The Interaction Between Information and Communication Technologies and The Network Society Manuel Castells

CONEIXEMENT I SOCIETAT
Knowledge and Society. Journal of Universities, Research and the Information Society
Number 1. January - April 2003
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The interaction between information and communication technologies and the network society: a process
of historical change The Sixth Framework Programme for RTD: Opportunities and challenges for
Catalonia Law on the universities in Catalonia. A specific regulatory framework for the universities in the
Catalan university system The syncrotron light source project in El Valls (Catalonia) The funding distri-
bution model for the catalan public universities The 2003 budget for the Department of Universities,
Research and the Information Society and dependent bodies State grant awards for setting up and devel-
oping biomedical research networks
Minister for Universities, Research and the Information Society
Andreu Mas-Colell
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Knowl edge and Soci ety. Journal of Uni versi ti es, Research and the I nformati on Soci ety
Number 1 . January - Apri l 2003
CONEIXEMENT I SOCIETAT 01 PRESENTATION
2
Presentation
3
CONEIXEMENT I SOCIETAT. Knowledge and society. A title is often a whole declaration of intent in itself. The
title of this publication covers such a vast range of subjects that the risk is one of defining and establishing limits to the
area that it covers. Nevertheless, the intention is to clearly make it open to all issues pertaining to todays society of
knowledge.
A lot is being said about the society of knowledge, yet the importance of the changes and transformations that are
occurring means that there is every need for all forms of discussion and reflection. The Departament dUniversitats,
Recerca i Societat de la Informaci (DURSI, Catalan Ministry of Universities, Research and the Information Society) is
also interested in being involved in this process, especially concerning the areas that come under the jurisdiction of the
Ministry, namely the universities, policy for science and information and communication technologies.
CONEIXEMENT I SOCIETAT seeks to establish a point of reference for the dissemination and discussion of these issues and
to make the knowledge and opinions of experts who specialise in these developments and transformations available to
everybody who is interested.
We can only know with the passing of time whether the so-called new technologies revolution, which is intimately linked
with the society of knowledge, is equivalent to a second industrial revolution or if it transcends the original one. Manuel
Castells, the author of one of the articles in this first edition, in fact speaks of a historic change.
It is also only through the passing of time that we will know whether CONEIXEMENT I SOCIETAT comes up to our
expectations. Please read on and judge for yourselves.
Andreu Mas-Colell
Minister for Universities, Research and the Information Society
PRESENTATION 02 ARTICLES 06The interaction between information and
communication technologies and the network society: a process of historical change Manuel Castells 08
The sixth framework programme for RTD: opportunities and challenges for Catalonia
Xabi er Goenaga and I f i genei a Pot t aki 22 Law on the universities in Catalonia.
A specific regulatory framework for the universities in the Catalan university system
Roser Mart i Torres 36 The syncrotron light source project in El Valls (Catalonia) Ramon Pascual
80 NOTES 102 The funding distribution model for the catalan public universities
Esther Pallarols, Santiago Lacruz and Josep Ribas 104 The 2003 budget for the Department
of Universities, Research and the Information Society and dependent bodies Anna Tarrach Colls
114 State grant awards for setting up and developing biomedical research networks
Robert Tomas Johnston 126 RESUMS EN CATAL / RESMENES EN
CASTELLANO 134
The interaction between
information and
communication technologies
and the network society: a
process of historical change
Manuel Castells
08
a
The Sixth Framework
Programme for RTD:
Opportunities and challenges
for Catalonia
Xabier Goenaga and Ifigeneia Pottaki
Law on the universities in
Catalonia. A specific regulatory
framework for the universities
in the Catalan university
system
Roser Mart i Torres
The syncrotron light source
project in El Valls
(Catalonia)
Ramon Pascual
22
r t i c l e s
36 80
CONEIXEMENT I SOCIETAT 01 I ARTICLES
8
* Manuel Castells. Research supervisor at the Universitat Oberta de Catalunya (UOC)
THE INTERACTION BETWEEN INFORMATION AND COMMU-
NICATION TECHNOLOGIES AND THE NETWORK SOCIETY: A
PROCESS OF HISTORICAL CHANGE
Manuel Castells *
Societies evolve and are transformed through a complex interaction of cultural, economic, political, and technological factors.
In any given society, the available range of technological processes becomes organised into technological paradigms around
a nucleus that enhances the performance of each individual one. Informationalism is the technological paradigm that current-
ly provides the basis for a new type of social structure known as the network society. This social structure consists of infor-
mation networks that are driven by information technologies and has become the dominant form of social organisation at the
present time. Informational development is the result of both cultural and technological innovation and the process of innova-
tion itself essentially depends on the existence of free, high quality university and research institutions within the context of a
free society. Under informationalism, freedom, science, and power all come together and are inter-related in a virtuous circle.
Contents
1. Introduction: technological paradigms
2. Informationalism as a new technological paradigm
3. The network society
4. The genesis of network society and informationalism
5. In a virtuous circle
THE INTERACTION BETWEEN INFORMATION AND COMMUNICATION
TECHNOLOGIES AND THE NETWORK SOCIETY: A PROCESS OF HISTORICAL CHANGE
9
1. Introduction: technological para-
digms
As Rosalind Williams, director of the MIT Program
on Science, Technology and Society, writes: For
historians of technology, technological determin-
ism is the unthinkable thought. It is a non-issue
because there are no technological forces sepa-
rate from social ones. Of course, technology is
soci al l y constructed! The real questi on to ask,
then, is What are the historical forces shaping the
constructi on of the technol ogi cal worl d?
1
Societies evolve and transform themselves
through a complex interaction of cultural, eco-
nomic, political, and technological factors.
Technology, however, has its own dynamics and
technologies that develop and diffuse to decisive-
ly shape the material structure of society that they
impinge upon. Technological systems evolve
gradually to the point where a major qualitative
change or technological revolution occurs, usher-
ing in a new technological paradigm that inte-
grates discoveries into a coherent system of rela-
ti onshi ps characteri sed by synergy. A
technological paradigm organises the available
range of technologies around a nucleus that
enhances the performance of each individual one.
