module 1 activity 4

Topic:

The concept of R+D+i and

research financing models

Common compulsory transversal training activities

ACTIVITY 4>Unit 1

Professor:

Juan Mora PastorResearch Secretariat Director

Vicerrectorate of Research and Transfer of Knowledge

Index

1. R+D+i

2. Horizon 2020

3. National plans

4. Autonomic plans for the Generalitat

Valenciana

5. University of Alicante

6. Post-graduate - Grants and contracts

1. R+D+i

1.1. Concept of R+D

1.2. Concept of R+D+i

1.3. R+D+i development

1.4. R+D+i financing

1.5. The structure of research at the

University

1.6. Financing Research at the University

1.1. Concept of R+D

• Basic scientific research

• Its goal is to obtain results and experiences without intending to find

a practical utility. In fact, it attempts to increase the basis of

knowledge, in other words, the goal is to design and check theories

and hypotheses of laws to obtain a basis of knowledge aimed at its

application. Since it is often the case that the results of this activity

cannot be protected or used, it is generally not carried out in the

private sector but rather in universities or other research institutions.

1.1. Concept of R+D

• Technological development

• Technological development is responsible for the obtaining and

development of knowledge and capabilities with the goal of solving

practical problems with the help of technology. To do so, it uses the

results of the research done by basic science, of the knowledge

oriented to application and of practical experiences. The goal is to

create and take care of potential technological possibilities or of

central teachnological competence which enable direct practical

applications. The term “technological development” is similar to the

the term “science research applied to natural sciences and

engineering”.

1.1. Concept of R+D

• Pre-development

• Pre-development is the preparation for the serial development of the

product aimed at the market. You test to see if new technologies can be

implemented in products and processes. Concepts of the products are

designed and you create functional samples. Pre-development has as a

goal to deal with the risks of projects that are created for serial

development. During the pre-development, you check to see if the acting

principles of the research (non-industrial) can be transferred to the own

range of products. This activity focuses on the components and products

with higher risk when it comes to releasing the product.

• The management of innovation together with the direction of its business

strategy takes place during the pre-development. Using a systematic

management of ideas under creative techniques, pre-development has an

impact on the whole company to generate new ideas for products. The

so-called innovation scouts are in touch with external networks in order to

be up to date in regards to relevant technological progress.

1.1. Concept of R+D

• Development of products and processes

• In this final stage, all potential ideas created up until this point

(knowledge, capability, processes, prototypes) are transformed into

individual products which can be placed on the market. The goal is

to insert a new or improved product into the market.

1.2. Concept of R+D+i

• Research, development and innovation (generally referred to with the

expression R+D+i or R+D+I) is a concept that appeared recently in the

context of scientific, technological and society-based studies, as an

improvement over the previous concept of research and development

(R+D). It is the heart of information and communication technologies.

• While “development” is a term that comes from the world of economy,

“research” and “innovation” come from the fields of science and

technology respectively and their dynamic relationship can be found in

the context of differentiating between pure science and applied science;

each of them having a complex definition. Esko Aho provocatively

defines “research” as investing money in order to obtain knowledge,

while “innovation” would be investing knowledge to obtain money, which

very appropriately describes the retroalimentation phenomenon that is

produced with a successful R+D+i strategy.

1.3. Development of R+D+i

• Public Sector

Universities

Higher Scientific Research Institutions

Public foundations and other public organisms (hospitals, study

centres…)

• Private Sector

Companies

Technological Institutes

Private foundations

1.4. Financing R+D+i

• Public

Subsidies

Prizes

Refundable deposits

Tax relief

• Private

Contracts

Donations

Patronage

1.5. The structure of research at

University

• Departments (Teaching and research)

• Research institutes

Multidisciplinary research

High level specialty research

• Research groups (do not have an administrative structure, they are

integrated in Departments or institutes)

1.5. The structure of research at

University

• Vicerrectorate of Research and Transfer of Knowledge:

Secretariat of Research:

Internal research management: creation of groups, institutes

and their scientific evaluation

Management of public calls: advertisement, report preparation,

economic justification

Management of international research projects

Selecting research staff (public calls)

Technical research services (scientific instrumentation).

