallbeestablishedasapermanentbodyinsupportof

BONUSandberesponsiblefordiscussingitsplanning,outcomesandemergingresearchneedsfrom

thedecision-makingperspective.”TheForumshall facilitateandadvancethepan-Baltic integration

of research, including the joint use and planning of infrastructure capacities, assist in highlighting

research needs, advance the utilization of the research results and facilitate the integration of

researchfunding.

“The Forum of Sector Research shall be composed of representatives from ministries and other

actors dealingwith Baltic Sea System research and governance. It shall convene once a year as a

consultationmeetingthatdiscussestheoutcomesofBONUSandemergingresearchneedsfromthe

decision-makingperspective. It shall serveas the forumforadvancing thepan-Baltic integrationof

research, including relevant sectorially-funded research and the use and planning of joint

infrastructures”.

8

According to the EU Parliament and Council codecision (OJ 30.9.2010, L 256/1) one of the three key objectives of the

BONUS Strategic Phase is to establish stakeholder platforms, through which the relevant stakeholders would be able to

contributetothedevelopmentoftheBONUSProgramme.


8

Figure2:FundingdistributionbytheBONUScalls

Source:BONUSwebsite

2.4 Theimplementationphase

Theimplementationphaseisthecoreoftheprogramme.Itsfocusisthelaunch,evaluationandmanagementof

callsforproposals.TheplanningandcontentofcallsareformulatedonthebasisoftheStrategicResearchAgenda

with reference to relevant policies, in consultation with the Commission, National Funding Institutions and

stakeholders to address the strategic objectives of BONUS research.9 They reflect the operational objective to

launchatleastthreecross-thematicstrategicmulti-partnerjointcallsunderlinedintheDecisionNo.862/2010/EU

(SeeAnnex1)

TheProgrammehasdefinedaholistic integratedapproachandan inter-disciplinaryscientific researchstrategy,

which addresses both environmental and socio-economic issues and has well-functioning interfaces between

science and policy. This requires close transnational collaboration between research communities and well-

functioninginterfacesbetweenscienceandpolicy.

Thisholistic approachand thenecessity toenhance the innovationandnotonly the research isevident in the

BONUScalls.Bonushasimplementedalreadythreecalls,BONUS+call2007withintheERA-NET+,andcalls2012(“Viable Ecosystem” and “Innovation

10”) and call 2014 (“Sustainable Ecosystem Services”) and call 2015 (Blue

Baltic)withinArticle185.At present, 28 research or innovation projects have been selected and are ongoing. The start of the BONUSinnovationprojectsmarkedahistoricalmomentforBONUS.Thismeansthatthescientificknowledgeisbeingput

into practice in real world applications and typically tested in a live environment using a prototype or pilot

installation. As intended, the introduction of the innovation track into the BONUS project portfolio brought a

numberofenterprisestotakepartintheprojects.

9

BONUS,PolicyFrameworkAnalysisintheFieldsrelevanttotheBONUSprogramme.PublicationNo.13,March2013

10

Innovation contributes to supporting a sustainable "Blue Economy" in line with the objectives of the Commission

Communication "Blue Growth opportunities for marine and maritime sustainable growth” and the specific reference to

BONUSmadewithintheStaffWorkingDocument"ASustainableBlueGrowthAgendafortheBalticSeaRegion".


9

ThefundingfortheprojectsoftheBONUScalls2012and2014constitutes57%ofthetotalfundingofEUR100

million reserved for implementing the BONUS programme. Together with the EUR 30 million funding of the

BONUScall2015:BlueBaltic,thiswillamounttonearly90%ofthefundingavailableintheprogramme.

Figure3:FundingdistributionbytheBONUScalls

Source:BONUSannualreview2015

3. Overallstrengthsandkeyachievementsofprogramme

BONUScallsrequireresearchthatlinkssciencewithrelevantEUpolicies,whichareinlinewithobjectivesdefined

by theBONUSDecision. There is a clear understandingwithinBONUS that the researchhas tobe relevant to"Science forabetter futureof theBalticSeaRegion"11 todeservesupport.Thecooperationand thesynergieswithvariousEuropeaninitiativesrepresenttheparticularvalueoftheBONUSprogramme.

Sincesigningin1974theConventionontheProtectionoftheEnvironmentoftheBalticSeaAreaavastnumber

of other Baltic Sea regional collaborations with relevance to sustainability have also emerged. BONUS works

closelywithandcontributes toanumberofkeyEuropean, regionalandnationalprogrammes includingawide

arrayofdifferentactorsonvaryinglevelsandcapacities.

Thetwocentralintergovernmentalorganisationsoftheregion:HELCOM12andVisionsandStrategiesaroundthe

BalticSea(knownasVASAB)13leadtogetherthedevelopmentofcoherentmaritimespatialplanningoftheBaltic

Sea.

The cooperation between BONUS and HELCOM is unique, because their fields of expertise encompass both

environmentalpolicyandresearch,whichprovidesafruitfulgroundforpolicy-relevantresearchanddialogue.

Inparallel,aconsiderablenumberofnetworksandcollaborations, suchas theCouncilof theBalticSeaStates(CBSS),BalticSeaParliamentaryConference(BSPC),BalticSeaStatessubregionalCooperation(BSSSC),Baltic11

http://www.bonusportal.org/files/3275/BONUS_brochure_2014.pdf

12

BalticMarineEnvironmentprotectioncommissionisthegoverningbodyoftheConventionontheProtectionoftheMarineEnvironment

of the Baltic Sea Area, known as theHelsinki Convention. The Contracting Parties areDenmark, Estonia, the EuropeanUnion, Finland,

Germany,Latvia,Lithuania,Poland,RussiaandSweden.ItdefinedtheBalticSeaActionPlan(BSAP)wasadoptedin2007bynineBalticSeacoastalstatesasanambitiouscooperativeactionprogrammeundertheauspicesofHELCOM.TheHELCOMBalticSeaActionPlanaimsat

establishinggoodenvironmentalstatusintheBalticSeaby2021thusservingasapilotprojectundertheEUMarineStrategyFramework