The Industri al Revol uti on was thus organi sed
around industrialism, a paradigm characterised
by the capacity to generate and distribute energy
by human-made artefacts, irrespective of the nat-
ural environment. As energy is a primary resource
for all kinds of activities, societies were able to
exponentially increase their control over nature
and the condi ti ons of thei r own exi stence by
transforming the production and distribution of
energy. Moreover, the technol ogi cal revol uti on
created a nucleus around which technologies in
other fields were able to cluster and converge.
The revol uti on i n energy technol ogy (fi rst wi th
steam power, then later with electricity) estab-
lished the basis for other associated revolutions
in mechanical engineering, metallurgy, chemistry,
bi ol ogy, medi ci ne, means of transport, and a
wi de vari ety of other technol ogi cal fi el ds that
came together to form the new technological par-
adigm.
This technological infrastructure made possible
the emergence of new forms of production, con-
sumpti on, and spati al and soci al organi sati on
that, as a whole, came to form the urban indus-
trial society. Key features of the industrial society
were i ndustri al factori es, l arge corporati ons,
rationalised bureaucracy, the gradual phasing out
of agricultural labour, the process of large scale
urbanisation, centralised systems for the delivery
of public services, the rise of mass media com-
muni cati on, the constructi on of nati onal and
i nternati onal transportati on systems, and the
development of weapons of mass destruction.
Industrialism existed in a variety of cultural and
i nsti tuti onal forms. Industri al capi tal i sm and
i ndustri al stati sm were antagoni sti c forms of
social organisation yet shared fundamental simi-
larities in their material foundations. History, cul-
ture, institutions, and evolving patterns of politi-
cal domi nati on created a di verse array of
1
Williams, 2002, p. 116-118.
industrial societies as different as Japan and the
United States, Germany and the Soviet Union.
These were all however historical variations of the
same socio-technological species, namely indus-
trialism.
2. Informationalism as a new techno-
logical paradigm
This analogy may help explain the meaning, and
the importance, of the new technological para-
di gm currentl y repl aci ng i ndustri al i sm as the
dominant matrix of 21st century societies. I con-
ceptualise it as informationalism, which is consti-
tuted around the strategic importance of informa-
ti on and communi cati on technol ogi es.
Nevertheless, industrialism does not disappear
just like that and the process of historical transi-
tion proceeds through the absorption of preced-
ing social forms by new, emerging ones so that
real societies are considerably more disorganised
than the i deal types constructed for anal yti cal
purposes. How do we know that a given para-
digm, e.g. informationalism, is dominant vis--vis
others, e.g. industrialism? Quite simply because
of its superior performance in the accumulation of
weal th and power. Hi stori cal transi ti ons are
shaped by the winners in the world. We do not
really know if producing more or more efficiently
embodi es a hi gher val ue i n terms of humani ty
because the i dea of progress i s an i deol ogy
2
.
How good, bad, or indifferent a new paradigm is
depends on whose perspective, whose values,
and whose standards are considered. We know
that it is dominant, however, because when it is
implemented it eliminates any competition. In this
sense, i nformati onal i sm i s the domi nant para-
di gm repl aci ng and subsumi ng i ndustri al i sm i n
present-day societies. However, what exactly is
informationalism?
Informationalism is a technological paradigm; it
refers to technology and not social organisation
or i nsti tuti ons. Informati onal i sm provi des the
basis for a certain type of social structure that I
call the network society. Without informational-
ism, the network society could not exist yet this
new social structure is not produced by informa-
tionalism but by a broader pattern of social evo-
lution
3
. Prior to elaborating on the structure, ori-
gin and historical diversity of the network society,
a consideration is given of its material infrastruc-
ture, namely informationalism as a technological
paradigm.
The characteristic aspect of informationalism is
not the central role of knowledge and information
i n generati ng weal th, power, and meani ng
because these have played a central role in many,
i f not al l , known soci eti es throughout hi story
4
.
Many different forms of knowledge have certainly
existed but knowledge, including scientific knowl-
edge, i s al ways hi stori cal l y rel ati ve; somethi ng
that is considered to be true today may well be
catalogued as an error in the future. Over the last
two centuries, there has clearly been closer inter-
acti on between sci ence, technol ogy, weal th,
power, and communication than previously but
one cannot get a true understandi ng of the
Roman Empire without considering the engineer-
ing technology of its vast public works and com-
muni cati on patterns, the l ogi cal codi fi cati on of
government and economic activities according to
10
2
Kumar, 1995.
3
Castells, 2000.
4
Chandler & Cortada, 2000.
11
Roman Law, and the processing of information
and communication made possible by its devel-
oped language (Latin). Throughout history, knowl-
edge and information, together with their techno-
l ogi cal underpi nni ng, have been cl osel y
associated with political/military domination, eco-
nomi c prosperi ty, and cul tural hegemony. In a
sense, therefore, all economies are knowledge-
based economies and all societies are essentially
information societies
5
. What is distinctive of our
historical period is a new technological paradigm
ushered i n by the Informati on Technol ogy
Revolution and centred around a cluster of infor-
mation technologies. The thing that is new is the
i nformati on processi ng technol ogy and the
impact of this technology on the generation and
application of knowledge.
This is the reason why the concept of informa-
ti onal i sm i s used here and not the noti ons of
knowl edge-economy or i nformati on soci ety to
explain the technological paradigm based on the
increase of human ability in information process-
ing around the twofold revolutions in microelec-
tronics and genetic engineering. What is actually
revolutionary in these technologies vis--vis pre-
vious information technology revolutions in histo-
ry, for exampl e the i nventi on of the pri nti ng
press?
6
. Printing was indeed a major technologi-
cal di scovery that had wi de-reachi ng conse-
quences i n al l areas of soci ety al though the
changes that it brought about were much greater
in the context of Europe in the early Modern Age
than in China when it was first invented. The new
present-day i nformati on technol ogi es have an
even greater historical relevance in that they are
ushering in a new technological paradigm on the
basis of three major, distinctive features: a) their
self-expanding processing capacity in terms of
volume, complexity, and speed; b) their recom-
bining ability; and, c) their flexibility in terms of
distribution.