Management of the UA’s own calls

Secretariat for the Transfer of Knowledge

Contracts and research agreements with companies

Creation of EBTs

Transference forums

Patent banks

Relations and coordination with the scientific Park

1.5. The structure of research at the

University

Administrative units

Service for research management and transfer of technology

OTRI

Office for the transfer of

research results

SGITT

Research management

service

OGPI

Office for the management

of international projects

SSTTI

Technical research services

Research SecretariatSecretariat for the

Transfer of Knowledge

1.6. Financing Research at University

• Public funds: Subsidies

European Union: Horizon 2020

Ministry of Economy: R+D+I State plan

Generalitat Valenciana

UA

• Private funds: Contratcs (art. 83 LOU)

• Companies

• Foundations

2. Horizon

2020

2.1. What is horizon 2020. Sources

2.2. Horizon 2020. The new

framework programme (2014-2020)

2.3. Horizon 2020

2.4. Excellent Science. Main calls

2.5. Industrial leadership

2.6. Social challenges

2.7. 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.

TFUE. 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 and fix the relevant priorities,

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 rise to 76.880 M€. (27% more than in

previous framework programkmes)

• Changes:

• Higher simplicity

• Research, Development and innovation. “From the idea to the market”,

understanding by “market”, services, policies and social improvements.

• Focus of research on “social challenges”, solving problems.

• Rules for participation:

• Any company, university, research centre or judicial European entity



• A large quantity of this programme’s activities are carried out through partnership

projects, which must be composed by at least three independent judicial entities each

one of them being established in a different Member State of the European Union or

Associated State.

• However, there are some exceptions, as is the case with research actions “on the

borders of knowledge” of the European Council of Research (ECR), the actions of

coordination and support and the actions of mobility and training in which the entities

or physical people can participate individually.

• The partnership must assign one of its members as the coordinator who will be the

main speaker between the members of the partnership and the European

Commission.



• The UE has identified 3 weaknesses in the Science system which it is

trying to improve with the new programme

1. There are very good researchers but very few researchers

2. There is not enough research transfer towards companies and

innovative companies

3. Relation between Science and Society

2.3. Horizon 2020

Horizon

2020

Excellent

Science

Industrial

leadership

Society’s

challenges

2.4. Excellent science. Main calls

• European Research Council, ERC

Starting Grants (StG). Programme with the goal of creating independent research

groups whose Main Researcher has possessed a doctoral degree for 2 to 7 years

and whose research activity is on the boarder of research in any field.

Consolidator Grant (CoG). This call is for researchers who wish to consolidate a

research group. The main researchers must have been in possession of a

doctoral degree from 7 to 12 years and the proposed research activity must be on

the boarder of knowledge in any field.

Advanced Grants (AdG). It is a programme that has the goal of offering support

to research projects that are on the boarder of knowledge of any field, leaded by

researchers that have at least 10 years of experience from any country in the

world which carry out their work in any of the EU Member States or of the

associated countries.


• Marie Skłodowska-Curie Actions. They aim to guarantee the optimaldevelopment and dynamic use of intellectual capacity in Europe with the goal ofgenerating new skills and innovation thereby carrying out their full potential in allsectors and regions.

Innovative Training Networks (ITN). Its aim is to form a new generation of

creative and innovative researchers through an international network of

public and private centres, capable of transforming knowledge and ideas

into products and services for the economic and social benefit of the EU.

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

and innovative potential of experienced researchers through individual

projects. To promote international and intersectorial mobility in universities,

research centres, research infrastructures, businesses, small and medium

companies and other socioeconomic groups from all of Europe and out of it.


• Future and Emerging Technologies (FET)

• FET OPEN. Supporting new ideas. FET OPEN activities aim to support great

projects of scientific and technical research carried out in collaboration. They

are projects linked to the creation of new innovative technologies.

• FET PROACTIVE. Promotion of emerging topics and communities. FET

PROACTIVE activities aim to support new areas and topic that are still in a low

state of maturity.

• FET FLAGSHIPS. Emblematic Initiatives. Currently there are two FET

Flagships initiatives:

• Graphene

• Human Brain Project

2.5 Industrial leadership

• This priority has as a goal to accelerate the development of new technologies and

innovations which will serve as a basis for the companies of the future and to help

European innovative small and medium companies to become the leading

companies of the world.

Information and communication technologies (ICT).

Nanosciencies, advanced materials, biotechnology and fabrications and

advanced transformation (NMBP).

Space.

Innovation for small and medium companies and access to risk financing.