Directive.ProgressinimplementingtheBalticSeaActionPlanhasbeenreviewedandcommitmenttoitsgoalsendorsedintwosuccessive

BalticSeaMinisterialMeetingsof2010(Moscow)and2013(Copenhagen).13

VisionsandStrategiesaroundtheBalticSea(VASAB)establishedin1992,isanintergovernmentalforumforcooperationofministers

responsibleforspatialplanninganddevelopmentaroundtheBalticSea.In2009,VASABministersadoptedtheLongTermPerspectivefor

theTerritorialDevelopmentof theBalticSeaRegion.VASABcooperatescloselywithHELCOM, forexample, through the jointHELCOM-

VASABWorkingGrouponMaritimeSpatialPlanningthatwascreatedin2010


10

SeaForum,BalticDevelopmentForum(BDF)andBalticSeaActionGrouphavebeenestablished,allaimingat

facilitatingtheimplementationoftheenvironmentalandsustainabilityobjectives.

ThemainbodyforfacilitatingregionalcooperationandnetworkingistheForumofProjectCoordinatorsthatacts

as the core organ for the scientific coordination of the Programme. The Forum serves as a main platform

facilitatingcross-projectcollaborationandpromotingclusteringamongprojectsanditsroleistocollectfurther

informationonoutcomes that are systematically gatheredby stakeholders suchasHELCOM, ICES,VASABand

otherorganisationsconcernedwithBONUS.TheannualBONUSconferenceintegratedwiththebiennialBalticSea

Science Conference will be crucial for revealing further the need for scientifically valid answers to ensure

sustainabledeliveryofecosystemservicesfromthesea.

3.1 Alignment at strategic level: Cross border cooperation and synergies with initiatives at EU level, inparticularEUSBSR

In itseffortstobroadenthecooperationwithvariousregional initiatives,BONUStriedtoaligntotheEuropeanUnionStrategyfortheBalticSeaRegion(EUSBSR)14

BoththeEUSBSRandBONUSsharethesametargetofbuildingprosperityoftheBalticSearegionandthiscanbe

donebybettercooperationandmoreefficientuseofnewknowledgeandcoordinationoffunding.

AligningthefundinginthecontextoftheEUSBSRbecomespossiblewhentheobjectivesoftheEUSBSRcoincide

withtheoneorseveralofthethemesderivedfromstrategicobjectivesincludedintheBONUSstrategicresearch

agenda15.Withintheongoingfundingscheme(BONUSprogramme2012-2017),agoodexampleofthealignment

andcoordinationoffundingistheBONUScall2012:Innovation.ThiswasorganisedincollaborationwiththeEUSBSRflagshipproject‘BSRStars’andbroughtinnovationfunding

agencies of the participating countries to a joint funding cooperation. A total of 13 innovation projects now

implementtheobjectivescommonforboththeEUSBSRandBONUSandcoverthreekeythemesoftheBONUS

strategicresearchagendawiththeco-fundingby13differentfundingagenciesintheeightBalticSeastatesand

theEU’sSeventhProgrammeforresearch,technologicaldevelopmentanddemonstration.

CollaborationwithBONUSisagreatopportunity.Itenablesustocombinethetools,clustersandstructuretobedevelopedviaourBSRStars tomatch thecalls tobeopened inBONUS,andviceversa.Thereareseveralthemes of mutual interest, such as ICT services, ecoinnovation, and observation and data managementtechnologies)16.

Inthiscontext,itisworthmentioningthattheInnovationcallarrangedincollaborationwiththeEUStrategyfor

the Baltic Sea Region flagship project 'BSR Stars' strongly encourages applicants to seek BSRP funding in

collaborationwithpartnersapplyingfor fundingundertheBONUScalls inorderto facilitateexploitationof the

researchresults.

The support of BONUS towards delivery of the EUSBSR and overcoming regional fragmentation of Baltic Sea

research is evident. Additional synergies have been established by means of information exchange and

cooperation between BONUS and the Baltic Sea Region programme and to ensure an active regional science

policydialoguewithinforasuchastheAnnualForaoftheEUSBSR.WithinthisforumBONUShasorganisedjoint

14

TheEuropeanUnionStrategyfortheBalticSeaRegion(EUSBSR) is thefirstmacro-regionalstrategy inEurope. Itaimsatreinforcing

cooperation within this large region in order to face several challenges by working together as well as promoting a more balanced

development in the area. The Strategywas approved by the European Council in 2009 following a communication from the European

Commission. In this respect, it provides an integrated framework for improving the environmental condition of the sea, transport

bottlenecks and energy interconnections as well as facilitating the development of competitive markets across borders and common

networksforresearchandinnovation15

EightoutofthefifteenpriorityareasareclearlywithinthescopeofBONUS(1,2,3,4,5,9,13and14)whilepriorityarea7,exploiting

the fullpotentialof theregion inresearchand innovation is, fullyalignedwiththecoreobjectiveofBONUSto“integratetheBalticSea

system research into a durable, cooperative, interdisciplinary, well integrated and focusedmultinational programme in support of the

region’s sustainabledevelopment” (BONUS,2010). Inaddition to these fifteenpriorityareas, theEUStrategy for theBalticSeaRegion

foreseesanumberofhorizontalcross-cuttingactionsthatarevitalforimplementingthestrategy.

16

KarinNygårdSkalman,ProgrammeManagerofBSRStars,VINNOVA,Sweden


11

sessionswith relevantEUSBSRarea coordinators (suchas theCBSSBaltic-2117),workshops (suchason science

andknowledge).Alsocloselinkshavebeenestablishedbetweenthe10thBalticSeaScienceCongressandthe6th

EUSBSRAnnualForum(in2015).Ensuringthisdialoguelinkscommonvaluesandaimswhicharefoundedupon

soundscientificevidenceandcommunicatedwithineffectivestakeholderplatformstomaximisemacro-regional

effortstowardsaclean,prosperousandsustainableBalticSea.18

3.2 Alignmentatstrategiclevel:CrossbordercooperationandsynergieswithJPIsOceans

BONUS is also in synergy with and complement within geographic and thematic scope of the key strategic

objectivesJointProgrammingInitiative(JPI)‘HealthyandProductiveSeasandOceans’19.

