act4-b1

Subject: The concept of R&D&i and research funding models

Compulsory cross-disciplinary core courses

ACTIVITY 4 > Block 1

Professor:Enrique Herrero RodríguezDirector of the Doctoral School

Contents

1. R&D&i2. Horizon 20203. National plans4. Regional Government of

Valencia plans 5. University of Alicante

programme6. Postgraduate grants and

contracts

1. R&D&i

1.1. Concept of R&D1.2. Concept of R&D&i1.3. Carrying out R&D&i1.4. Funding R&D&i1.5. The structure of university research1.6. Funding university research

1.1. Concept of R&D

• Basic science research

• The aim of basic research is to obtain results and observations

regardless of any practical application. Basic research advances

knowledge by designing and testing theories and hypotheses of laws

to achieve a foundation for application-oriented knowledge. Since it

is frequently not possible to protect or apply the results of basic

research, it is not usually conducted in the private sector but rather

in universities and research institutes.

1.1. Concept of R&D

• Technological development

• Technological development focuses on obtaining and advancing

knowledge and skills oriented towards practical problem-solving

with the help of technology. It is based on basic science research

results and knowledge oriented towards practical applications and

situations. The objective is to create and nurture potential

technological features or core technological capabilities that

enable direct practical applications. In the natural and engineering

sciences, the term technological development is used almost

interchangeably with the term applied research.

1.1. Concept of R&D• Pre-development

• Pre-development is the groundwork for mass production of a market-oriented product. It involves determining whether new technology can be used for products and processes. Product concepts are designed and functional prototypes are created. The aim of pre-development is to mitigate the risks involved in mass production projects. Part of pre-development is to determine the feasibility of transferring the working principles of (non-industrial) research to the product range. This activity is focused on the components and products that present the highest risk when launching the product.

• Pre-development also involves innovation management and consequent company strategy. With its systematic ideas management and use of creative techniques, pre-development has a company-wide impact as regards the generation of new product ideas. Contact with outside networks keeps innovation scouts up-to-date on relevant technological changes.

1.1. Concept of R&D

• Development of products and processes

• In this final phase, all the possibilities created to date (knowledge,

capacity, processes, prototypes) are transformed into products which

can be placed on the market. The goal is to introduce a new or

improved product onto the market.

1.2. Concept of R&D&i

• The concept of Research, development and innovation (usually referred to by the abbreviation R&D&i or R&D&I) has only recently emerged in the fields of science, technology and society to replace the previous concept of research and development (R&D). It forms the heart of the information and communication technologies.

• The term development comes from the world of economics, whereas research and innovation come from the worlds of science and technology, respectively, and their dynamic relationship is located in the distinction between pure science and applied science; each of them is complex to define. Esko Aho has provided a provocative definition of research as investing money to obtain knowledge, whereas innovation is investing in knowledge to obtain money, which succinctly describes the feedback phenomenon that occurs with a successful R&D&i strategy.

1.3. Carrying out R&D&i

• Public sector

Universities

Spanish National Research Council

Public foundations and other public organisations (hospitals, research centres, etc.)

• Private sector

Companies

Technological institutes

Private foundations

1.4. Funding R&D&i

• Public

Grants

Awards

Refundable advances

Tax allowances

• Private

Contracts

Donations

Sponsorship

1.5. The structure of university research

• Departments (teaching and research)

• Research institutes

Multidisciplinary research

Highly specialised research

• Research groups (no administrative structure, form part of departments

or institutes)

• 12

1.5. The structure of university research• Deputy Vice-chancellor for Research, Development and Innovation:

Research Office: Management of internal research: creation of groups and

institutes, and scientific assessment of these Management of public calls: dissemination, preparation of

progress reports, financial reports International research project management Recruitment of research staff (public calls) Technical research services (scientific instrumentation) Management of UA calls

Research Transfer Office Research contracts and agreements with companies Start-up of technology-based companies (TBCs) Transfer forums Patent bank Relations and coordination with the Science Park


• Deputy Vice-chancellor for Research, Development and Innovation:

The UA Doctoral School (EDUA)

Training for researchers

Doctoral programmes

Doctoral theses

Mobility

14


Administrative units

Research Management and Technology Transfer Service

OTRIResearch Results Transfer Office

SGITTResearch Management

Service

OGPIInternational Project Management Office

SSTTITechnical Research

Services

Research Office Technology Transfer Office

1.6. Funding university research

• Public funding: grants

European Union: Horizon 2020

Spanish Ministry of the Economy: State R&D Plan

Valencian Regional Government

UA

• Private funding: contracts (art. 83 LOU)

• Companies

• Foundations

2. Horizon 2020

2.1. What is Horizon 2020? Sources2.2. Horizon 2020. The new framework programme (2014-2020)2.3. Horizon 20202.4. Excellent science. Main calls2.5. Industrial leadership2.6. Social challenges2.7. Information

2.1. What is Horizon 2020? Sources

• Article 179 1. The Union shall have the objective of strengthening its scientific and technological bases by achieving a European research area in which researchers, scientific knowledge and technology circulate freely, and encouraging it to become more competitive, including in its industry, while promoting all the research activities deemed necessary by virtue of other Chapters of the Treaties.

