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KTH Research Platforms – Terms of Reference (ToR)

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6th of April 2011

Terms of Reference (ToR)

KTH Research Platforms


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Table of Content

1. Introduction – What Is It All About? .................................................................................... 1

2. Building on KTH’s Strengths .............................................................................................. 1

3. KTH’s Research Platforms – Paving the Path For the Future ............................................ 1

3.1 KTH Strategic Plan Sets the Scene ................................................................................. 1

3.2 Joint Platform Framework ................................................................................................ 2

3.3 Research Platforms – Designed to Handle Multidisciplinary Research ............................ 2

3.4 Interfaces with KTH’s Schools ......................................................................................... 3

3.5 Interfaces with Strategic Research Areas (SRAs) and EITs (KICs) .................................. 3

4. Strategic Outlook Asking for Research Platforms .............................................................. 4

4.1 Problems and Challenges Confronting Future Society and Industry ................................ 4

4.2 Ongoing Development of the European Research Area (ERA) ........................................ 4

4.3 International Collaboration ............................................................................................... 5

4.4 Great Challenges of Our Time ......................................................................................... 5

4.5 Premises for Innovation to Consider ................................................................................ 6

4.6 Future European Framework Programme (FP 8) ............................................................. 6

4.7 The View of the Swedish Ministry of Education and Research ........................................ 6

5. Rationale Behind the Research Platforms ......................................................................... 7

5.1 Mission ............................................................................................................................ 7

5.2 Vision .............................................................................................................................. 7

5.3 KTH Overall Objective ..................................................................................................... 7

6. Tasks to Be Undertaken by Research Platforms ............................................................... 7

6.1 Roles of Platforms Converted into Tasks ......................................................................... 7

6.2 Multidisciplinary Research ............................................................................................... 7

6.3 Successful Research Applications ................................................................................... 8

6.4 Societal Awareness ......................................................................................................... 8

6.5 Societal Recognition ........................................................................................................ 8


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6.6 Benchmarking ................................................................................................................. 8

6.7 Infrastructure Investments for the Future ......................................................................... 8

6.8 Enabling Partnerships ..................................................................................................... 8

7. Performance Indicators ..................................................................................................... 8

7.1 Expected Outcome .......................................................................................................... 8

7.2 Success Criteria .............................................................................................................. 9

8. Preconditions for Platform Success ................................................................................... 9

9. Strategy at A Glance – Key Words for Guidance ............................................................. 10

10. KTH Research Office Support to Research Platforms ................................................... 10

10.1 Basic Premises ............................................................................................................ 10

10.2 KTH Research Platform Support Strategy ................................................................... 10

10.3 Key Elements of Support Activities .............................................................................. 10

11. Platform Governance ..................................................................................................... 11

11.1 Structure of Governance and Framework Conditions .................................................. 11

11.2 KTH Research Office ................................................................................................... 11

11.3 Research Platforms ..................................................................................................... 11

12. Funding of Platform Work .............................................................................................. 13

12.1 Platform Support Activities ........................................................................................... 13

12.2 Research Platform Activities ........................................................................................ 13

12.3 Description of Contract System ................................................................................... 13

13. Research Platforms Way of Working – The New KTH Approach ................................... 14

13.1 Template Mechanism as a Guide - A Step-By-Step Procedure.................................... 14

13.2 Different Levels of Platform Research (Common Definitions) ...................................... 14


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1. Introduction – What Is It All About?

A lot of excellent research is performed by KTH, but for KTH to fully be in Service of Humanity, for the Society of Tomorrow, there is a need to strengthen the development of multidisciplinary research

initiatives, and to take full advantage of opportunities and challenges that KTH faces. There is as well a need for an increased focus on usefulness of research results.

There is a need for proactivity, based on an active strategic outlook and ensuring the visibility and recognition of leading KTH Research.

How KTH is to achieve this ambition is presented in this document, which are the Terms of Reference

(ToR) for the multidisciplinary research platform approach intended to pave the path for the future. Accordingly, it is a framework for each platform to use in their future development.

2. Building on KTH’s Strengths

KTH has consistently strived for a productive balance between high-quality basic and applied research. The

university’s evaluation of its research base, the KTH

International Research Assessment Exercise 2008 (RAE 2008)1, established that two-thirds of its

research groups produce basic research at the highest international levels, two-thirds produce applied

research at these same levels, and a full half produced both basic and applied research at the highest

international levels.

KTH’s current Strategic Plan (2009-2012) builds on this excellence, committing KTH to a focus on areas of

quality in research and setting a vision for KTH as a vital university partner in a European future. In line

with this focus on quality, KTH has reformed its

internal resource allocation system to reward excel-lence as measured by indicators, e.g. academic pro-

ductivity and impact, PhD degrees and external in-come for research.