2.6. Social challenges

• One of the priorities of Horizon 2020 is dedicated to society’s challenges. In this

block the political priorities and the challenges of the Europe 2020 strategy are

reflected with the goal of stimulating research and innovation to the point of

obtaning political objectives in the Union.

• Financing will be focused on the following specific objectives (challenges):

• Health, demographic change and well-being.

• Food regulations, agriculture and sustainable forestry, marine and continental

water research and bioeconomy.

• Safe, clean and efficient energy.

• Intelligent, sustainable and integrated transport.

• Action for the climate, environment, resource efficiency and raw materials.

• Europe in a changing world: Inclusive, innovative and reflexive societies.

• Safe societies: protect the freedom and security of Europe and its citizens.

2.7. Information

• Participant portal:

3. National

plans

3.1. National research Policy

3.2. Harmonization of the

state plan for R+D+i with

Horizon 2020


• Research Policy is a competence of the State.

• Administratively it is responsibility of the MINECO (Ministry of Economy and

Competitiveness). State Secretariat of Research, Development and

innovation.

• It is carried out through the National Research Plans. The current one is the

State Plan of Scientific and Technical Research and innovation 2013-2016.

• The Work Programme includes, mainly, information about:

• the calendar for public calls,

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

programmes,

• the administration bodies for each of the actions

• the types of beneficiaries and

• the sectors to whom the grants are aimed


• State programme for business leadership in R+D+i

• State programme for the Promotion of Talent and its Employability in R+D+i

• State programme for the Encouragement of Scientific Research and Excellent

Technique

• State programme for R+D+i aimed at Society’s Challenges

(1) Health, demographic change and well-being.

(2) Food regulations, agriculture and sustainable forestry, marine and

continental water research and bioeconomy.

(3) Safe, clean and efficient energy.

(4) Intelligent, sustainable and integrated transport.

(5) Action for climate change, environment, resource efficiency and raw

materials.

(6) Changes and social innovation.

(7) Economy and digital society .

(8) Security, protection and defense.

3.2. Harmonization of the State plan for

R+D+i with horizon 2020

• Resolution from 5 November 2013, by the State Secretariat for Research,

Development and Innovation (BOE, 6 November)

“By their own nature, these challenges cover great fundamental issues which determine

unique spaces for multidisciplinary and intersectorial collaboration, which is why it is not

expected for the actions to be limited to a sector or discipline, but rather to be focused on

the challenges understood as the problems of society to which scientific and technical

research can provide an answer.”

Research in Human and Social Sciences is contemplated with a transversal character and

will be an essential part of scientific and technical research to be carried out in the search

for these solutions to society’s challenges.

In the search for solutions to these challenges one must take into account the importance

of social behaviours and perceptions in regards to science and technology as well as the

advantages and risks associated in terms of how these behaviours may encourage or

negate the innovation process. On top of that which has been specifically contemplated in

some of the challenges and specifically in challenge 6, research in Humanities and Social

Sciences, as well as research which incorporates gender perspective, these will have a

transversal character and as such may be incorporated in the development of research

oriented to the search of solutions in each and every one of the challenges of society.

4. Autonomic

plans(Generalitat

Valenciana)

4.1. Programmes

4.1. Programmes

• Pre-doctoral PI training contracts

• Post-doctorals grants

• Research centre mobility

• “Prometheus” excellence research projects

• Grants for emerging group projects

5. University

of Alicante’s

programme

(UA)

5.1. Own research programme

(UA)

5.1. UA’s own research programme

The own programme covers six approaches:

1. Incorporation and training of research and technical staff

• Grants for official Master studies and initiation in research

• Grants for contracts aimed at pre-doctoral training

• Grants for contracts aimed at post-doctoral training

• Grants for talent maintaining contracts

• Grants for the stays of invited research staff

• Grants for the hiring of technical support staff for competitive research

projects

2. Competitive research

• Grants for the realisation of emerging research projects

• Grants for the realisation of research projects at La Alcudia

• Grants for Research groups by research productivity

3. Internationalisation

• Grants for the obtaning of projects financed by the European Union

• Grants for carrying out research actions in other countries

5.1. UA’s own research programme

4. Scientific and technological infrastructures

• Grants for the reparation of scientific hardware

• Grants for the use of Research Technical Services

5. Dissemination of the research

• Grants for publishing in scientific magazines

• Grants for disseminating the results of research on WoS magazines

6. Public collaboration actions – private matter of transference

• Contracts aimed at pre-doctoral training in collaboration with companies

• Grants for concept tests

6. Post-

graduate-

contracts

6.1. Pre-doctoral contracts

6.2. Post-doctoral Marie Curie (UE)

6.3. Post-doctoral (Ministry)

6.4. Post-doctoral (GV)

• Grants for university staff training (FPU), MECD.