The possibilities for alignment between the strategic umbrella of JPI Oceans and the Article 185 BONUS

programmeareofremarkableimportanceandthishasbeenrecognisedbytheirgoverningbodies.Tothisend,

and in view of the necessity forMember States to optimize resources andmaximize synergy, in 2015 a Joint

WorkingGroupwasestablishedbytheBONUSSteeringCommittee (BONUSSC)andtheManagementBoardof

thejointprogramminginitiative"Healthyandproductiveseasandoceans"(JPIOCEANSMB)consistingofasubset

ofMembersoftheJPIOCEANSMBandtheBONUSSC.Thegroupisjointlychairedandwithtermsofreference

agreedbybothgoverningbodies.Thisworkinggroupwillberesponsibleforaligningthestrategicresearchand

innovation agendas of both programmes and developing concrete mechanisms of coordinating their

implementation plans, also considering other relevant Joint Programming Initiatives, such as the JPI on

Agriculture,FoodsecurityandClimateChangeandtheJPIWaterchallengesforachangingworld.Theactivitiesof

theproposedprogrammewillalsobecoordinatedwithotherthematicscienceprogramminginitiatives,suchas

other regional initiatives e.g. PRIMA (partnership for research and innovation in theMediterranean area) and

BLUEMED(initiativeforbluegrowthandjobsintheMediterranean),therelevantERA-NETs.

TheremitoftheWGincludesthefollowing:

• Facilitatingexchangeofinformation

• Advisingonstrategicresearchandinnovationagendasandimplementationplansofthetwo[JPIOceans

andBONUSA185)inordertomaximizetheircompatibilityandachievemaximumsynergyandimpactof

researchandinnovationsupportedbybothprogrammes

• Advisingoncoordinationofthecallsforresearchandinnovationprojectsissuedbybothprogrammesin

ordertoavoidoverlapsandseekmaximumofsynergy

• InitiatingandoverseeingarrangementofjointorcoordinatedsupportactivitiesbetweenBONUSandJPI

OCEANSandotherrelevantactorsinareasofe.g.humancapacitybuilding(suchasschools,courses,

scholarships,mobilityactionsetc.),disseminationofresearchandinnovationresults(suchas

conferences,sessions,workshops,exhibitions,publicationsetc.),activitiespromotingaccesstosignificant

researchinfrastructures

• Facilitatingexchangeofthebestpracticeingovernanceandadvisingonoptimizingadministrationofboth

programmestherebyadvancingmanagementqualityandcosteffectivenessofeverydaymanagement.

Inaddition,toaidstrategicalignment,theDirectorofJPIOceansisamemberoftheAdvisoryBoardforBONUS

This alignment will be reinforced in the new joint Baltic Sea and the North Sea research and innovation

programme2018–2023thatisbeingdiscussedwiththeEuropeanCommission.

17

Initiatedby thePrimeMinistersof theBalticSeacountries in1996,Baltic21 isamacro-regionalexpressionof theglobalAgenda21

adoptedbytheUnitedNations“EarthSummit.”ThetermBaltic21tagstheCBSSExpertGrouponSustainableDevelopmentaswellasa

networkofpartnersfromdifferentlevelsandsectors,workingtogetherinprojectsandpolicydevelopmentforincreasedsustainabilityand

resilienceintheBalticSeaRegion.18

Commissionstaffworkingdocument(SWD)177final,2015

19

The Joint Programming InitiativeHealthy and Productive Seas andOceans (JPI Oceans) is established in 2011 as a coordinating and

integratingstrategicplatform,opentoallEUMemberStatesandAssociatedCountrieswho invest inmarineandmaritimeresearch. JPI

Oceans covers all European sea basins with 21 participating countries and provides a long-term integrated approach to marine and

maritimeresearchandtechnologydevelopmentinEurope.


12

3.3 Alignmentatstrategiclevel:Conductofjointstakeholderconsultation

The programme previews the involvement of the stakeholders in different phases of the BONUs Programme

throughthestakeholders’consultationplatform.

AccordingtotheEUParliamentandCouncilco-decision20,oneofthethreekeyobjectivesoftheBONUSStrategic

Phaseistoestablishstakeholderplatforms,throughwhichtherelevantstakeholderswouldbeabletocontribute

tothedevelopmentoftheBONUSProgramme.

WhendevelopingtheBONUSStrategicResearchAgenda, it iscrucially importantto involveactorswhoactually

designandimplementmarineandmaritimepoliciesintheBalticSeacountries.

Strategic orientation workshops are organised and scheduled at the end of the transparent and thorough

stakeholder consultations' cycle. During theseworkshops, the draft of the (updated) agenda is presented to a

broadcircleof stakeholders (nationaland regional stakeholders) includingministries in theBalticSeacountries

whichdealwithmarineandmaritime issues:environment,agricultureand forestry, fisheries, transport,energy

and other government organisations21 of all the Baltic Sea states, intergovernmental organisations, European

Commission,industries,NGOsandlastbutnotleast,thescientificcommunity.Themainpurposeofthestrategic

orientationworkshopisthentodiscusseachobjectiveoftheresearchagendaandtoachieveabroadconsensus

amongtheresearchfundingorganisationsandthestakeholdersonthecontentsoftheprogramme

3.4 Alignment at operational level: Contribution towards increasing collaboration with Russian fundingagencies

BONUShasalsoincreasedcollaborationoutsideoftheEuropeanUniontowardsRussia22andotherthirdcountries

(countries that are not participating in BONUS nor are EU member states or associated) may support their

nationalprojectparticipantsintheBONUSprogrammethroughseparateagreements.

Bonus has concluded several successful memoranda of understanding with relevant Russian research bodies.

Under the termsof theseagreements, theRussian fundingagenciesundertake to financially supportaRussian

participantwithin aBONUSproject if it is alsoevaluatedpositivelybyboth theRussianbodyandBONUS.The Russian funding agencies financed the Russian participants with own budget on principles of virtual common pot.