3. KTH’s Research Platforms – Paving the Path For the Future

3.1 KTH Strategic Plan Sets the Scene

Building on existing research excellence and strength, and in accordance with the current Strategic Plan (2009-2012)2, KTH has defined five distinct multidisciplinary research focus areas to be covered

by Research Platforms as follows:

Energy

Information and Communication Technology (ICT)

Material

Medical and Biomedical Technology

Transport

Research in these areas is currently being consolidated under these platforms.

These research platforms, visualized in the figure on the cover page, will enable faculty to take a

broad, integrated approach to societal challenges, and thus weave together systems, policy, and

1 www.kth.se/rae

2 KTH Strategic Plan 2009-2012, “KTH in the service of humanity, for the society of tomorrow”.

Facts from KTH International Research Assessment Exercise 2008 (RAE 2008):

KTH accounts for one-third of Sweden’s technical research and engineering education capacity at the university level. Education and research cover a broad spectrum – from natural sciences to all branches of engineering, as well as architecture, industrial engineering and management, urban planning, work science and environmental engineering. KTH has a total of 17,000 BSc and MSc students, more than 1,500 active PhD students and 2,935 full time equivalent employees. KTH is consistently ranked among Europe’s top technical universities. Almost 10% of KTH’s research funding now comes from the European Union, the highest percentage for any technical university in Sweden. Per unit of research expenditure, KTH produces spin-offs at a rate comparable to MIT, Stanford and Cambridge, and KTH’s patenting levels match those seen at other top European universities.


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technology research to implement a powerful vision and make significant contributions to national, European and international research needs.

Multidisciplinary research opportunities in these areas are to be run by the Research Platforms.

Therefore the platforms will seed and manage new multidisciplinary research programs and projects and oversee initiatives that stimulate the development of young researchers with the skills necessary

to thrive in these types of environments.

3.2 Joint Platform Framework

These Terms of Reference (ToR) have the role of being a joint framework for ongoing and future

development of the KTH Research Platforms, as illustrated in Figure 1. Accordingly, this “Joint Platform Framework” ties all platforms together and forms a common basis for future activities.

Figure 1. Development of KTH’s Research Platforms.

3.3 Research Platforms – Designed to Handle Multidisciplinary Research

A Platform is a purpose designed organizational vehicle to handle multidisciplinary research proposals

emanating from Industry, Government Agencies, Research Councils and/or KTH itself. Platforms make available purpose designed administrative tools, processes and support as well as standard (legal)

formats enabling an efficient and effective execution of given tasks. How this will be executed and managed is described in this document, i.e. the Terms of Reference which apply for all Research

Platforms and the KTH Research Office supporting them. Figure 2 illustrates the following two key

elements:

Each “Thematic” Research Platform has persons and assigned time for work, its organization

and funds under the Platform format.

A generic base, provided through KTH Research Office, is shared between all Research

Platforms, e.g. management and control systems, terms of engagement (contractual framework), communication services etc.


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Figure 2. Research Platforms supported by KTH Research Office.

3.4 Interfaces with KTH’s Schools

KTH’s line organization and management system, with nine different Schools, is not optimized for

research collaboration across school boundaries. Therefore the Research Platforms are needed to cut across them, see Figure 3. An increasing trend at KTH is the creation of interdisciplinary research pro-

grams, which reach across Schools, also providing challenges to the current KTH line organization structure. Accordingly, there is an increasing need for KTH to present externally a face for each of the

individual platform areas (shown on the cover page). However, it must also be strongly emphasized

that this should in no way prevent the Research Platforms to cooperate between themselves or with external partners.

It must be recognized that a Research Platform is more or less a virtual entity compared with a School line organization. The latter employs people and hires different facilities such as rooms, testing

equipment etc. In turn, KTH Research Platforms are allocated such resources by contracts and other

appropriate agreements with the relevant KTH Schools.

Figure 3. Relationship diagram illustrating how Research Platforms cut across KTH’s Schools.

3.5 Interfaces with Strategic Research Areas (SRAs) and EITs (KICs)

It is obvious that the Research Platforms touch many research groups, centers and strategic research

areas (SRAs) within KTH. The Strategic Research Area (SRA) initiatives were established at KTH as an effect of the latest Swedish Research Bill3 and its ensuing call for proposals.

3 Ett lyft för forskning och innovation (Proposition 2008/09:50).


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Synergies with other multidisciplinary initiatives are also to be looked for such as the two KICs (KIC – Knowledge and Innovation Community) in which KTH is involved as partner (ICT and Energy)4 5.