TFEU. Title XIX research and technological development and space:

2.1. What is Horizon 2020? Sources

• Article 180. In pursuing these objectives, the Union shall carry out the following activities, complementing the activities carried out in the Member States:

a) implementation of research, technological development and demonstration programmes, by promoting cooperation with and between undertakings, research centres and universities;

b) promotion of cooperation in the field of Union research, technological development and demonstration with third countries and international organisations;

c) dissemination and optimisation of the results of activities in Union research, technological development and demonstration;

d) stimulation of the training and mobility of researchers in the Union.

2.1. What is Horizon 2020? Sources• Article 182 1. A multiannual framework programme, setting out all the activities

of the Union, shall be adopted by the European Parliament and the Council, acting in accordance with the ordinary legislative procedure after consulting the Economic and Social Committee.

• The framework programme shall: establish the scientific and technological objectives to be achieved by the

activities provided for in Article 180, fix the relevant priorities, and indicate the broad lines of such activities;

fix the maximum overall amount and the detailed rules for Union financial participation in the framework programme and the respective shares in each of the activities provided for.

• The framework programme shall be implemented through specific programmes developed within each activity. Each specific programme shall define the detailed rules for implementing it, fix its duration and provide for the means deemed necessary. The sum of the amounts deemed necessary, fixed in the specific programmes, may not exceed the overall maximum amount fixed for the framework programme and each activity.

2.2. Horizon 2020. The new framework programme (2014-2020)

• Budget: the available budget will amount to € 76880 million (27% more than in previous framework programmes).

• Novelties:

• Greater simplicity

• Research, Development and innovation “From the idea to the market”, where the market is understood as social services, policies and improvements.

• Research focus on “social challenges” and problem-solving.

• Participation open to:• Any company, university, research centre or legal European entity.


• Many of the activities associated with this programme are carried out as projects in consortium, which should include at least three independent legal entities, each established in a Member State of the European Union, or a different associated State.

• However, there are some exceptions, as in the case of research “on the frontiers of knowledge” funded by the European Research Council (ERC), coordination and support actions and mobility and training actions in which entities or natural persons can participate individually.

• The consortium must designate one of its members to act as co-ordinator, and this person will be the main interlocutor between consortium members and the European Commission.


• The EU has identified 3 weaknesses in the scientific system, and the new programme is intended to remedy these:

1. There are very good researchers, but there are not enough high

level researchers.

2. There is a lack of research transfer to companies and of innovative

companies.

3. Relationship between science and society.

2.3. Horizon 2020

Horizon 2020

Excellent

Science

Industrial leadershi

p

Social challeng

es

2.4. Excellent science. Main calls

• European Research Council (ERC)

Starting Grants (StG). Programme to support the creation of independent research groups whose principal researcher has held a doctoral degree for between 2 and 7 years and whose research is at the frontier of knowledge on any subject.

Consolidator Grant (CoG). This call consists of grants to researchers who want to consolidate a research group. The principal researcher must have held a doctoral degree for between 7 and 12 years and the proposed research must be at the frontier of knowledge on any subject.

Advanced Grants (AdG). This programme is aimed at providing support for research projects at the frontier of knowledge on any subject, led by senior researchers from any country in the world, who have at least 10 years of experience and work in one of the Member States of the EU or partner countries.


• Marie Skłodowska-Curie Actions These are aimed at ensuring optimal development and dynamic use of Europe's intellectual capital, in order to generate new capacities and innovation, and thus fully realise the potential in all sectors and regions.

Innovative Training Networks (ITN). This is aimed at leveraging an international

network of public and private centres, to train a new generation of creative and

innovative researchers capable of transforming knowledge and ideas into

products and services for the economic and social benefit of the European Union.

Individual Fellowships (IF). The aim of this action is to improve the creative and

innovative potential of experienced researchers, through individual projects. It

promotes international, intersectoral mobility in universities, research centres,

research infrastructures, companies, SMEs, and other socioeconomic groups within

and beyond Europe.