So far, this has worked very well, without any cases where a successful BONUS project including Russian

participantshasnotalsobeenconsideredpositivelybyRussia.

ThiscooperationhasbeenincreasedthecollaborationbetweenallBalticcountriesandtheinvolvementofRussia

isessentialandnecessaryfortheimplementationofBONUSobjectivesduetotheextentofitsinfluenceonthe

Baltic.ItalsofacilitatesanimportantregionaldialoguewithallkeyplayersaroundtheBalticandthismobilisation

ensures collective approach to tackle issues that are of EU concernwithin the Baltic and facilitate a common

approachwiththoseconcernedwithmonitoringand improvementof theBalticenvironment. In this respect, it

facilities a common vision based on jointly undertaken research to address some of the major drivers of

degradationoftheBalticfromwithinallofthecoastalstates.

The mechanism for the involvement of Russia developed within BONUS could also be applied as a model to

involvenon-EUMemberStateswithinotherEUresearchprogrammes.

20

Article2point3bofDecisionNo862/2010/EUoftheEuropeanParliamentandoftheCouncilof22September2010onthe

participation of the Union in a Joint Baltic Sea Research and Development Programme (BONUS) undertaken by several

MemberStatesandOJ30.9.2010,L256/1

21

Researchinstitutesundertheirgovernancetaskedtoproduceknowledgethat isneededfortheimplementationoftheir

policies

22

This involvement started during the BONUS +. 7 projects with Russian participants supported with a total RFBR

contributionaround350000euros


13

Also HELCOM has also stressed that BONUS makes a substantial contribution to increasing cross-sectorial

researchcollaborationwithRussianresearchestablishmentsandthatthishasenabledtheinvolvementofRussian

legalentitiesratherthanonlythemorecommondirectinvolvementofscientists.

The first participation and involvementof Russian funding agencieswithinBONUS callswas in theBONUS call2012:Viableecosystem.

According to the bilateral agreement between BONUS and the Russian Foundation for Basic Research (RFBR),

funding was granted to those Russian participants who were involved in projects that RFBR evaluated

successfully.Itfunded2projectswithRussianparticipantssupportedandforatotalcontributionofaround150

000euros.

Inthecall2015(BlueBaltic), theRussianFoundationforHumanities (RFH)andBONUS launchedacompetitive

callforjointresearchprojectsinthefieldofhumanitiesandsocialsciences.

ThecallisaimedatpromotingandsupportingscientificcooperationbetweenRussianandEuropeanresearchers

aspartoftheBONUSprogram.Thecall'stermsandconditionssuggestthattheRussiansideofjointprojectsisto

be funded by the RFH,while their foreign partners are to be foundedby BONUS. Joint projects are evaluated

basedontheinformationsystemsoftheRFHandBONUS.

Thecompetitivecall for joint researchprojects isaimedat selectingand further fundingof2017-2019projects

accordingtotheprioritiescommonforallfinanceparties.

AspartoftheRFH–BONUScall2015:BlueBaltic,theRFHsupportsresearchprojectsinthefieldofhumanitiesand

socialsciencesinprioritydirectionsapprovedbytheBONUSSecretariat.TheRFHprovidesfinancialsupportofup

to RUB 1,000,000 per one year of project implementationwith each project running for amaximum of three

years.TheFoundationawardsgrantsforjointresearchonlytotheRussianprojectparty.

3.5 Alignmentatoperationallevel:JointuseofresearchinfrastructuresBONUScontributessignificantlytotheincreaseofscientificexcellence, levelofinterdisciplinarityandjointuseofresearchinfrastructures.

In the terms of research infrastructures, BONUS Programme fosters on the joint use of the research

infrastructures.

TheBalticSeacountriesownandoperateaconsiderableamountof research infrastructuresand therefore the

joint use of them is essential for enhancing research quality and impact. According to BONUS Decision23, is

foreseenthatupto25%oftheEUR50millionnationalcontributionstowardsBONUSmaybeprovidedasanin

kind infrastructure contributions provided free of charge to BONUS beneficiaries. The provision of in-kindinfrastructuresisbeneficialtoParticipatingStatesandtherelatedNationalFundingas,reducesthenationalcash

contributions and per se creates added value and increases the efficiency of the limited resources towards

researchwithintheBalticSeacountries.

TheBONUSProgrammelistedaninventorywithallthefacilities(theresearchships,fieldstationsandadvanced

computing facilities) potentially available for the applicants to BONUS calls. Due to national differences

concerningorganisationofaccesstolargeinfrastructures,the‘infrastructureprovider’mayinthiscontextbethe

owneroftheinfrastructure,orthebodyadministratingorgrantingtherighttousealargeinfrastructurefreeof

charge for the benefit of the BONUS projects. The national authorities provide research infrastructures to

applicants and the use of them is subordinated to a bilateral agreement between a national infrastructure

providersandBONUSEEIG.

23

Article 3.2 of BONUS Decision no 862/2010/EU of the European Parliament and of the Council of 22 September 2010 on the

participationoftheUnioninaJointBalticSeaResearchandDevelopmentProgramme(BONUS)undertakenbyseveralMemberStates


14

3.6 Alignment at operational level: Strategies to strengthen human capacity-building in interdisciplinaryscienceandscience-basedmanagement

Inaddition to the jointuseofphysical resources, thehumanresearchcapacityhasbeen increasedNetworking

events and platforms have especially benefitedyoung scientists. BONUShas contributed towards training andmobilityofresearchersbyseveralmeasuressuchassettingupayoungresearchersgroupandorganisingcareer

development activities (e.g. skills concerning presentation of research to a non-research audience) as well as

encouragingmobilityandbestpractices.

EducationandtrainingisanintegralpartoftheBalticSeaSystemsciencemission,asnewknowledgearisingfrom

research–includinglessonslearntandbestpractices–mustbefedbackintoappropriatelevelsoftheeducation,

training,andhumanresourcesdevelopmentsystem.

