In most cases, Mistra programmes are designed to consist of more than one phase. Often one phase of three to four years is not sufficient to generate research results and ensure that they are used at a practical level to promote sustainable development. Normally, programmes are made up of two phases.If a second (or subsequent) phase is planned, two evaluations of the programme are carried out during the final year of the current phase: an international scientific peer review and a evaluator(s) of the value to users. On the basis of these assessments, the Mistra Board then decides whether Mistra should invest in a further phase of the programme. This decision is taken at the June meeting of the Board, and the evaluations have to be completed prior to that meeting. The programme consequently has to submit the basic documentation for them to Mistra no later than 1 April.
Criteria for a Mistra programme
Mistra´s decision whether or not to fund a further phase of a programme will be guided by the same criteria as its assessment of new programme proposals. The only difference is that, at this point, Mistra does not undertake a new appraisal of whether the programme adds value to its existing research portfolio.Mistra´s criteria for a Mistra programme
SIGNIFICANCE IN SOLVING IMPORTANT ENVIRONMENTAL PROBLEMS
Mistra´s investments in research are intended to help find solutions to important environmental problems. The Mistra Board decides which environmental problems the Foundation wishes to give priority to and in what areas its investments may be expected to promote the search for significant solutions.
IMPORTANCE FOR SWEDEN´S COMPETITIVENESS
Mistra´s investments in programmes are intended to be of importance in promoting Sweden´s competitiveness, which can refer both to the competitiveness of Swedish companies and industries, and to competitiveness in the broader sense of Sweden being a good country to live in and giving a lead in the area of sustainable development.
CREATING A STRONG RESEARCH ENVIRONMENT
Mistra´s investments in programmes are expected to promote the development of strong research environments. A Mistra programme can build on an existing strong research environment, or encourage the emergence of a new one in a field that is of significance for the solution of environmental problems and for Sweden´s competitiveness.
HIGHEST SCIENTIFIC QUALITY BY INTERNATIONAL STANDARDS
The highest scientific quality, measured against international standards, is essential if the results of the research undertaken are to be of use in promoting sustainable development, in Sweden and internationally. It is also crucial if Mistra´s investments are to result in strong research environments of importance for Sweden´s competitiveness.
VALUE TO THE INTENDED USERS
The research carried out in the framework of a Mistra programme is intended to be put to use in Swedish industry, public administration, policymaking and/or non-governmental organizations, as a contribution to achieving sustainable development. It is essential that the research supported is of value to the intended users, if the results of a programme are to be taken a step further and used in practice, this being the first step towards solving environmental problems and promoting sustainable development.
GOOD MANAGEMENT AND ORGANIZATION
A Mistra programme is a large and complex undertaking, in which many individuals have to work together towards a common goal. For such a programme to achieve results, it needs to be effectively managed and organized. When a new proposal is considered, an assessment is also made of whether the programme adds value to Mistra´s existing research portfolio.
Documentation required for the evaluations
The following documentation on the programme is to be submitted to Mistra as a basis for the two evaluations. All of this material must reach Mistra no later than 1 April to allow the evaluations to be completed in good time for the meeting of the Mistra Board. Mistra forwards the preliminary programme plan, the progress report and the programme plan for the current year to both the scientific peer review panel and the evaluator(s) of the value to users. The annual report twill be made available to the evaluator(s) of the value to users and the 20 most significant publications to the review panel. Any other relevant material will be forwarded as requested by representatives of the programme.PRELIMINARY PROGRAMME PLAN FOR THE NEXT PHASE
A new phase of a programme can look very different from the one currently in progress. Before the preliminary programme plan is drawn up, therefore, it is important for everyone to think through what needs to happen during the next phase to ensure that the programme achieves its objectives.
It is common for a new phase to focus to a much greater extent on how the results can begin to be used before the programme is brought to an end. This may require changes in the structure and staffing of the programme. Often the communication plan also needs to be revised. In addition, greater attention is usually devoted from this point on to synthesis of the research results produced. It is a good idea to engage in an active dialogue within the programme, with users and with Mistra on how the programme can best attain its objectives - before writing the plan for the next phase. The preliminary programme plan for the new phase should be structured according to Mistra´s guidelines on programme plans. See the section on the programme plan above. However, in this case the plan may be somewhat more preliminary than a programme plan relating to a current phase. Any changes compared with the present phase should be highlighted.