These features, which constitute the essence of
the i nformati onal paradi gm, are descri bed i n
detail below. The two fundamental fields of tech-
nology (microelectronics and genetic engineering)
are first considered separately, which is followed
by the interactions between the two.
The microelectronics-based revolution includes
the microchip, computers, telecommunications,
and networki ng. Software devel opment i s the
critical technology that operates the whole sys-
tem although the true power of processing is to
be found in the design of the integrated circuit.
These technol ogi es al l ow for an extraordi nary
increase in man's capacity to process information
in terms of the volume of information, operation
complexity and processing speed although how
much i s much more compared wi th previ ous
information processing technologies? How do we
know that there i s a revol uti on goi ng on that
involving an unprecedented leap forward in pro-
cessing capacity? An outer layer of the answer
lies in what is purely empirical. The last 30 years
have seen a sustai ned exponenti al i ncrease i n
5
Lyon, 1988.
6
Mokyr, 1990.
The process of historical transition pro-
ceeds through the absorption of preceding
social forms by new, emerging ones.
i nformati on processi ng power and capaci ty i n
terms of bits, feedback loops and speed, cou-
pled with an equally dramatic decrease in cost
per operation. However, I venture the hypothesis
that there is something that is not merely quanti-
tative but also qualitative, namely the ability of
these technologies to self-expand their process-
ing power as a result of feedback from the tech-
nological development of knowledge generated
on the basis of the technology itself
7
. This is a
bold hypothesis as there may be physical limits to
the further integration of circuits in microchips
and the expansion of processing capacity. So far,
however, every doomsday prediction in this field
has been bel i ed by new manufacturi ng break-
throughs. On-going research into new materials
(i ncl udi ng bi ol ogi cal materi al s and chemi cal l y-
based information processing on biological DNA)
may wel l extend the l evel of i ntegrati on to an
extraordi nary degree whi l e paral l el processi ng
and the growing integration of software into hard-
ware through nanotechnology may provide addi-
tional sources of self-expanding power of infor-
mation processing.
Therefore, a more formal version of this hypothe-
si s i s as fol l ows: i n the fi rst 25 years of the
Informati on Technol ogy Revol uti on, we have
observed a self-generated, expansive capacity of
technologies to process information; current lim-
its are likely to be superseded by new waves of
i nnovati on i n the maki ng; and (thi s i s cri ti cal )
when and if limits to processing power on the
basis of these technologies are reached, a new
technological paradigm will emerge in forms and
technologies that are unimaginable today except
in science fiction scenarios .
Mi croel ectroni cs-based technol ogi es are al so
characterised by their ability to recombine infor-
mation in any possible way. This is what I call
hypertext (following the tradition from Nelson to
Berners-Lee) and what most peopl e cal l the
World Wide Web. The real value of the Internet is
its ability to link up everything from everywhere,
and to recombi ne i t. Thi s wi l l be even more
explicit when the original design of Berners-Lee's
World Wide Web is restored in its two functions,
as a browser and editor, instead of its current lim-
ited uses as a browser/information provider con-
nected to an e.mai l system
8
. Whi l e Nel son's
Xanadu was clearly a visionary utopia, the real
potential of the Internet, as Nelson wanted, is in
the recombining of all existing information and
communication on the basis of specific purposes
deci ded i n real ti me by each user/producer of
hypertext
9
. Recombination is the source of inno-
vation, particularly if the products of recombina-
ti on themsel ves become supports for further
interaction, in a spiral of increasingly meaningful
information. While the generation of new knowl-
edge will always require the application of theory
to recombined information, the ability to experi-
ment with this recombining from a multiplicity of
sources considerably extends the realm of knowl-
edge, as wel l as the connecti ons that can be
made between different fields
10
.
The third feature of new information technologies
i s thei r fl exi bi l i ty i n al l owi ng the di stri buti on of
processing power in various contexts and appli-
cations. The explosion of networking technolo-
gies (along the lines of Java and Jini languages in
the 1990s), the staggering growth of cell phones,
and the development of the mobile Internet from
12
7
Walsham, 2002.
8
Berners-Lee, 1999.
9
Packer and Jordan (eds), 2001.
10
De Kerckhove, 1997.
13
a wide array of portable appliances are key devel-
opments that poi nt to the growi ng capaci ty to
have processing power, including the power of
networked communication, everywhere there is
the technological infrastructure and the knowl-
edge to use it.
The second component of the I nformati on
Technol ogy Revol uti on i s geneti c engi neeri ng,
whi ch i s often consi dered as an enti rel y i nde-
pendent process vi s--vi s mi croel ectroni cs
although this is not the case. Firstly, in analytical
terms, these technol ogi es are obvi ousl y both
information technologies since they focus on the
decoding, and eventual reprogramming, of DNA,
whi ch i s the i nformati on code of l i vi ng matter.
Secondl y, there i s a much cl oser rel ati onshi p
between microelectronics and genetic engineer-
ing than people seem to realise. Without mas-
si ve computi ng power and the si mul ati on
capaci ty provi ded by advanced software, the
Human Genome proj ect woul d not have been
completed, nor would scientists be able to iden-
tify specific functions and the location of specif-
i c genes. Bi ochi ps and DNA chemi cal l y-based
microchips are no longer a thing of science fic-
ti on. Thi rd, there i s theoreti cal convergence
between the two technological fields around the
analytical paradigm based on networking, self-
organisation and emergent properties, as shown
by the revol uti onary theoreti cal work of Fri tj of
Capra
11
.
Genetic engineering technologies, the transfor-
mative power of which is just being unleashed in
the early 21st century, are also characterised by
thei r sel f-expandi ng processi ng capaci ty, thei r
ability to recombine and their distributing power.