Theprogrammewantstocreatethe leadersoftomorrowandthatthescientificcommunityoftomorrowmore

fullyunderstandstheneedforresponsibleandsustainableuseoftheseas,theroleoftheseasinhumanwelfare,

and the important linkages between science, policy, and society. Furthermore, as research is becoming

increasingly inter-andmultidisciplinary,opportunities forcollaborationneedtobestimulated ineducationand

trainingthatcross thetraditionalboundariesbetweendisciplines, issues,andacademicandmaritime industrial

sectors.

Theareasofactivityare:

• Providing support to pan-Baltic researcher training activities. This means establishing of a series of

internationalBONUSPhDcoursesbyproviding supplementary competitive funding toproject consortia

forofferingsuchcourses;

• Coordinatingtheregion’spost-doctoralBalticSeaSystemtrainingactivities.Thiswillbeachievedthrough

establishingaForumforEducationandTrainingthatwillplanandfacilitatetheeducation,training,and

professionaldevelopmentof researchersandtechniciansatalldevelopmental levels throughadvancing

intellectual, technological, information integration and team-building skills in a large but cohesive

multidisciplinaryforum;

• Supporting themobility of young scientists by awarding individual stipends/grants to researchers and

techniciansforstudy/research/trainingandexchangearrangements;and

• Supportingyoungscientists’networkingbyarranginganannualYoungResearchersSeminarfocusingon

topicsofrelevancetotheProgrammeandbyestablishingBONUSYoungResearcherClubto(i)serveasa

regionwidenetworkof scientistswhoare in their early careers (PhD studentsandpost-docs); (ii) help

BONUSmanagement tocollect feedbackabout thespecificneedsofyoungresearchersandconcerning

theeffectivenessoftheBONUShuman-capacitybuildingprogram.

3.7 Alignment at operational level :Develop dedicated dissemination instruments for effective impact onend-user.

AsBONUS+24,Bonusoperatesanopendatapolicy.TheDataarisingfromBONUSfundedresearchareavailableto

the scientific community. This includes storing the original data in common data bases and publishing the

researchresultsasfaraspossiblein‘openaccess’literature.

It previews a dedicated communication plan addressing the wide area of dissemination, through an OpenAccesstooriginaldataincommondatabases,theresearchresultsproject.

BONUSfollowsadatapolicywhichisbasedontheprinciplethatpubliclyfundedresearchdatashouldbeusedforthepublicinterestandthereforebeopenlyavailabletothemaximumextentpossible.Inparticular,theaimisto

ensurethattheresultsanddatafollowthestandardsoftheEuropeanMarineObservationandDataNetwork.25

24

TheprojectsfundedunderthepreviousBONUS+programmeprovidedtheirdatawithinthefollowingpubliclyaccessibledatabases: i)

PANGEAdatabase:geologicaldataandii)SeaDataNet:oceanographicdata.


15

Thismeansthat:

• securinghighqualityofthedataproducedbyBONUSprojectsisobligatory

• dataaresharedwithoutanydelayswithintheprogramme

• dataisstoredinpubliclyavailabledatabasesoresultsarepublishedinopenaccesspublicationforaAll

BONUSprojectsarerequestedtoincludeadatamanagementplanintheresearchproposals.

Theadequacyof theplanwillbepartofoneof thecriteria in theproposalevaluation.TheBONUSSecretariat

maintainsametadatabaseofalldataproducedwithintheprogrammeanditisaccessiblefromtheBONUSPortal.

ThemetadataanddatabaseshavebeenlinkedwithICES26andHELCOM,themainscientificorganizationsinthe

area.

Historically, ICES played an important role during the early years of BONUS, when it was a partner inBONUS

ERANET, responsible fordevelopingBONUS' first scienceplanand implementation strategy tenyearsago. The

scientific scopes of ICES and BONUS are very similar, the only differences being that BONUS is geographically

limitedtotheBalticSeaandincludesinnovationinabroadersensethanICES–BONUS,forexample,fundseco

technologicalprojectswhichincludecompaniesaimingatdevelopingnewmarketableproducts.ThusICES,with

itsnetworkofexpertgroups,offersaplatformforthescientificcommunitytoidentifyknowledgeneedsandfind

appropriate links within and beyond the Baltic Sea region for creating excellent and highly relevant research

projectswhichcanbefundedbyBONUS.

Furthermore, ICESScientificandAdvisoryCommitteesofferefficientmechanismstoconvertresearchoutcomes

fromBONUSprojectstoadvisingpolicymakers.SeveralexpertsoftheICEScommunitycontributedstronglytothe

shaping of the BONUS strategic research agenda 2011-2017.This represents a huge synergy created by the

interlinksbetweenthetwoorganizations.

4. Overalllimitationsanddifficultiesencounteredduringimplementation

4.1 Progressinmanagerialandfinancialintegration

The BONUS legal funding mode for joint calls is administrated within a virtual common pot. Consequently,national funding institutions have chosen to make their payments directly to their respective national

participants.Inthiscasetherearetwofundingsources(seeFigure4creatingafinancialintegration):i)EUfunds

arepaidbyBONUSEEIGtotheprojectcoordinatorwheretheyareheldandreleasedfollowingthereceiptofthe

equivalent matched national funding by the recipient concerned; ii) Bilateral funding agreements between

BONUSEEIGandthenationalfundinginstitutionensuresrespectofastandardgrantagreement,theapplication

ofcommonrulesandtherighttoaudit.27

Compared to BONUS+28, a lean administration within BONUS 185 could not be achieved due to the 2-way

funding and reporting scheme and the differences in national and EU funding rules. In future, more flexible

instrumentsareneededtoavoidlegalrestrictions.Theseinstrumentscould/shouldinvolveflexiblegeometryand

clear1-wayfundingandreportingofjointprojects.

This financial structure creates also a delay in the first phase of the project (selected projects) as each of the

National Funding Institutions undertake national negotiations and funding decisions with their national

25

EuropeanCommission2009.BuildingaEuropeanmarineknowledge infrastructure:RoadmapforaEuropeanMarineObservationand

DataNetwork.CommissionStaffworkingdocument.SEC/2009/499final.26

TheInternationalCouncilfortheExplorationoftheSeaisanetworkofscientists,basedonaninternationalconvention.TheworkofICES

isfacilitatedthroughthisnetworkofmorethan4000scientists,fromover350marineinstitutesin20MemberCountriesandbeyond(with

expertscomingfrom45countries).TheICESnetworkengagesinfrequentcollaborationswithindustrystakeholders,andwithvariousinter-

governmental,andnon-governmentalorganizations.