These were launched within the framework of “EIT – European Institute of Innovation &

Technology”6. This is a new independent body within research, innovation and education, which aim is to be key driver of sustainable European competitiveness through the stimulation of world-leading

innovations in research and education that impact society. The first step of EIT was to create the following three KICs:

Climate Change.

Information and Communication Technology (ICT).

Sustainable Energy.

KTH is a major partner in two of these three KICs, “InnoEnergy” and “ICT Labs”, respectively.

Given the similarities in multidisciplinary nature of SRAs and EITs, future initiatives of this kind will all

be handled more clearly within the framework of the relevant KTH Research Platform.

4. Strategic Outlook Asking for Research Platforms

4.1 Problems and Challenges Confronting Future Society and Industry

The Research Platforms reflect the fact that the problems and challenges confronting future society

and industry are so complex that no single player is capable of solving them alone. Therefore, it is

necessary to deploy a multidisciplinary and a multi-stakeholder approach. Thus, there must be more emphasis on:

Multidisciplinary research.

Collaboration with both societal and industrial partners.

Moreover, the problems and challenges are not unique to Sweden, neither are the solutions. Therefore, it is as well necessary to adopt a cross-border approach, i.e. to strengthen international co-

operation.

4.2 Ongoing Development of the European Research Area (ERA)

The current development of the European Research Area (ERA) is expected to drive the international

competitiveness and sustainable development of Europe and underpin its ambition to become a lead-

ing knowledge economy and society. On 2nd of December 2008, the European Council endorsed the “Vision 2020 for the European Research Area”.

During the second half of 2009, the Swedish Presidency of the European Union, as a follow up of the Council decision in December 2008, arranged the conference ”New World – New Solutions” in Lund.

At this conference the concept of “Knowledge & Innovation Triangle” was strongly promoted (See Figure 4). The conference ended up in the “Lund Declaration”7. To be well prepared for the future, it

is crucial for KTH to adapt to this declaration.

From the “Lund Declaration”, the following two statements are relevant to KTH:

European research must focus on the Great Challenges of our time, moving beyond current

rigid thematic approaches.

Identifying and responding to Great Challenges should involve stakeholders from both public

and private sectors in transparent processes, considering the global dimension.

Both these statements call for the establishment of the KTH Research Platforms.

4 www.innoenergy-initiative.com 5 www.eitictlabs.eu 6 http://eit.europa.eu/ 7 Lund Declaration – “Europe must Focus on the Grand Challenges of Our Time, 9th of July 2009”, Swedish Ministry of Education.


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Figure 4. EU’s Knowledge & Innovation Triangle.

At the EU level, the Commission will work to complete the European Research Area, to develop

common strategic research agendas and to enhance joint programming with Member States and regions. Therefore, the key role of the European “Technology Platforms”8 must be emphasized.

When it comes to Member States cross-border joint programs and funding of research, the ERA-NET

Scheme is of increasing importance. Perhaps more important is the ERA-NET Plus Scheme, which is an instrument built on Member State funding, to which the European Commission adds its funding.

Alignment with EU priorities is important and consequently they provide natural incentives to developing European partnerships by responding to future relevant calls - either made by the Com-

mission or by Member States jointly. Therefore, it is important that KTH actively contributes to

research prioritizations on both national and European level.

As far as European partnerships are concerned, the CLUSTER9 network must be fully utilized.

4.3 International Collaboration

Other international relationships (outside Europe) of strategic importance to KTH, will also continue to be emphasized.

4.4 Great Challenges of Our Time

In March 2010 the European Commission launched an

overall strategy10, setting out a vision for Europe's social

market economy for the 21st century. This strategy puts

forward three mutually reinforcing priorities:

Smart growth: developing an economy based on

knowledge and innovation.

Sustainable growth: promoting a more resource

efficient, greener and more competitive economy.

Inclusive growth: fostering a high-employment

economy delivering social and territorial cohesion.

8 cordis.europa.eu/technology-platforms/ 9 www.cluster.org 10 EUROPE 2020 “A strategy for smart, sustainable and inclusive growth”, (EC-report COM (2010) 2020).

Smart growth Strengthening knowledge and innovation as drivers of our future growth. This requires improving the quality of our education, strengthening our research performance, promoting innovation and knowledge transfer, making full use of information and communication technologies and ensuring that innovative ideas can be turned into new products and services that create growth, quality jobs and help address the societal challenges. However, to succeed, this must be combined with entrepreneurship, finance, and a focus on user needs and market opportu-

nities.


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According to the strategy “Europe 2020”, the Commission will introduce seven flagship initiatives to catalyze progress, one of which is the "Innovation Union". The aim of this is to improve framework

conditions and access to finance for research and innovation and thus ensuring that innovative ideas

can be turned into products and services that create growth and jobs.