Fi rstl y, the exi stence of a Map of the Human
Genome and, i ncreasi ngl y, of geneti c maps of
species and subspecies, creates the possibility of
connecting knowledge about biological process
in a cumulative way, leading to a qualitative trans-
formation of the understanding of processes that
were previously beyond the realm of observation.
Secondl y, the recombi ni ng abi l i ty concerni ng
DNA codes is exactly what genetic engineering is
about and what sets it apart from any previous
form of biological experimentation.
There is another more subtle innovation, howev-
er. The fi rst generati on of geneti c engi neeri ng
largely failed because cells were reprogrammed
as i sol ated enti ti es wi thout the understandi ng
that context i s everythi ng i n both bi ol ogy and
i nformati on processi ng i n general . Cel l s onl y
exist in their relationship to others. Interacting
networks of cel l s, communi cati ng through
codes rather than isolated instructions, are the
obj ect of sci enti fi c recombi nati on strategi es.
This kind of recombination is far too complex to
11
Capra, 2002.
In the first 25 years of the Informa-
tion Technology Revolution, we have
observed a self-generated, expansive
capacity of technologies to process
information; current limits are likely to be
superseded by new waves of innovation
in the making.
be identified in linear terms. It requires simula-
tion techniques with massive computer parallel
processing facilities for emergent properties to
be associated with gene networks, as in some
of the models proposed by researchers at the
Santa Fe Institute. Thirdly, the promise of genet-
i c engi neeri ng i s preci sel y i ts abi l i ty to repro-
gramme different codes and their communica-
ti on protocol s i n di fferent areas of di fferent
bodi es (or systems) of di fferent speci es.
Transgeni c research and sel f-regenerati ve
processes in living organisms are the frontier of
genetic engineering, with genetic drugs intend-
ed to induce capabilities of self-programming by
living organisms, the ultimate expression of dis-
tributed information processing power.
Inci dental l y, geneti c engi neeri ng shows qui te
vividly how mistaken it would be to assign posi-
tive meaning to exceptional technological revolu-
ti ons regardl ess of thei r soci al context, soci al
use, and soci al outcome. I cannot i magi ne a
more fundamental technological revolution that
the capaci ty to mani pul ate the codes of l i vi ng
organisms. Neither can I think of a more danger-
ous and potenti al l y destructi ve technol ogy i f i t
becomes uncoupled from our collective capacity
to control technological development in cultural,
ethical, and institutional terms.
3. The network society
The network society has built up from the foun-
dati ons of i nformati onal i sm and expanded
throughout the planet to become the dominant
form of soci al organi sati on i n our ti me. It i s a
social structure that consists of information net-
works powered by the information technologies
that characterise the informational paradigm.
A social structure can be defined as the organisa-
tional arrangement of humans in relationships of
production, consumption, experience, and power,
as expressed in meaningful interaction framed by
culture. A network is a series of interconnected
nodes and a node is the point where the curve
crosses i tsel f. Soci al networks are as ol d as
humankind. Under informationalism, however,
they have taken on new life because new tech-
nologies enhance the flexibility that is inherent to
networks whi l e sol vi ng the co-ordi nati on and
steering problems that, throughout history, have
hindered networks in their competition with hier-
archical organisations. Networks distribute per-
formance and share decision-making along the
nodes of the network in an interactive pattern.
By definition, a network has no centre, just nodes.
While nodes may be of different size, and thus of
varying relevance, they are all necessary to the
network. When nodes become redundant, net-
works tend to reconfigure themselves, deleting
nodes and adding new, productive ones. Nodes
i ncrease thei r i mportance for the network by
absorbing more information and processing it
more efficiently. The relative importance of a node
does not stem from its specific features but from
its ability to contribute to the network with valu-
able information. In this sense, the main nodes
are not centres but switches and protocols of
14
The network society has built up from the
foundations of informationalism and expand-
ed throughout the planet to become the dom-
inant form of social organisation in our time.
15
communication, following a networking logic
rather than a command logic in their perform-
ance
12
.
Networks work on a binary logic: inclusion/exclu-
si on. As soci al forms, they are val ue-free. The
results depend on the goals of a given network
and on the elegance, economy and self-repro-
ductivity of the forms designed to perform these
goals. In this sense, the network is an automaton.
In a social structure, social actors and institutions
programme the networks. Once programmed,
however, information networks powered by infor-
mation technology impose their structural logic
onto thei r human components, unti l thei r pro-
gramme is changed, usually at a high social and
economic cost.
In order to apply this formal analysis to the actu-
al workings of society, a brief characterisation of
the fundamental structures of this network socie-
ty is described.
Firstly, the new economy, the present-day econo-
my, is built on networks. Global financial markets,
the heart of investment and securities, are con-
structed on electronic networks that process sig-
nals, some of which are based on economic cal-
culations although they are often generated by
i nformati on turbul ence from di fferent sources.
The outcome of these signals, and of their pro-
cessing in the electronic networks of the financial
markets, is the actual value assigned to all assets
in every economy. The global economy is built
around collaborative networks of production and
management, with multinational corporations and
their ancillary networks accounting for over 40%
of GGP (Gross Global Product) and about 70% of
international trade. Companies themselves work
in and by networks. Large firms are decentralised
in internal networks while SMEs form networks of
co-operati on, thus mai ntai ni ng thei r fl exi bi l i ty
while pulling resources together. Large firms work
on the basi s of strategi c al l i ances that vary
accordi ng to products, processes, markets or
periods of time in a variable geometry of corpo-
rate networks, which link up with small and medi-
um-sized business networks in a world of net-
works i nsi de of networks. Furthermore, what I
cal l the network enterpri se often l i nks up cus-
tomers and suppliers through a proprietary net-
work, as in the business models spearheaded by
Cisco Systems in the electronics industry or Zara
in the garment industry. The actual operational
unit in the economy is the business project oper-
ated by ad hoc business networks. And all of this
complexity can only be managed through the use
of the tools of informationalism.