27

JointBalticSeaResearchandDevelopmentProgrammeBONUS-InterimEvaluationReport,28October2014

28

InBonus+thefundingishandledbyonefundingorganizationexclusively.Thesameiswithreporting:Theprojectleadersonlyreportto

theoneresponsiblefundingorganizationanditcouldbedefined1wayfundingandreportingscheme.


16

beneficiaries within the selected projects in accordance with an agreement between BONUS EEIG and the

respectiveNationalFundingInstitution.Duetotheseparatenationalfundingstreams,BONUSbeneficiariesmust

have agreements and receive payments from both BONUS EEIG and their respective national funding

institutions29

. EU funds are paid by BONUS EEIG to the project coordinatorwhere they are held and released

followingthereceiptoftheequivalentmatchednationalfundingbytherecipientconcerned.

Thisdualmoneyflowisself-evidentlylessefficientthana'realcommonpot.Thisisacomplexprocess,which,in

some countries, requires beneficiaries to submit to the corresponding National Funding Institution a separate

applicationconcerningtheprovisionofnationalfunds.TheNationalnegotiationswouldnotberequiredifthere

wasa'commonpot'fornationalfundsandthesystemwouldbemoreefficientifadecentralisedmanagementof

nationalfundswasforeseen.

Figure4:Virtualcommonpotsystem

Source:JointBalticSeaResearchandDevelopmentProgrammeBONUS-InterimEvaluationReport,28October2014

Therefore,forthemanagementofacomplexfinancialstructureinvolvingmultitudeofdifferentfunders,BONUS

hasbuiltanefficientlyfunctioningdedicatedimplementingstructure(theBONUSEEIG)whichisgovernedbythe

participating countries and operated by the BONUS Secretariat. The BONUS Secretariat is the body that, in

practicalterms,ensures,withtheguidancefromtheBONUSSteeringCommittee,thefunctioningoftheBONUS

programme(administrative,financialandcontractualmanagement).

After a rigorous assessment by the European Commission (EC), the BONUS EEIG has signed a delegation

agreement with the EC in order to receive and distribute the Union contribution to the BONUS-185

programme(ImplementationAgreement concludedbetween theEuropeanCommissionandBONUSEEIGon18

October2012).Inaccordancewiththeconditionsofthisagreement,BONUSreceivesEUfundsannuallyfollowing

theacceptanceofannualreports.

FortheRussianfunds,bilateralagreementswithRussianfundinginstitutionshavebeenestablished,thisallowing

participationofRussianscientistsinBONUSprojects.

Inthisway,BONUShascreatedabridgebetweenandfortheEuropeanandRussianscientificcommunities.

29

FinnishnationalfundingisadministeredcentrallybyBONUSEEIG(50MEURO)


17

4.2 LowParticipationofSME BONUSrespondstotheEU'sgrowthandjobsstrategy,strategydefinedtotacklessocietalchallengesbyhelping

tobridgethegapbetweenresearchandthemarket.Thismarket-drivenapproachincludescreatingpartnerships

withtheprivatesectorandmemberstatestobringtogethertheresourcesneeded.

BONUS brings science and innovation close to one another, in particular through its calls open for SMEs and

researchers.

Indeed, BONUS published its first two calls in November 2012 covering the topics Viable Ecosystem and

Innovation.Thecallsvariedinscaleandtargetgroup,withtheInnovationCallbeingdesignedforsmallerprojects

involvingSMEs.

Thiscallexperiencedasignificantdeclinebetweenthenumberofpre-registeredproposals(52)andthenumber

ofapplications(33)submitted.Asurveyofapplicantsindicatedthatthiswasdueto:

• theamountoffundingavailable,especiallycomparedtotheeffortrequiredtoapply;

• therequirementofSMEstocommittheirownfunds(BONUSprovides70%support);

• alackofcapacitybySMEstoleadaBONUSprojectconsortiumandapreferencetowardsalternativeways

ofparticipatinginBONUSprojectse.g.throughsub-contracting;

ThedatashownastherearesomedifficultiesinencouragingtheparticipationofSMEsinViableEcosystemand

Innovationcall

Source:JointBalticSeaResearchandDevelopmentProgrammeBONUS-InterimEvaluationReport,28October2014

The overall participationof SMEs is low.Within the InnovationCall, enterpriseswere 25%of the beneficiaries

supported,ofwhich16%wereSMEs.Within theViableEcosystemCall,only3%of thebeneficiaries supported

wereSMEs.Outof119BONUSprojectparticipants,10areSMEs.30 However,intheBONUScall2015:BlueBaltic’,theparticipationofSMEshasbeenincreased.Itisduetothenew

eligibility criteria introduced for the first time in this call: at least 25% of the BONUS funding is direct to

enterprisesin“theme2”projects(seeAnnex3).31 Thecallisdevotedtoacademicresearchers,researchinstitutes

andtoenterprises–theideaisthatnewinnovativesolutionstotheenvironmentalproblemsintheBalticSeacan

bedevelopedandtested.

30

JointBalticSeaResearchandDevelopmentProgrammeBONUSInterimEvaluationReport31

BONUSinBriefDecember2016


18

ThenumberofSMEparticipantsintheproposalswasaround66aswellinsuccessfulconsortia(16)inthiscallin

bigger than in all previous BONUS calls together (in total 64 participants and 12 in successful consortia

respectively).AlsosuccessrateforSMEpartnershasincreasedfrom18.8%frompreviousthreecallsto24.2%in

thiscallandwiththeshareofSMEpartnersashighas15.8%.

ThedatashownanincreaseintheparticipationofSMEbutthenumbersarestilllowbutprogressisbeingmade.