Average grade on the report: 4 points

Doctorate with excellence: 1 point (0,5 points).

CV of the solicitant: 1 point

Project: 0,5 points

Curriculum of the main Researcher: 2,5 points

Curriculum of the group: 1 point.

6.1. Pre-doctoral

• Grants for the training of research staff (FPI), MINECO.

They are assigned to specific fundamental research projects.

Once the relation of projects is known, it is requested for 1, 2 or 3

specific projects.

The choice is made based on the candidate’s CV.

6.1. Pre-doctoral

• Grants for contracts for the training of researchers in companies

(Industrial Doctorates), MINECO.

They are assigned to do doctoral courses linked to companies.

The Ministry partly subsidises the hiring cost of the doctoral

candidate for the company.

The choice is made based on the candidate’s CV and the presented

project.

6.1. Pre-doctoral

• VAL I+D, GV grants.

For the doctoral contract. 3 year contract.

70% report and solicitant’s curriculum.

30% project dissertation.

6.1. Pre-doctoral

• FPI-UA grants.

Contract for the doctoral candidate. 3 year contract.

Academic report: 6 points

Candidate’s CV: 1 point

Thesis director’s CV: 1,5 points

Group’s CV: 0,5 points

In the case of collaboration Grants with companies, there must be a

company which finances half of the contract.

6.1. Pre-doctoral


• Objective: To ensure the optimal development and dynamic use of Europe’sintellectual potential to generate new skills, knowledge and innovation

¨Bottom-up¨ approach

Supporting a career in research

Fomenting new skills and competences

Mobility: triple “i”: international, intersectorial, interdisciplinary

Excellent working conditions, gender balance

Participation of companies (including small and medium companies) and

socio-economic parties

Focus on dissemination activities and on research communication activities

• Types of calls:

EXPERIENCED RESEARCHERS (ER). They only finance researchers who

possess the Doctoral degree or who can accredit a minimum of 4 years of

experience on full-time research (FTE).


Types:

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

Europe (3 specific modalities)

• Global Fellowships (GF): mobility to carry out a period of research in a third

country with a final phase returning to Europe

Participating entities:

• Academic sector

Public or private superior education organisms which grant academic titles

Public or private non-profit research organisations in which the main goal is

research

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

• Non-academic sector

• It includes any socio-economic party that meets the participation

requirements in H2020. For example: small and medium businesses,

hospitals, big companies, NGOs, government organisms, international

organisations, museums, etc.


Types of Participation:

• Beneficiary:

• Hosting institution which hires, supervises and trains the ER, found in a

Member State / Associated Country.

• Recieves direct financing from the CE.

• Grant Agreement with the CE

• Partner organisation

• Does not hire ER (does not sign GA), it offers additional training for the ER

and it hosts researchers.

• Type of institution identified in:

• Global Fellowships exit phase

• Stays at European Fellowships

• Commitment Letter clearly indicating its activities for the project


• Ministry of Economy and Competitivity: Incorporation State Subprogramme

• Ramón y Cajal Grants. Re-incorporation of PhDs to the Spanish science and

technology system after a post-doctoral stay in a foreign country. 5 year

contract. Highly competitive grants in which only the best CVs are selected.

• Juan de la Cierva Grants. For young PhDs with post-doctoral experience. 2

year contract and associated to a research project.

• Grants for Torres Quevedo contracts. Grants for the hiring of PhDs in

companies.


• Ministry of Education, Culture and Sport: Types of grants

• “José Castillejo” mobility stays in foreign countries for young PhDs.

2014. Short stays for young PhDs with a link to Universities and

research centres.

• Post-doctoral research. There are no calls for grants to carry out the

post-doctoral period in foreign countries since 2011.

6.4. Post-doctoral (GV)

• Grants for stays of PhD research staff in research centres located

outside the Comunitat Valenciana. Short stays for researchers linked to

research centres found in the Comunidad Valenciana.

Juan Mora Pastor

[email protected]

Director of the Research Secretariat

Vicerrectorate of Research and Transfer of Knowledge

mailto:[email protected]