Productivity and competitiveness become vastly
enhanced through this networked form of pro-
duction, distribution and management and as the
networks of the new economy expand through
competition and the global phasing out of less
effi ci ent forms of organi sati on, the new, net-
worked economy becomes the dominant econo-
my everywhere
13
. Economic units, territories and
people that do not perform well in this economy
or offer any potential interest to these dominant
networks are di scarded. On the other hand,
whatever source of potenti al val ue that ari ses,
and from wherever, i s connected and pro-
grammed i nto the producti ve networks of the
new economy.
12
Watts, 1999.
13
Lucas, 1999.
Under such conditions, work becomes individu-
al i sed. Management-l abour rel ati onshi ps are
defined in individual arrangements and work is
val ued accordi ng to the abi l i ty of workers and
managers to reprogramme themselves to perform
new tasks and new goals, with the system being
driven by technological innovation and entrepre-
neuri al versati l i ty. Not everythi ng i s bad i n thi s
new working arrangement. It is a world of winners
and l osers, al though more often than not of
uncertain winners and losers of no return
14
. It is
also a world of creativity and destruction, a world
characteri sed, si mul taneousl y, by creati ve
destruction and destructive creation.
Cultural expression becomes patterned around
the kaleidoscope of a global, electronic hyper-
text. Around the Internet and multimedia, mani-
festations of human communication and creation
are hyperlinked. The flexibility of this media sys-
tem facilitates the absorption of the most diverse
forms and the customi sati on of the del i very of
messages. While individual experiences may exist
outsi de the hypertext, col l ecti ve experi ences,
shared messages, that i s, cul ture as a soci al
medium, by and large get captured in this hyper-
text. It constitutes the source of real virtuality as
the semantic framework of our lives. Virtual, in
that i t i s based on el ectroni c ci rcui ts and
ephemeral audio-visual messages. Real, because
this is our reality, since the global hypertext pro-
vi des most of the sounds, i mages, words,
shapes, and connotations that we use to con-
struct our meaning in all domains of experience
15
.
Politics is itself becoming increasingly taken over
by the medi a worl d, ei ther by adapti ng to i ts
codes and rules or by attempting to change the
rules of the game by creating and imposing new
cultural codes. In both cases, politics becomes
an appl i cati on of the hypertext, si nce the text
simply reconfigures itself to the new codes
16
.
Networking logic, which is rooted in information-
al i sm, has al so transformed our experi ence of
space and ti me. The space of fl ows, whi ch i s
characteristic of the network society, links up dis-
tant locales around shared functions and mean-
ings on the basis of electronic circuits and fast
transportation corridors while isolating and sub-
dui ng the l ogi c of experi ence embodi ed i n the
space of places
17
. A new form of time, which I call
timeless time, emerges out of systemic trends to
compress chronological time to its smallest pos-
si bl e expressi on (as i n spl i t second fi nanci al
transactions), as well as blurring time sequences.
This can be observed in the turning of profes-
sional career patterns away from the predictable
progression of the organisational man, who has
now been replaced by the flexible woman
18
.
Sucked i n by thi s whi rl wi nd and bypassed by
global networks of capital, technology and infor-
mation, nation states are not sinking as predicted
by the prophets of globalisation. They are adapt-
ing in structure and performance and are them-
selves becoming networks
19
. On the one hand,
they build supranational and international institu-
tions of shared governance, some of which are
16
14
Carnoy, 2000.
15
Jankokwisky et al., 1999.
16
Thompson, 2000.
17
Graham and Marvin, 2000.
18
Williams, 2002.
19
Nye and Donahue, eds, 2000.
17
highly integrated, such as the European Union,
while others are much looser, such as NATO or
NAFTA; some are asymmetrical in their obliga-
tions, such as the International Monetary Fund,
imposing the logic of global markets over devel-
oping economies. In all cases, however, political
sovereignty becomes shared among various gov-
ernments and organisations. On the other hand,
a process of political decentralisation is taking
place in most of the world, with resources shifting
from national governments to regional and local
governments, and even to non-governmental
organi sati ons, i n a concerted effort to rebui l d
legitimacy and increase flexibility in the conduct
of publ i c affai rs. These si mul taneous trends
towards supranati onal i ty and towards l ocal i ty
induce a new form of state, namely the network
state, that appears to be the most resilient insti-
tutional form for managing global governance
20
.
4. The genesis of network society and
informationalism
Where did this network society originate? What
was its historical genesis? It emerged as a result
of the accidental coincidence of three independ-
ent phenomena i n the l ast quarter of the 20th
century.
The first of these was the Information Technology
Revolution, the key components of which came
together as a new technological paradigm in the
1970s (ARPANET, 1969; USENET News, 1979;
the invention of the integrated circuit, 1971; the
personal computer, 1974-76; the software revo-
l uti on: UNIX codes desi gned i n the l ate 1960s
and released in 1974; TCP/IP protocols designed
in 1973-78; recombinant DNA, 1973)
21
.
The second trend was the process of the socio-
economi c restructuri ng of the two competi ng
systems of capi tal i sm and stati sm that experi -
enced major crises resulting from internal contra-
di cti ons i n 1973-75 (capi tal i sm) and 1975-80
(statism). These crises were dealt with by new
government policies and new corporate strate-
gi es. The perestroi ka of the capi tal i st system
worked whereas the restructuri ng of stati sm
resulted in failure because of the inherent limita-
tions of statism to internalise and use the infor-
mation technology revolution, as is argued in our
study with Kiselyova on the collapse of the Soviet
Uni on
22
. Capi tal i sm was abl e to overcome a
structural trend towards rampant destructi ve
i nfl ati on through i nformati onal producti vi ty,
deregul ati on, l i beral i sati on, denati onal i sati on,
globalisation and networking, to ultimately pro-
vi de the economi c foundati ons of the network
society.
The third trend that gave rise to this new society
consisted of the cultural and political values pro-
Networking logic, which is rooted in infor-
mationalism, has also transformed our
experience of space and time.
20
Pisani-Ferry and Tubiana, 2002.
21
Mansell, ed., 2002.
22
Castells and Kiselyova, 1995.
jected by the social movements of the late 1960s
and early 1970s in Europe and America, along
with certain sui generis signs in Japan and China.