• Future and Emerging Technologies (FET)

• FET OPEN. Support for new ideas. Future and Emerging Technologies Open (FET OPEN) activities are intended to support major high-risk scientific and technology research projects carried out in collaboration. These projects are linked to the creation of ground-breaking technologies.

• FET PROACTIVE. Nurturing emerging themes and communities. Future and Emerging Technologies Proactive (FET Proactive) activities are intended to support and mature novel areas and themes.

• FET FLAGSHIPS. Flagship initiatives. There are currently two FET Flagship initiatives underway:

• Graphene

• Human Brain Project

2.5 Industrial leadership

• This priority is aimed at accelerating technological development and innovations to serve as a basis for future companies and help innovative European SMEs to become world-leading companies.

Information and communication technologies (ICT).

Nanotechnologies, advanced materials, biotechnology and advanced

manufacturing and processing (NMBP).

Space.

Innovative SMEs and access to risk finance.

2.6. Social challenges• One of the priorities of Horizon 2020 is to address social challenges. This block

reflects the political priorities and strategic challenges of Europe 2020, and is aimed at stimulating research and innovation to achieve the political objectives of the Union.

• Funding will focus on the following specific objectives (challenges):• Health, demographic change and well-being.• Food security, sustainable agriculture and forestry, marine, maritime and

inland water research, and the bioeconomy.• Safe, clean and efficient energy.• Smart, sustainable and integrated transport.• Action on climate, the environment, resource efficiency and raw materials.• Europe in a changing world: reflective, innovative and inclusive societies.• Safe societies: protecting the freedom and security of Europe and its citizens.

2.7. Information• Participant portal:

3. National plans

3.1. National research policy3.2. Harmonisation of the State Plan for R&D&i with Horizon 2020

3.1. National research policy

• Research policy is a State responsibility.

• Administratively, it falls within the remit of the Spanish Ministry of Economy and Competitiveness (MINECO). Secretary of State for Research, Development and Innovation.

• It is carried out through national research plans. The plan currently in force is the State Plan for Scientific Research, Technology and Innovation 2013-2016.

• The Working Programme mainly contains information on:

• the schedule for public calls

• the economic distribution of the annual budget by priority areas and programmes

• the management bodies for each of the activities

• the types of beneficiaries

• the sectors targeted for support

3.1. National research policy

• State programme for business leadership in R&D&i• State programme for promoting talent and employability in R&D&i• State programme for promoting scientific and technological research and

excellence • State programme for R&D&i that targets social challenges:

(1) Health, demographic change and well-being (2) Food security and quality; productive and sustainable agriculture

sustainability of natural resources, marine and maritime research (3) Safe, sustainable and clean energy (4) Smart, sustainable and integrated transport (5) Action on climate change and efficient use of resources and raw materials (6) Social change and innovation (7) Digital economy and society (8) Safety, security and defence

3.2. Harmonisation of the State Plan for R&D&i with Horizon 2020• Resolution of 5 November 2013, of the Secretary of State for Research,

Development and Innovation (Official State Gazette, 6 November) By their very nature, these challenges include large key areas that represent unique

spaces for multidisciplinary and intersectoral collaboration. Consequently, it is expected that the actions to perform will not be confined to one sector or discipline, but will focus on the challenges - understood as social problems - that the basic scientific and technical research activities to carry out seek to address.

Research in the Humanities and Social Sciences shall be of a multidisciplinary nature and shall form an essential part of scientific and technological research aimed at identifying solutions to society's challenges.

In the quest for solutions to these challenges, it will be necessary to take into account the importance of social behaviours and perceptions of science and technology, and the associated advantages and risks, insofar as these behaviours may foster or inhibit the process of innovation. Besides what is specifically contemplated in some of the challenges, in particular in challenge 6, research in the Humanities and Social Sciences, and research that incorporates a gender perspective, shall be cross-cutting in nature and as such will be incorporated into research aimed at identifying solutions to each and every one of society's challenges.

4. Regional Government of Valencia plans

4.1. Programmes

4.1. Programmes

• Predoctoral research staff training contracts

• Postdoctoral grants

• Research centre mobility

• “Prometheus” research projects of excellence

• Grants for projects conducted by emerging groups

5. University of Alicante (UA) Programme

5.1. UA research programme


The programme includes five lines of action:1. Incorporation and training of researchers and technical staff

• Grants for predoctoral training contracts • Grants for officially recognised Master’s Degree courses and introduction to • research • Grants for visiting researchers • Grants for the recruitment of technical support staff for competitive research

projects 2. Competitive research

• Grants for emerging research projects • Grants for research groups for research productivity

3. Internationalisation• Grants for the award of projects within the “Horizon 2020 Programme” of the European Union• Grants for research activities in other countries


4. Scientific and technological infrastructures

• Grants for the repair of scientific instrumentation

• Grants for the use of Technical Research Services

5. Dissemination of research

• Grants for the publication of scientific journals

6. Postgraduate grants and contracts

6.1. Doctoral grants6.2. Post-doctoral Marie Curie grants (EU)6.3. Post-doctoral grants (Ministry)6.4. Post-doctoral grants (Regional Government of Valencia)

• Grants for university staff training (Spanish initials: FPU), Spanish Ministry of Education, Culture and Sport.

