R+D+i Research Financing Models

Topic:
The concept of R+D+i and
research financing models
Common compulsory transversal training activities
ACTIVITY 4>Unit 1

Professor:
Juan Mora Pastor
Research 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 Secretariat
Secretariat 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 optimal
development and dynamic use of intellectual capacity in Europe with the goal of
generating new skills and innovation thereby carrying out their full potential in all
sectors 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’s
intellectual 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
juan.mora@ua.es
Director of the Research Secretariat
Vicerrectorate of Research and Transfer of Knowledge

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