These movements were fundamentally libertarian
although the feminist movement and the environ-
mental movement extended the notion of free-
dom to a fundamental challenge to the institu-
ti ons and i deol ogi es of patri archal i sm and
productivism. These movements were cultural in
that their focus was not on the seizing of state
power (unlike most of their predecessors in the
century) or on the redistribution of wealth but on
categories of experience; established institutions
were rejected, the call was made for new mean-
ings of life and, consequently, for the redrafting of
the social contract between the individual and the
state, and between the individual and the corpo-
rate world
23
.
These three phenomena emerged independently
from each other and their historical coincidence
was serendipitous, as was their specific combi-
nati on i n di fferent soci eti es. Thi s i s why the
speed and form of the process of transition to
the network soci ety has been di fferent i n the
United States, Western Europe and the rest of
the world. The more entrenched the institutions
and rul es of the i ndustri al soci ety, or of pre-
industrial societies, the slower and more difficult
the process of transformation. No value judge-
ment is implied in this differential path towards
the network society -- the network society is not
the promised land of the Information Age. It is
quite simply a new, specific social structure and
i ts effects on the wel l -bei ng of humanki nd are
undetermi ned. It al l depends on context and
process.
One of the key components of thi s hi stori cal
accident that has given rise to our 21st century
world is the new technological paradigm of infor-
mati onal i sm. Where di d thi s ori gi nate? War, of
both hot and Cold types, has been an essential
ingredient in this process of technological inno-
vation, as it has been throughout history
24
. World
War II was the matrix of most of the discoveries
that l ed to the Informati on Technol ogy
Revolution, while the Cold War was the melting
pot for their development
25
. Arpanet, the ances-
tor of the Internet, was not military technology in
the true sense, even i f i ts key technol ogi es
(packet swi tchi ng and di stri buted networki ng
power) were developed by Paul Baran at Rand
Corporati on i n a proposal to the Defence
Department to build a communications system
abl e to survi ve nucl ear war. The proposal was
never approved and the DOD-based sci enti sts
designing Arpanet only found out about Baran's
work when they were already building the com-
puter network. However, without the support of
the resources and freedom of innovation provid-
ed by the Advanced Research Projects Agency
18
23
Castells, 2003.
24
Abbate, 1999.
25
Hughes, 1998.
World War II was the matrix of most of the dis-
coveries that led to the Information
Technology Revolution, while the Cold War
was the melting pot for their development.
at the Pentagon, computer science in the United
States would not have developed at the pace it
di d, Arpanet woul d not have been bui l t, and
computer networki ng woul d be very di fferent
today. Likewise, while the microelectronics revo-
lution has been largely independent from military
appl i cati ons for the l ast 20 years, duri ng the
1950s and early 1960s, in the critical, formative
stage, Silicon Valley and the other major techno-
logical centres were highly dependent on military
markets and their generous research funding.
Research uni versi ti es were al so essenti al
seedbeds of the technol ogi cal revol uti on. I n
fact, it can be argued that academic computer
scientists captured the resources of the Defence
Department to devel op computer sci ence i n
general and computing networking in particular
for the sake of scientific discovery and techno-
logical innovation, without much direct military
appl i cati on. Actual mi l i tary desi gn was done
under condi ti ons of extreme securi ty i n the
National Laboratories and there has been very
little innovation from these laboratories, in spite
of thei r extraordi nary sci enti fi c potenti al . They
were the mi rror of the Sovi et system, and so
was thei r fate, as they became monumental
tombs of ingenuity.
Universities and research centres of major hospi-
tals and public health centres were the crucial
sources of the bi ol ogy revol uti on. Cri ck and
Watson worked out of Cambridge University in
1953, and the key research leading to recombi-
nant DNA took pl ace i n 1973-75 at Stanford
University and the University of California at San
Francisco.
Business did play a role but not established cor-
porati ons. ATT traded i ts propri etary ri ghts for
microelectronics against its telecommunications
monopoly in the 1950s and later passed up the
opportuni ty to operate Arpanet i n the 1970s
26
.
IBM failed to anticipate the PC and only jumped
on the bandwagon l ater, under such confused
conditions that it licensed the operating system
to Microsoft and left the door open for the PC
clones that would end up pushing IBM to survive
as a servi ces company. As soon as Mi crosoft
itself became a quasi-monopoly, it made similar
bl unders, such as mi ssi ng out on the Internet
unti l 1995, when i t i ntroduced i ts Internet
Explorer, a browser that was not originally creat-
ed by Microsoft but based on the reworking of a
browser designed by Spyglass, a company that
l i censed Mosai c software from the Nati onal
Center for Supercomputer Appl i cati ons. Rank
Xerox designed many of the key technologies of
the PC age at its PARC research unit but it only
half understood the wonders its researchers were
doing, to the point that they were commercialised
by other compani es, parti cul arl y Appl e
Computers. The busi ness component at the
source of informationalism was therefore, by and
large, a new breed of business -- start ups that
quickly became giant corporations (Cisco, Dell,
19
26
Abbate, 1999.
Business did play a role in the origin of
informationalism, but just corporations that
reinvented themselves, not established
ones.
Oracle, Sun Microsystems, Apple, etc.) or corpo-
rations that reinvented themselves (such as Nokia
shifting from consumer electronics to cell teleph-
ony, then to the mobi l e Internet)
27
. Capabl e of
transi ti ng from thei r entrepreneuri al ori gi ns to
i nnovati on-dri ven, l arge-scal e organi sati ons,
these new busi nesses bui l t on another funda-
mental component of informationalism, namely
the cul tural source of technol ogi cal i nnovati on
represented by the hackers culture
28
.
There are no technol ogi cal revol uti ons wi thout
cultural transformation. Revolutionary technolo-
gies have to be thought of. This is not an incre-
mental process, it is a vision, an act of belief, a
gesture of rebellion. Finance, manufacturing and
marketing will surely and ultimately decide which
technol ogi es survi ve i n the market pl ace.
