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 Rodríguez
Director of the Doctoral School

Contents
1. R&D&i
2. Horizon 2020
3. National plans
4. Regional Government of Valencia
plans
5. University of Alicante programme
6. Postgraduate grants and contracts

1. R&D&i
1.1. Concept of R&D
1.2. Concept of R&D&i
1.3. Carrying out R&D&i
1.4. Funding R&D&i
1.5. The structure of university research
1.6. 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

• Departments (teaching and research)
• Research institutes
 Multidisciplinary research
 Highly specialised research
• Research groups (no administrative structure, form part of departments
or institutes)
•12

• 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
OTRI
Research Results Transfer
Office
SGITT
Research Management
Service
OGPI
International Project
Management Office
SSTTI
Technical 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? 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

• 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:

• 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.

• 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 € 76
880 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
leadership
Social
challenges

• 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 policy
3.2. Harmonisation of the
State Plan for R&D&i with
Horizon 2020

• 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

• 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 grants
6.2. 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

• 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 Rodríguez
herrero@ua.es
Director of the Doctoral School

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