Average mark on the academic record: 4 points

Doctorate with award for excellence: 1 point (0.5 points).

Applicant’s CV: 1 point

Project: 0.5 points

Principal researcher’s CV: 2.5 points

Research group’s CV: 1 point

6.1. Doctoral grants

• Grants for research staff training (Spanish initials: FPI), Spanish Ministry of Economy and Competitiveness.

These are awarded to specific basic research projects.

Once the list of projects is known, grants can be requested for 1, 2

or 3 specific projects.

Projects are selected according to the candidate’s CV.


• Grants for contracts for training researchers in companies (industrial doctorates), Spanish Ministry of Economy and Competitiveness.

These are awarded to carry out doctorates associated with

companies.

The Ministry subsidises part of the cost of hiring a doctoral student

incurred by the company.

Projects are selected according to the candidate’s CV and the

project presented.


• Grants for VAL R&D, Regional Government of Valencia

Doctorate contract. 3 year contract.

70% academic record and curriculum vitae of the applicant.

30% project report.


• UA grants for research staff training (FPI).

Doctorate contract. 3 year contract.

Academic record: 6 points

Candidate’s CV: 1 point

Thesis supervisor’s CV: 1.5 points

Research group’s CV: 0.5 points


6.2. Post-doctoral Marie Curie grants (EU)

• Objective: To ensure optimal development and dynamic use of Europe's intellectual capital in order to generate new skills, knowledge and innovation

“Bottom-up” approach

Support for careers in research

Development of new skills and competencies

Mobility: triple “i”: International, intersectoral, interdisciplinary

Excellent conditions of work and employment, gender balance

Company participation (including SMEs) and socioeconomic stakeholders

Emphasis on dissemination activities and communication of research

• Types of call: EXPERIENCED RESEARCHERS (ER). These only fund researchers who

hold a doctorate or who can prove a minimum of four years’ full-time

research experience (FTE).


Types:• European Fellowships (EF): mobility between European countries and towards

Europe (3 specific modes). • Global Fellowships (GF): Mobility funding for a research period in a third country,

with a final return phase to Europe. Participating bodies:• Academic sector

Public or private higher education institutions that award academic degrees. Public research organisations or private non-profits whose primary mission is

research. International organisations of European interest http://eiroforum.org/

• Non-academic sector• This includes any socioeconomic stakeholder not included in the academic

sector and eligible for participation in H2020. For example: SMEs, hospitals, corporations, NGOs, government agencies, international organisations, museums, etc.


Types of participation:• Beneficiary:

• Host institution that hires, supervises and trains the ER, located in a Member State / partner country.

• Funding is received directly from the EC. • Grant Agreement signed with EC.

• Partner organisation • Does not hire the ER (does not sign the GA), offers additional training to the

ER and hosts visiting researchers. • Type of institution identified in: • Global Fellowships outgoing phase • European Fellowship secondment • Letter of Commitment clearly indicating the recipient's activities in the project.

6.3. Post-doctoral grants (Ministry)

• Spanish Ministry of Economy and Competitiveness State Sub-programme of Incorporation

• Ramón y Cajal grants. Reincorporation of doctorate holders into the Spanish scientific and technological system following postdoctoral work abroad. 5 year contract. Very competitive grants: only the very best CVs are selected.

• Juan de la Cierva grants. For young doctorate holders with post-doctoral experience. 2 year contract associated with a research project.

• Grants for Torres Quevedo contracts. Grants for hiring doctorate holders in companies.

6.3. Post-doctoral grants (Ministry)

• Spanish Ministry of Education, Culture and Sport Types of grant

• “José Castillejo” mobility secondment abroad for young doctorate holders. 2014. Short-term secondment of young doctorate holders associated with universities and research centres.

• Post-doctoral research. Grants have not been offered for post-doctoral periods overseas since 2011.

6.4. Post-doctoral grants (Regional Government of Valencia)

• Grants for secondment of research staff holding a doctorate to research centres based outside the Region of Valencia. Short-term secondment of staff associated with research centres in the Region of Valencia.

Enrique Herrero Rodrí[email protected]

Director of the Doctoral School

mailto:[email protected]

act4-b1

Education

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