However, they will not necessarily decide which
technologies develop because the market place,
as important as it is, is not the only place on the
planet. Informationalism was partly invented and
deci si vel y shaped by a new cul ture that was
essenti al i n the devel opment of computer net-
working, the distribution of processing capacity,
and the augmentation of innovation potential by
co-operation and sharing, following the logic of
open source and horizontal networking
29
.
5. In a virtuous circle
In short, technology and society come together in
the same process of hi stori cal change.
Technological change is discontinuous and ush-
ers in new periods of structural transformation
around new technological paradigms, the logic of
which is similar to that discovered by Khun for
the scientific revolutions
30
.
Informati onal i sm i s the technol ogi cal paradi gm
underlying the formation of the social structure
that characterises our world, the network society,
although the process of integration of societies
and people around the world in this globally dif-
fused network society is extremely uneven. The
understanding of how certain institutional envi-
ronments are conduci ve to i nnovati on and to
advanced technological change, while others are
not, i s essenti al for i denti fyi ng the sources of
weal th, power, and wel l -bei ng i n the worl d.
Innovation, in both its cultural and technological
mani festati on, i s the source of i nformati onal
development and it essentially depends on the
exi stence of free, hi gh qual i ty uni versi ty and
research institutions in the framework of a free
society. It is under informationalism that freedom,
science, and power all become inter-related in
what has become known as a virtuous circle.
20
27
Tuomi, 2002.
28
Himanen, 2001; Levy, 1994.
29
Weber, 2003.
30
Kuhn, 1964.
The understanding of how certain institu-
tional environments are conducive to inno-
vation and to advanced technological
change, while others are not, is essential for
identifying the sources of wealth, power,
and well-being in the world
21
REFERENCES
Abbate, Janet (1999) Inventing the Internet, Cambridge: MIT Press.
Berners-Lee, Tim (1999) Weaving the Web, San Francisco: Harper San Francisco.
Capra, Fritjof (2002) The hidden connections: integrating the biological, cognitive, and social dimensions of life into a science of sustainability, Garden
City, N Y: Doubleday & Company.
Carnoy, Martin (2000) Sustaining the new economy. Work, family and community in the Information Age, Cambridge:Harvard University Press.
Castells, Manuel (2000) The rise of the network society, Oxford: Blackwell, 2nd edition.
Castells, Manuel (2003) The power of identity, 2nd edition, Oxford: Blackwell.
Castells, Manuel and Emma Kiselyova (1995) The collapse of Soviet Communism: the view from the Information Society, Berkeley:University of
California International and Area Studies Book Series.
Chandler, Alfred D. and James W. Cortada (2000) A nation transformed by information. How information has shaped the United States from colo-
nial times to the present, New York: Oxford University Press.
De Kerckhove, Derrick (1997) Connected intelligence: the arrival of the web society, Toronto: Somerville House.
Held, David et al. (1999) Global Transformations, Stanford: Stanford University Press.
Hughes, Thomas P. (1998) Rescuing Prometheus, New York: Random House.
Jankowski, Nicholas et al. (1999) Whats new about the new media? London: Sage.
Kuhn, Thomas (1964) The structure of scientific revolutions, Chicago: The University of Chicago Press.
Kumar, Krishan (1995) From post-industrial to post-modern society, Oxford: Blackwell.
Levy, Steven (1994) Hackers. Heroes of the computer revolution New York: Penguin.
Lucas, Henry C. (1999) Information technology and the productivity paradox, New York: Oxford University Press.
Lyon, David (1988) The Information Society: issues and illusions, Cambridge, Polity Press.
Mansell, Robin (ed.) (2000) Inside the communication revolution, Oxford: Oxford University Press.
Mokyr, Joel (1990) The lever of riches. Technological creativity and economic progress, New York: Oxford University Press.
Packer, Randall and Ken Jordan (eds) (2001) Multimedia: From Wagner to virtual reality, New York: Norton.
Pisani-Ferry, Jacques and Laurence Tubiana (2002) Gouvernance Globale, Paris: Conseil dAnalyse Economique.
Raymond, Eric S. (1999) The cathedral & the bazaar. Musings on Linux and open source by an accidental revolutionary, Sebastopol, CA: OReilly.
Thompson, John B. (2000) Political scandal. Power and visibility in the media age, Cambridge, Polity Press.
Tuomi, Ilkka (2002) Networks of innovation, Oxford: Oxford University Press.
Walsham, Geoff (2002), Making a world of difference. IT in a global context, New York: Wiley.
Watts, Duncan J. (1999) Small world. The dynamics of networks between order and randomness, Princeton, NJ: Princeton University Press.
Weber, Steve (2003) The success of open source, Cambridge, MA: Harvard University Press.
Williams, Rosalind (2002) Retooling. A historian confronts technological change, Cambridge, MA: MIT Press.
22
THE SIXTH FRAMEWORK PROGRAMME FOR RTD: OPPORTU-
NITIES AND CHALLENGES FOR CATALONIA
Xabier Goenaga * and Ifigeneia Pottaki **
The sixth framework programme for RTD (2002-2006) offers important opportunities for a region to enhance its economic per-
formance and global competitiveness through improving the technological capacities of its business sector; investment in
human capital, the building of stronger links between universities and enterprises, increasing innovative activities and the pro-
motion of the market success of technological innovations, collaboration with partners in other European regions and other
parts of the world, and the gaining of access to the best European facilities for research. Effective participation in the
Programme will enable a region like Catalonia to better respond to the main economic and technological challenges of the
decade. It will have a fundamentally important impact on strengthening the local economy and improving the local potential
including human resources. This should also result in better capacities to attract investments from other geographical areas,
and compete, as well as co-operate, successfully at the European and global level.