4.5 Premises for Innovation to Consider

The European Innovation Strategy “Innovation Union”, launched as one of the European “Flagship

Initiatives”, is more comprehensively described in a report11 published by the European Commission in October 2010. In this report, it is emphasized that:

EU and national research and innovation systems need to be better linked up with each other

and their performance improved,

the European Research Area (ERA) must be completed within four years – putting in place the

frameworks for truly free movement of knowledge (see Section 4.2),

remaining barriers to bring “ideas to market” must be removed by:

- smarter and more ambitious regulation

- faster setting of interoperable standards

- strategic use of our massive procurement budgets,

well performing innovation policies are pursued in a broad sense going beyond technological

research and its applications.

To sum up, the “Innovation Union” stresses the fact that research serving society asks for deployment

of its results by ending up in products and services put on the market.

In the latter respect it is of utmost importance to bear in mind the meaning of the word “innovation”

as used in the European context. Otherwise, the danger is to mix it up with “invention”.

Invention: New idea or concept which can be registered as Patent or Trade Mark.

Innovation: New Idea, Trade Mark or Concept converted to profitable business.

Thus, innovation is an invention, or research, profitably deployed by society or industry.

To conclude: A key part of KTH’s strategy for serving humanity, for the society of tomorrow, is to

always keep in mind and take into account the preconditions for innovation.

Therefore, fruitful Platform cooperation with both “KTH Innovation” and “KTH Business Liaison” are an

important part of a successful platform strategy.

4.6 Future European Framework Programme (FP 8)

In early February 2011 the Commission launched a public debate12 on the key issues to be taken into

account for future EU research and innovation funding. The aim is to deliver on the “Europe 2020”

objectives of smart, sustainable and inclusive growth.

4.7 The View of the Swedish Ministry of Education and Research

What is stated above in Sections 4.2, 4.4 and 4.5, is in conformity with the position of the Swedish Government, as can be seen from its formal input13 to the future Eight European Research Framework

Program (FP 8).

11 Europe 2020 Flagship Initiative – Innovation Union (EC report COM (2010) 546). 12 “From Challenges to Opportunities: Towards a Common Strategic Framework for EU Research and Innovation Funding”, EC Green

Paper COM(2011)48. 13 “Contribution from the Swedish Government to the discussion on the next Framework Programme (FP8)”, Swedish Ministry of

Education and Research, December 2010.


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5. Rationale Behind the Research Platforms

5.1 Mission

KTH Research Platforms are to be effective and efficient vehicles for delivering multidisciplinary research – under a multi-stakeholder partnership – servicing the society of tomorrow.

5.2 Vision

KTH Research Platforms are within their respective fields of competence:

Globally recognized organizers and leaders of efficient inventive multidisciplinary research.

Preferred partners by industry, government agencies and relevant academia in said research.

This is the target for the implementation of the Mission. See Section 5.1.

Accordingly, demonstrated excellence and “value for money” has made KTH one of EU´s leading recipients of funding for multidisciplinary research.

5.3 KTH Overall Objective

The mission and vision statements above both reflect and support the KTH ambition to become one of Europe’s most eminent technical universities.

To achieve this, the overall objective is to establish KTH as a European leader in research and

innovation together with partners in the research community, industry and public bodies. This is accomplished through the building of an interdisciplinary research culture focused on creativity,

excellence and impact.

6. Tasks to Be Undertaken by Research Platforms

6.1 Roles of Platforms Converted into Tasks

The main role of the Research Platforms is to work as a catalyst for multidisciplinary research

initiatives to be jointly carried out by research groups at KTH together with relevant external partners. The initiatives can, if appropriate, involve more than one platform.

The Research Platforms also have four supporting roles to:

maintain a strategic outlook with support from external stakeholders,

have an advisory role for future KTH investments in multidisciplinary faculty and large

infrastructure,

build and maintain links with relevant cooperation partners and other external stakeholders,

enhance external KTH visibility and recognition.

In order to create a common understanding, the roles described above are rewritten to a list of more action oriented tasks to be undertaken by each platform. See Sections 6.2 to 6.8.

6.2 Multidisciplinary Research

The platforms are expected to formulate and take on imaginative strategic research ideas that meet the grand challenges of today and tomorrow and that have the potential to improve society, the

environment, and quality of life.

The objective is to create a highly interdisciplinary research climate, which becomes internationally re-

nowned in creative matchmaking of knowledge from a multitude of disciplines and providing effective

leadership to multidisciplinary research.

This is achieved by bringing together strong research competence from different KTH Schools and

relevant external partners.


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6.3 Successful Research Applications

The platforms provide fora that stimulate effective planning and response to large, cross-disciplinary challenges and associated research calls within each of the platform areas.