5. Conclusions:Suitabilityandkeyfactorsofsuccess

The establishment of common and joint structures to adopt and manage joint programmes and initiatives is

neededforaneffectiveandefficientregionalcooperation.

Theprogrammeplaysakeyrole infostering jointprogrammingwithintheEUaswellaswiththe international

actors involved in the relevant research and innovation arena of regional seas, including funders, academia,

industries andpublic governance institutions. Itwill at the same time supportEUmacroregional and sea-basin

strategiesandcontributetobuildingtheEUmarineandmaritimeresearchandinnovationarea.

Through mobilisation of the relevant national research and innovation funders, the programme ensures the

necessarylevelofcooperationamongtheparticipatingstatesandtheirfinancialandmanagementintegration.

Besidesthestrongstructuringeffectatthemacro-regionallevel,apowerfulconsequenceisalsoexpectedonthe

nationallevel.Previouslyisolatedresearchandinnovationeffortsbyseveralresearchandinnovationfunderssupportinginterestsofdifferentsectorsbecomemuchmoreimpactfulwhenstructuredunderadurable,jointly

coordinatedprogramme.

Keyfactorsofsuccess:

1) Atoperationallevel:

• Cooperationwithnon-EU/non-Associatecountriesthroughbilateralagreement.ThosefundingresearchagenciesundertakestofinanciallysupporttheirparticipantswithinaBONUSproject.

• Joint use of research infrastructures by providingan inventory of the facilities availableand bycoordinatingcommunicationbetweeninfrastructureowners.(tobeimproved)

• Developdedicateddissemination instruments foreffective impactonend-user. TheDataarising from

BONUS funded research shall bemade available to the scientific community. This includes storing the

originaldataincommondatabasesandpublishingtheresearchresultsasfaraspossiblein‘openaccess’

literature.

• Developmentofdedicatedinstrumentsforcapacitybuilding,focusingon(i)involvingthewiderscientificcommunity(EUMemberStatesandnon-EUMemberStates)andinordertobenefitfromtheirexpertise

and equipment; (ii) facilitating knowledge transfer through data and best practices sharing; and (iii)

implementingtraining.

2) Atstrategiclevel:

• CrossbordercooperationandsynergieswithinitiativesatEUlevel,inparticularEUSBSR

• Conductofjointstakeholderconsultationswiththeinclusiverepresentationfromallrelevantsectorsand

duringdifferentphasesoftheprogramme.

• Developing aStrategic ResearchAgendawhich implies that strategic research priorities are defined in

consultation with different stakeholders- national and regional stakeholders including government

organisations of all the Baltic Sea states, intergovernmental organisations, European Commission,

industries,NGOsandlastbutnotleast,thescientificcommunity

• Supporting the research agenda of two initiatives: the Joint Programming Initiative (JPI) ‘Healthy andProductiveSeasandOceans’.


19

REFERENCES

Literature

BONUS, Strategic research agenda 2011–2017, update 2014 The joint Baltic Sea research and development

programme-PublicationNo.14,

Availableat:

https://www.bonusportal.org/files/2981/Publication_No._14_update.pdf

BONUS,JointBalticSeaResearchandDevelopmentProgrammeBONUSInterimEvaluationReport,October2014,

Availableat:

http://ec.europa.eu/smart-regulation/evaluation/search/download.do?documentId=12453881

BONUS,PolicyFrameworkAnalysisintheFieldsrelevanttotheBONUSprogramme.PublicationNo.13,March

2013

Availableat:

https://www.bonusportal.org/files/2654/Publication_No._13.pdf

BONUS,Review2015

Availableat:

https://www.bonusportal.org/files/4810/BONUS_annual_review_2015.pdf

BONUS,review2014

Availableat: https://www.bonusportal.org/files/3861/BONUS_review_2014.pdf

BONUS,BONUSinbrief,December2016

Availableat:

https://www.bonusportal.org/files/5326/BonusInBrief2016DECWEB.pdf

BONUS,BONUScall2015:BlueBaltic,briefingN.25,September2015

Availableat:

https://www.bonusportal.org/files/4319/BONUS_Briefing_25_UUSI_Blue_Baltic.pdf

BONUS,BONUSstrategicresearchagenda2011–2017,update2014,briefingN.22,December2013

Availableat:

https://www.bonusportal.org/files/2974/BONUS_Briefing_22_SRA2014_update.pdf

OutlineofBONUS-169JointBalticSeaResearchProgramme-BONUSPublicationNo.11

Availableat:

https://www.bonusportal.org/files/457/2009_07_10_Programme_document_FINAL_with_pictures.pdf

BONUSinterimevaluation2014,briefingN.24,February2015

Availableat: https://www.bonusportal.org/files/3756/BONUS_Briefing_24_Interim_evaluation.pdf

BONUSStrategicResearchAgenda2011-2017,BONUSPublicationN.12,

Availableat: https://www.bonusportal.org/files/1246/Publication_No._12_SRA.pdf

INTERACT,ThealignmentoffundingtosupporttheEUSBSR:wheredowestand?,May2015

Availableat:

www.bsrstars.se/project/bsr-innovation-express

Presentations


20

Y. Sorokotyaga, Participation of Russian STI funding organizations in ERA-NETs Russian Foundation for Basic

Research(RFBR),Baku13October2016

Consultedwebsites

Bonus:https://www.bonusportal.org

INTERREGBalticSeaRegion:https://www.interreg-baltic.eu

Interviews

JoachimHarms,GermanMemberoftheSteeringCommitteeUlrichWolf,NationalBONUSContactPointforGermany

AndrisAndrusaitis,BONUSProgrammeManager


21

ANNEX1.BONUSOBJECTIVES

TheobjectivesofBONUSdefinedwithinthelegislativedecision32

Generalobjectivesachieved33

1.Toenhance theBaltic SeaRegion's research capacity tounderpin thedevelopmentand implementationof 'fit-for-

purpose'regulations,policiesandmanagementpractices

2.Torespondeffectively tothemajorenvironmentalandkeysocietalchallengestheregionfacesandwill face inthe

comingyears

3. To improve the efficiency and effectiveness of the Baltic Sea Region's fragmented environmental research

programmingandapproachby integratingtheresearchactivities intheBalticSeaSystemintoadurable,cooperative,

interdisciplinarywell-integratedandfocusedmulti-nationalprogramme.