PROGRESS REPORT ON THE PROGRAMME
A progress report on the programme is also to be drawn up, covering the period up to and including the present phase. This report is primarily intended as part of the documentation for the evaluation. Programme participants may also find it useful in other contexts, however, and this should be borne in mind when you are preparing it. The progress report should describe what the programme has achieved so far. It should describe both the research carried out and the steps taken to ensure that the results find practical applications. The report, which is to be written in English, should cover the points set out below:
CONTENT OF A PROGRESS REPORT
Scientific value
• Main scientific results of the programme to date.
• Cooperation, integration and synthesis of results within the programme.
• Scientific deliverables achieved by the programme to date.
Value to users
• Value to users achieved by the programme to date.
• Dialogue and collaboration between the programme and intended users.
• User deliverables achieved by the programme to date.
Prospects of achieving programme objectives
• How successful will the programme be in achieving its objectives in terms of helping to solve important environmental problems and creating strong research environments of importance for Sweden´s competitiveness?
International scientific peer review
The scientific peer review is carried out in the same way as for a new programme proposal. A review panel is specially appointed for each evaluation. It consists of a Swedish chairperson and two to four foreign researchers, representing a mix of disciplines relevant to the programme in question. Each member of the panel examines the programme documentation separately, and they then meet for two to three days at Mistra´s headquarters in Stockholm to write a joint report. During this meeting, the panel also holds a hearing with representatives of the programme, giving panel members the opportunity to ask questions about the programme. The scientific peer review panel assesses the programme against three of the criteria for a Mistra programme:• Creating a strong research environment.• Highest scientific quality by international standards.• Good management and organization.Evaluation of the value to users
The evaluation of the value to users, too, is conducted in a similar manner to the assessment of a new programme proposal. Usually it is performed over a period of two to four weeks by one or a couple of experts in the field covered by the programme. Methodological support is provided by an evaluation expert. The evaluation involves a review of the documentation submitted and interviews with programme participants and representatives of the user community, on the basis of which a report is written.The evaluator(s) of the value to users assesses the proposal against four of the criteria for a Mistra programme:
• Significance in solving important environmental problems.
• Importance for Sweden´s competitiveness.
• Value to the intended users.
• Good management and organization.
Decision by the Mistra Board
On the basis of these evaluations, the Board of Mistra decides whether the Foundation should invest in a further phase of the programme. This decision is taken at the meeting held by the Board in June. Mistra´s Board is the board of trustees of a foundation, which gives it far-reaching powers within the terms of the Foundation´s Statutes. The Board has a responsibility to make funding decisions which ensure that Mistra´s overall investments in research meet the requirements of the Statutes.The reports of the scientific peer review panel and the evaluator(s) of the value to users the provide a basis for the Board´s decision. Programme participants are also entitled to examine these reports prior to the meeting of the Board. In addition, the Mistra Secretariat submits an opinion to the Board before it makes its decision. Furthermore, the chairperson of the programme board and the programme manager are invited to attend the Board meeting to give a brief presentation and answer the Board´s questions before a decision is reached.
Sometimes, a programme plan for a new phase may need to undergo additional revision or development before the Mistra Board reaches its final decision. In such cases, the programme will have the opportunity to submit a revised or developed plan to a later meeting of the Board. The new plan will be evaluated once again before the Board makes its decision.
What happens next?
What happens after the Mistra Board has reached its decision? If Mistra has decided to invest in a further phase of your programme, you will need to prepare a detailed programme plan. A new contract will be drawn up for the programme, along with any subsidiary agreements relating to it. You will also have to prepare a final financial report on the earlier phase. Further information on these matters can be found in the sections above. If the programme is to continue, no final reporting of the earlier phase will be required apart from the financial report. The progress report on the programme can be regarded as a final report on the previous phase.If the Board has decided not to invest in a further phase, then the programme must be terminated. For further information on preparing for the end of a programme, see the next section. Discuss with Mistra whether any special steps need to be taken in the event of early termination of your programme.
Frequently asked questions
Can programme participants contact members of the scientific peer review panel or the evaluator(s) of the value to users? Mistra does not consider it appropriate for you to contact the reviewers/evaluators on your own initiative prior to or during their assessments, since this could be seen as an attempt to exercise undue influence. Communication with them should only take place at the instigation of either the evaluators or Mistra. Following the evaluations, any comments you may wish to make on them should be addressed to Mistra and not to the evaluators themselves.Can we send the Mistra Board a letter setting out our views on the evaluation reports?
The chairperson of the programme board and the programme manager are invited to attend the Board meeting to give a brief presentation and answer questions, before the Board makes its decision. There will be an opportunity at that point to hand brief written submissions to the Board if you wish to do so.