The objective is to increase the rate of success in the funding of large and/or complex research applications.

6.4 Societal Awareness

To be able to act proactively, awareness of societal needs and ensuing relevant policy decisions on both domestic and European levels are crucial, as these will indicate future public and industry

priorities when it comes to research and innovation funding.

Conversely, there are strategic plans and programs of relevant public funding bodies that the KTH Research Platforms should be aware of. The reason for this is that these plans and programs often

mirror policy decisions and priorities at different levels of politics and administration.

6.5 Societal Recognition

The Platforms are expected to communicate, demonstrate and market the academic, social and

economic impact of KTH research on society.

The objective is to strengthen the profile of KTH as an international leader in developing new

technology, policies and systems that will make the world a better place to live.

6.6 Benchmarking

On a regular basis, each Research Platform is to maintain and update an overview of the status of its

Research Focus Areas, both with respect to KTH strengths and weaknesses, but also related to

competition with other comparable technical universities.

6.7 Infrastructure Investments for the Future

The Platforms provide strategic input for the planning of large-scale critical research infrastructure at

KTH and interdisciplinary faculty hires in cooperation with appropriate School Deans, as input to decisions of the KTH President.

The objective is to proactively ensure that long-term Platform needs are met for critical infrastructure and new hires.

6.8 Enabling Partnerships

The KTH Research Platforms are focal points for interaction between individuals, groups and centers at KTH. The Platforms will also work as external interfaces to society and industry.

Collaboration with research institutes and other universities is also important. This is emphasized by the Swedish Ministry of Education and Research by its preparatory report14 for the next Research Bill

to be expected in 2012.

The objective is to establish many strong, fruitful and lasting partnerships.

A model to adopt is the collaboration agreement15 between KTH and the Swedish Research Testing

Institute (SP). This agreement was signed by the Presidents for both these organizations on 2nd of December 2010.

7. Performance Indicators

7.1 Expected Outcome

The expected outcome of the KTH Research Platform activities will be to:

14 “Forskning formar framtiden” (Regeringskansliet, U10:18). 15 ”Avtal om samverkan mellan Kungliga Tekniska Högskolan (KTH) och SP Sveriges Tekniska Forskningsinstitut AB (2010-12-02).


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Create a highly interdisciplinary research and innovation climate that is internationally

recognized as a source of knowledge and research leadership.

Inspire a passion for innovation by focusing on future conditions for deployment of research

findings, by considering them already in the planning and execution of multidisciplinary

research.

Establish a new mechanism for holistic research initiatives that make full and efficient use of

all KTH resources, excellent researchers and external partners.

Strengthen the profile of KTH as an international leader in developing new technology,

policies, and systems to meet the great challenges for the future.

Achieve increased success rate in large and/or complex research applications due to good

knowledge about societal and industrial needs.

Create provisions for more proactive actions.

In respect to the latter two bullet points, note that these are expected to increase the overall success

rate when it comes to awarded contracts in relation to the total amount of research applications submitted by KTH.

7.2 Success Criteria

The expected outcome of the KTH Research Platforms and their new way of working is recognized by the following success criteria:

KTH is recognized, both by industry and society, as a key driving force and partner in the

development of new solutions serving a future smart and sustainable society.

KTH is a first choice in both Sweden and Europe to be awarded research and innovation

projects and programs.

These criteria are to be further developed, as well as how to evaluate them. They will be endorsed by

the Research Platforms Development Plan. See the bottom of Figure 1.

8. Preconditions for Platform Success

A challenge recognized by KTH is that it has leading research, education and innovation in the

platform areas, but is not always automatically looked upon as a strategic key player in Sweden,

Europe or both. Therefore, there is a need to:

strengthen the cooperation between existing research groups, centers of excellence initiatives

and strategic initiatives - both internally and externally,

create conditions for quick initiation and/or response to new ventures (e.g. centers,

educational programs, spin-off’s, etc.),

strengthen the ability to solve the major problems and great challenges of the future,

establish relevant “one-stop-shops” for partners and funding bodies.

In order to make significant contributions in achieving the vision, KTH Research Platforms must

promote research activities in accordance with the mission statement (Sections 5.2 and 5.1), which will put the following requirements on both research initiatives (programs) and projects:

Being aware of societal and industrial problems and challenges, which are to be appropriately

considered. This includes awareness of the strategies of funding bodies or organizations.

Being able to facilitate and plan deployment of research findings at an early stage and to

undertake relevant actions.

Policy research is often necessary in order to develop the institutional framework for deployment of

research findings under way. Business models, legal and financial incentives need also to be dealt with to support future deployment of findings.

To sum up: Success will require a multidisciplinary and multi-stakeholder approach and this must be

one of the key objectives of the KTH Research Platforms. This is a key success factor, especially when it comes to promoting innovation servicing industry and society.