Specificandoperationalobjectives

a.Establishapolicy-drivenStrategicResearchAgenda;

b.Increasesustainablecross-borderandcross-sectorialpublicresearchprogrammecoordinationandintegration;

c.RaisetheresearchcapacityofthenewEUBalticSeaStates;

d.Mobiliseadditionalfinancialresourcesthroughenhancedcross-sectorialBalticSeasystemcollaboration;

e.EstablishappropriateStakeholderConsultationplatformsbasedoninclusiverepresentationfromallrelevantsectors;

f. Establish appropriate implementation modalities to enable effective implementation of the BONUS programme

throughajointmanagementandlegallybasedgovernancestructure;

g.Launchatleastthreecross-thematic,strategicallyfocusedandmulti-partnerjointcallsforresearchproposals

32

DecisionNo.862/2010/EUoftheEuropeanParliamentandoftheCouncilof22September2010

33

ThegeneralobjectiveshavebeendefinedbytheArticle185,whichseekstointegratenationalresearchprogrammesand

asaconsequencerequiresintegrationatthreelevels:

a) Financialintegrationwhichmaybeachievedthrougha'commonpot'thatpoolsParticipatingStates’andEUfunds

andcommonfundingrules;

b) Managerialintegrationsuchasmanagementbyadedicatedimplementationstructure;

c) Scientificintegrationbytheestablishmentofcentralprogrammingandacommonexcellence-basedevaluation.


22

ANNEX2.THEMESCALLEDFORBONUSCALL2015:BLUEBALTIC

BONUSstrategicobjective

Themescalled Additionaleligibilityconditions

Theme11: Understanding the BalticSeaecosystemstructureandfunctioning

Theme1.3:FoodwebstructureanddynamicsTheme1.4:Multilevelimpactsofhazardoussubstances

None

2:Meetingthemultifacetedchallenges in linking theBaltic Seawith its coast andcatchment

Theme2.4:Eco-technologicalapproachestoachievegoodecologicalstatusintheBalticSeaFocuson(i)economicmodelssupportingelaborationof

regulationsandincentivesfacilitatingeco-technological

developmentandon(ii)anevidence-basedreviewofthe

feasibilityofnewtechnologicalsolutionsand/orbio

manipulationmethods.

None

3:Enhancingsustainableuseof coastal andmarine goodsandservicesoftheBalticSea

Theme3.5:SustainableaquacultureintheBalticSeaFocus on scientifically justified criteria enabling

environmentally balanced and socially accepted aquaculture

productionacrosstheBalticSearegion.

None

4:Improvingthecapabilitiesof the society to respond tothe current and futurechallenges directed to theBalticSearegion

Theme 4.2: Linking ecosystem goods and services to humanlifestylesandwell-beingFocus on quantification of the socioeconomic value of the

ecosystem services and developing models for comparative

and consequential analyses of cumulative benefits and trade-

offsamongdifferentmarineecosystemservices.

Theme4.3:MaritimespatialplanningfromlocaltoBalticSearegionscaleFocus on (i) applying the ecosystem approach in maritime

spatialplanning (MSP),particularly,developinganecologically

and socio-economically sound network of protected marine

areascoveringthewholeBalticSeaand(ii)exploringtheneeds

and establishing a region-wide data exchange network in

supportofMSPintheBalticSea.

None

5:Developingimprovedandinnovativeobservationanddatamanagementsystems,toolsandmethodologiesformarineinformationneedsintheBalticSearegion

Theme 5.1: Developing and improving scientific basis forintegrated monitoring programmes for continuousassessmentofecologicalstatusandhumanpressures

None

Themes22:MeetingthemultifacetedchallengesinlinkingtheBalticSeawithitscoastandcatchment

Theme2.4:Eco-technologicalapproachestoachievegoodecologicalstatusintheBalticSeaFocuson(i)improvementofretentionand

recirculationofnutrientsandotherchemical

substances,(ii)newmethodsforimproved

wastewatertreatmentefficiencyforxenobioticsand

persistentmicro-andnanoparticles,(iii)newmethods

forrecoveryofsubstancesfromwasteandsediments,

(iv)newmethodsforretentionandreductionofair

pollutionfromenergyproductionandtransportation,

(v)newtestingmethodsforsewage,leachatefrom

landfills,wastewaterandstormwaterand(vi)new

methodsforrestorationofmarineandcoastal

habitats.

Projects

willbe

selected

forfunding

onlyona

condition

thatat

least25%

ofthe

requested

BONUS

funding

goesto

enterprises


23

3:EnhancingsustainableuseofcoastalandmarinegoodsandservicesoftheBalticSea

Theme3.5:SustainableaquacultureintheBalticSeaFocuson(i)newregionallybasedfishfeedingredients

andon(ii)recirculationandothertechnologies

allowingefficientremovalorretrievalofnutrientsand

pathogensandminimisedriskofescapees.

Projects

willbe

selected

forfunding

onlyona

condition

thatat

least25%

ofthe

requested

BONUS

funding

goesto

enterprises

5:Developingimprovedandinnovativeobservationanddatamanagementsystems,toolsandmethodologiesformarineinformationneedsintheBalticSearegion

Theme5.2:Developingandtestinginnovativeinsitu,remotesensingandlaboratorytechniquesFocusonremotesensing,particularly,onfullusageof

capabilitiesofthenewinstrumentsanddeveloping

dedicatedandlocallycalibratedalgorithmsthatcould

enableusageofremotesensingintheBalticSea

monitoring.Theme5.3:User-drivennewinformationandcommunicationservicesformarineenvironment,safetyandsecurityintheBalticSea

Projects

willbe

selected

forfunding

onlyona

condition

thatat

least25%

ofthe

requested

BONUS

funding

goesto

enterprises

alignment at trans-regional level: case study no.2 bonus ...cooperative, interdisciplinary and...

Documents