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9. Strategy at A Glance – Key Words for Guidance

To meet the preconditions for success, presented in Chapter 8, the aim of the Research Platforms is the following:

Utilization of the KTH strengths, and broad knowledge base, to focus on multidisciplinary

initiatives. Present strengths of KTH to utilize, and build on, are described in Chapter 2.

To boost research excellence through efficient integration of research activities at KTH and

its partners to achieve truly multidisciplinary approaches. This is the core business of the Platforms. See Chapter 5.

Accordingly, strive for a holistic approach to research. See Section 6.2.

Increase visibility, i.e. communicate, demonstrate and market the academic, social and

economic impact of KTH research, innovation and education on society and industry, both domestically and abroad, in order to attract external bodies to seek collaboration with KTH.

See Section 6.5.

Increase awareness concerning societal and industrial problems and challenges on a global,

European and national scale, requiring innovative solutions. This will generate opportunities

for KTH to act proactively towards public and private funding bodies. See Section 6.4.

Strengthen innovation capacity through planning of deployment activities at an early stage,

e.g. taking into account the development of institutional frameworks (standards, policies, laws etc.). This is more or less a matter of adopting the European view on how to strengthen

innovation capacity. See Section 4.5.

By acting according to the guidelines above, the expected outcome is a higher success rate in KTH

being awarded large and/or complex multidisciplinary research programs and projects.

10. KTH Research Office Support to Research Platforms

10.1 Basic Premises

KTH Research Platforms are expected to be effective and efficient vehicles for delivering innovation

oriented multidisciplinary research – under a multi-stakeholder partnership – servicing the society of

tomorrow. To be able to work and deliver according to this mission, the platforms need supporting administrative resources, tools etc., which enable an efficient and effective execution of different tasks

listed in Chapter 6. Accordingly a generic base, provided through KTH Research Office, is shared between all Research Platforms, e.g. management and control systems, terms of engagement

(contractual framework), communications services etc.

Many of the support activities and instruments needed, have outputs which are beneficial to all

Platforms. Such activities are to be carried out by the KTH Research Office. See Figure 2.

10.2 KTH Research Platform Support Strategy

An important task for KTH Research Office is to analyze what support the Research Platforms jointly

need. This is subject to a continuous dialogue with the Research Platforms in order to agree on what

support services are to be provided from the “Base Platform”. This applies to support to be given today and tomorrow. This exercise is foreseen to end up in a specific “Platform Support Strategy”,

which clarifies the engagement of KTH Research Office in supporting the Research Platforms.

10.3 Key Elements of Support Activities

A key element of the Platform Support Strategy is to provide support in terms of a management infor-

mation system, enabling Research Platforms to follow-up on research deliveries with regard to quality, delivery time and actually consumed resources. A complementary element of the Platform Support

Strategy therefore is financing and accounting support (control systems). The same applies for

communications and marketing support as well as meeting and event support.

Other key support activities are analysis of funding possibilities and lobbying.

Other types of relevant Platform support activities are to be identified and agreed upon and hence to be included in the Platform Support Strategy.


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11. Platform Governance

11.1 Structure of Governance and Framework Conditions

Decisions related to the creation of new Research Platforms are taken by the KTH President. The same applies if an existing Research Platform is to be closed down. It is up to the KTH Vice President for Research to raise such issues.

Each Research Platform is managed by its own Platform Steering Group. Its decisions are executed by

a Platform Coordinator. To support its work the Platform Steering Group can appoint any number of

temporary or permanent committees. Such a committee is however subject to an approval by the KTH Vice President for Research.

If the Platform Coordinator is not present, or due to other reasons is not capable to be on duty, the Deputy Platform Coordinator takes over.

These two persons are members of the Platform Team, which plans and runs the Research Platform

activities. In this team there are as well an Administrative Coordinator and a Communication Coordinator.

Operationally the Research Platforms report to the KTH Vice President for Research.

Each Research Platform has an International Scientific Advisory Board (ISAB). A Chairperson for this advisory

group is to be appointed amongst its members.

In support of the Research Platforms, the administrative work undertaken by the KTH Research Office is managed

by its Head, who also has the mandate to set up any Coordination Group deemed appropriate.

In order to coordinate activities planned and undertaken by the different Research Platforms, a

Platform Coordination Group is set up, which is chaired by the KTH Vice President for Research. Members of this group are the Platform Directors and the Head of KTH Research Office. Senior

Advisors appointed by the Chairperson are also adjunct members of the Platform Coordination Group. Moreover, a Platform Coordination Secretary participates at the group meetings. This person is

appointed amongst the Officers of the Research Office. Such an appointment by the Head of KTH Research Office is however subject to an approval by the Chairperson of the group.

11.2 KTH Research Office

Necessary activities to support the Research Platforms are planned and undertaken by the KTH Research Office. Thus, these supporting activities are managed by its Head and carried out by its

Officers.

These activities are financed by the regular KTH planning and budget allocations. See Section 12.1.

For further conditions etc., see Chapter 10.

11.3 Research Platforms

PLATFORM STEERING GROUP The Platform Steering Group members are the following:

A Chairperson, which is the KTH Vice President for Research.

If not, the Chairperson is appointed by the KTH Vice President for Research.

School Deans with significant stake in the Research Platform, see Figure 3. If not, the School

Deans appoint the Deputy School Deans or in extraordinary circumstances another suitable

person.

The Platform Coordinator.

The Platform Steering Group has a strategic role and takes decisions on:

Strategies and Development Plans.

Selection of multidisciplinary research funding initiatives.

Applications for funding.

Research Platform Team

Platform Coordinator

Deputy Platform Coordinator

Administrative Coordinator

Communication Coordinator


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Platform performance (quality).

Allocation of funds and other resources.

Setting up of Task Forces when appropriate.

Setting up of permanent Advisory Committees, if needed.

The Platform Steering Group is expected to prioritize large multidisciplinary research initiatives with high societal and/or industrial relevance on a European scale with a significant multi-stakeholder

involvement.

The Platform Steering Group shall look upon these Terms of Reference (ToR) to be its By-Laws.

PLATFORM COORDINATOR

The Platform Coordinator is appointed by the President of KTH, after having been proposed by the

Vice President for Research.

The Platform Coordinator reports to KTH Vice President for Research. This position is an appointment

for a term of two years. The term is renewable. This person should receive a specific part-time

employment compensation through a contract with KTH for this position beside the regular one at a KTH School.

DEPUTY PLATFORM COORDINATOR

The Deputy Platform Coordinator is appointed by the KTH Vice President for Research, after having

been proposed by the Platform Coordinator. Competence in the Platform area is necessary for this person, as well as the ability to represent the Platform in different internal and external contexts.

This person should receive a specific part-time employment compensation through a contract with KTH for this position beside the regular one at a KTH School.

This position is an appointment for a term of two years. The term is renewable.

COMMUNICATION COORDINATOR

The Communication Coordinator is appointed by the Platform Coordinator. The Deputy Platform Coordinator has to agree to this appointment. It is important that this person is well aligned with the

activities run by KTH Research Office as far as information and communication is concerned.

This person should receive a specific part-time employment compensation through a contract with

KTH for this position beside the regular one at a KTH School.

This position is an appointment for a term of two years. The term is renewable.

ADMINISTRATIVE COORDINATOR

The Administrative Coordinator is employed at the KTH Research Office. Thus, this person is

appointed by the Head of the KTH Research Office in consultation with both the Platform Coordinator

and the KTH Vice President for Research.

The Administrative Coordinator takes part at the Platform Steering Group Meetings in order to take

the minutes. This person also plans the meetings by proposing to the Platform Coordinator, draft agendas, meeting dates and meeting venues. Accordingly, this person takes care of all practical

arrangements for each Platform Steering Group meeting.

The Administrative Coordinator as well undertakes other support activities specified in the Base

Platform Strategy. See Section 10.2.

PLATFORM TEAM

The activities undertaken by the Platform Team are managed by the Platform Coordinator, who is responsible for preparing and executing the Platform Steering Group decisions.

The scope of the Platform Team Activities is defined in Chapter 6.

If needed additional resources can be contracted, either within KTH or on the external market.

How to fund these activities is described in Section 12.2.


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INTERNATIONAL SCIENTIFIC ADVISORY BOARD (ISAB)

To give strategic advice to the Platform Coordinator, an “International Scientific Advisory Board

(ISAB)” is set up by the KTH President.

The ISAB members are proposed by the Platform Steering Group. These members are expected to

have a scientific or/and strategic outlook capability recognized at a European and/or global level.

12. Funding of Platform Work

12.1 Platform Support Activities

Research Platform support is provided through KTH Research Office and funded by KTH Presidency

through the KTH Research Office budget.

As far as the Administrative Coordinator is concerned, this person is employed at KTH Research

Office, thus funded by KTH Presidency as described above.

12.2 Research Platform Activities

There are three sources of funding, i.e. options to fund the activities to be initiated and/or

coordinated by the Research Platform Teams and their contracted resources.

1. External funds for contracted Platform research or direct funding from the KTH President.

How these funds are to be used is decided by the Platform Steering Group. Importantly, all

research activities are performed within the line organization, i.e. the Schools.

This first option applies to awarded research contracts that are coordinated by the Platform(s) and the

development of strategic plans and programs. An appropriate follow up of these strategic documents

will also be funded according to this option.

2. Funding as a result of a Platform Steering Group decision, by which the Deans offer funds

from their budgets to jointly fund activities for specific purposes.

This second option is normally used to fund the work with large and complex research applications. If

such applications are awarded to KTH, there is a need to set up a specific team to handle the

awarded research contract. These teams are to be funded according to this second option.

3. Direct funding from the KTH President to the Platform Team. How these funds are to be used

is decided by the Platform Coordinator.

This third option applies when it comes to daily Platform Team business on a regular basis. This

option applies for feasibility assessments as well preparation for Platform Steering Group decisions.

12.3 Description of Contract System

The Platform Steering Group controls all funds used for the planning, coordination and execution of

research and research programs - irrespective of the sources being internal or external. All such

research funding will be made available under (standard) contracts signed by the Platform Coordinator and KTH Presidency. This statement covers Options 1 and 2 described in Section 12.2.

At KTH President´s discretion, limited internal funds may be directed directly to the Platform Coordinator to cover certain costs e.g. scouting for ideas and/or to develop them to level acceptable

for Steering Group decision. This statement covers Option 3 described in Section 12.2.


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13. Research Platforms Way of Working – The New KTH Approach

13.1 Template Mechanism as a Guide - A Step-By-Step Procedure

Each Platform has identified a number of Research Focus Areas (RFAs) where the Platform effort will be focused. A RFA by definition is of multidisciplinary nature.

If the Platform Team can find a good match between:

one of the Research Focus Areas (RFAs) identified in the different Research Platform

Strategies,

an external/internal state of affairs that constitutes a Strategic Research Opportunity (SRO),

a tentative Research Initiative (RI) is formulated.

An SRO is to be derived from either KTH’s own strategic outlook activities in combination with an appropriate societal awareness, or from a tentative intention to respond to a relevant large multi-

disciplinary research call.

If this SRO is not related to one of the Platform’s Research Areas, the Platform Coordinator needs to

define how to handle the opportunity; e.g. if this is an emerging area of great potential importance and should be pursued, or if this is not within the scope of the Research Platform. Another situation to

tackle is when a SRO covers the scope of two or more Research Platforms. If so, appropriate

collaboration with the other Research Platforms must be sought. A resulting Research Initiative (RI) may involve more than one Research Platform.

It must be kept in mind that the multidisciplinary dimension applies to the entire portfolio of the activities within the RI. Some of these activities might be mono-disciplinary in themselves, however,

through the Platform they are closely linked to the overall goal of the Research Initiative (RI).

Every year several such tentative RIs typically can be formulated. Through a feasibility assessment, the Platform Team checks if KTH, together with its external partners, has the required strength to

tackle this RI in the context of the SRO. Prepared tentative RIs are presented to the Platform Steering Group for prioritization and approval.

Approved RIs are allocated funds for further processing. A Task Force under the Platform Team is set

up with the purpose to organize and carry out the further work needed leading to e.g. a successful application to a call, or by lobbying towards relevant networks with both public and private funding

bodies; domestic and/or abroad.

If this process is successful, the resulting set of KTH projects (on a short or long term basis) will

constitute a project portfolio monitored by the platform. This procedure is visualized in Figure 5. This can be looked upon to show the “platform vehicle” mentioned in Section 5.1.

To better understand Figure 5, a set of common definitions are to be used. See Section 13.2.

13.2 Different Levels of Platform Research (Common Definitions)

RESEARCH FOCUS AREA (RFA)

Each Platform has identified a number of Research Focus Areas (RFAs) where the Platform effort will

be focused. A RFA by definition is of multidisciplinary nature.

STRATEGIC RESEARCH OPPORTUNITY (SRO)

A Strategic Research Opportunity (SRO) is a research idea, which could have been originated in different ways: as a product from platform strategic outlook, or a request to the Platform regarding an

important problem or opportunity, or through the knowledge of a future call for proposals, etc.

RESEARCH INITIATIVE (RI)

A Research Initiative (RI), i.e. a Research Program, is an integral part of a RFA, or a SRO, and is

intended to deliver results that contribute to the attainment of the overall goal of the RFA or the SRO. RIs are the basis for coordinating Research Projects (RPs) together in such a way that the combined

results will contribute to the achievement of a shared programme objective; i.e., expected outcome.

RESEARCH PROJECT (RP)

A Research Project (RP) is a group of coordinated research activities under a defined leadership that

produce a result within a fixed budget and timeframe.


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Portfolio of KTH Projects monitored by the Research Platform

Figure 5. Initiation and management of Platform Research (Platform Vehicle).

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