Contents
1. Introduction
2. The European Research Area (ERA) and the Sixth Framework Programme (FP6)
3. The regional dimension
4. The Sixth Framework Programme for RTD
5. The Instruments of the Sixth Framework Programme
6. SMEs and the Sixth Framework Programme
7. Conclusions
* Xabier Goenaga Head of Unit Research and SMEs, DG Research European Commission
** Ifigeneia Pottaki Unit Research and SMEs, DG Research European Commission
THE SIXTH FRAMEWORK
PROGRAMME FOR RTD: OPPORTUNITIES
AND CHALLENGES FOR CATALONIA
23
1. Introduction
The Sixth Framework Programme for research, tech-
nological development and demonstration activities
has been open for proposals since the end of last
year. Catalonia has an important opportunity of tak-
ing part in large and ambitious technological projects
that will shape the European Research Area and
affect both the European economy and society as a
whole in the future, as well as exploiting smaller ini-
tiatives with a large potential impact on economic
growth and technological advance.
The Sixth Framework Programme (FP6) includes
research activities and instruments that will involve
the participation of large corporations and SMEs,
universities and research institutions, researchers,
regional organisations and all stakeholders interested
in playing an essential role in supporting Catalonia to
successfully respond to the challenges of the emerg-
ing knowledge-intensive economic environment.
Moreover, it provides funding that can greatly
improve the region's technological capacity and lead
to increased competitiveness on the global market.
In short, it enables a regional economy to improve its
local potential, materialise existing capabilities, learn,
innovate, develop local networks of economic co-
operation in order to successfully compete on the
European and global levels, and also to co-operate in
the sharing of knowledge, resources and benefits in
inter-regional networks.
The resources and opportunities offered by the sixth
Framework programme address the needs of
European regions and support their continuous
dynamic performance through co-ordinated actions
and investments in knowledge and innovation. At the
same time they encourage and promote collabora-
tion initiatives at the European and global scale that
offer enormous opportunities for economic and tech-
nological development. The FP6 provides significant
means to respond to the needs of the European
regions and the environment in Europe as a whole in
order for there to be stronger links between the
economy, science and society.
In terms of the economy, this refers mainly to facili-
tating the commercialisation of technological innova-
tions and the improvement of the technological
capacity of business enterprise, with particular atten-
tion to SMEs. Particular attention is given to the
needs of SMEs and their role in regional competitive
advantage through specific actions involving SMEs,
and also through measures encouraging their partic-
ipation in European research projects of high impact
and critical mass. These projects will enable SMEs to
upgrade their technological capacities and to net-
work with other partners for technological and com-
mercial advantage (see section six).
Numerous areas that are of particular interest to the
Catalan economy have also received special atten-
tion under the specific programmes of FP6. A brief
overview of the Sixth Framework Programme is given
The sixth Framework Programme provides
significant means to respond to the needs of
the European regions and the environment
in Europe as a whole in order for there to be
stronger links between the economy, sci-
ence and society.
below, with particular mention made of certain areas
with a significant potential impact for Catalonia.
While not an exhaustive presentation of the activities
and instruments of FP6, this description should pro-
vide an overview of the whole Programme and enable
interested parties to identify the main areas where
they could participate, together with the appropriate
instruments for their proposed projects from those
that are available.
2. The European Research Area (ERA)
and the Sixth Framework Programme
(FP6)
The European Research Area embodies the objective
of the European Union and the Member States of
achieving the best possible use of Europe's scientific
capabilities and material resources
1
. This requires the
coherent implementation of European and national
policies as well as the free movement of knowledge
and human potential in the European Union. The ERA
seeks to provide an environment that attracts the best
researchers, supports and encourages research and
technological development activities and results in an
increase in the level of research and knowledge to the
highest international levels
2
. The plan for the estab-
lishment of the ERA was adopted by the European
Council in Lisbon (23-24 March 2000). It is a central
component in the development of the knowledge-
based economy and society in Europe and a number
of developments have followed that have further
specified and promoted this objective
3
.
The Sixth Framework Programme (2002-2006) is
expected to make a major contribution to the cre-
ation of the European Research Area. It aims to facil-
itate the free movement of researchers, promote
research activities and the production and use of
knowledge, and support innovation
4
. It consists of an
integrated approach to put in place the conditions for
strengthening the scientific and technological bases
of Community economic activities and improving its
competitiveness at the international level.
In the current era of globalisation and as European
Union grows and integrates more states, regions
and citizens, the production and use of knowledge
are recognised as playing an increasingly important
rol e i n the mai n European economi c and soci al
objectives. These include economic growth, quality
of life and the environment, employment and the
creati on of new and better j obs, and ci ti zens'
awareness of the scientific and technological devel-
opments that shape the conditions for current and
future generati ons and parti ci pate i n the future
development of society. It is estimated that research
and technology account for up to 50% of economic
growth. An area's technological base and research
and innovation potential, together with its learning
potential used for the purpose of further develop-
ment, undoubtedl y pl ays an essenti al rol e i n the
building of a competitive economy that is capable of
supporting the social objectives and principles that
are characteristic of the process of European inte-
gration.
3. The regional dimension
In the era of globalisation, the local economic and
social environment plays an increasingly important
24
1
COM (2000) 6, January 2000 Towards a European Research Area.
2
See also on the ERA http://europa.eu.int/comm/research/era.
3
See also COM (2000) 612. Making a reality of the European Research Area: Guidelines for EU research activities 2002-2006.
4
See also on the ERA and its link to the Sixth Framework Programme http://europa.eu.int/comm/research/era/leaflet.
THE SIXTH FRAMEWORK
25
role in economic development. Regions are today
recognised as the locus of economic activity, inter-
acting on the national, European and global scales.
Furthermore, there is a particularly strong link
between the technological and organisational
changes characteristic of post-Fordist production
systems and the empowerment of the region as an
economic unit. This can be clearly understood when
considering that, at a time when economic relations
are becoming increasingly globalised, specialised
know-how and technological capability are out of
necessity linked to a local social context.
Dynamic regional economies are commonly flexible
and highly specialised. One of their main characteris-
tics is the horizontal co-operation between enterpris-
es, and between enterprises and institutions, that
enables these economies to build and sustain strong
competitive advantages. Successful networks of
local collaboration enable a region to compete effec-
tively in the global market, as well as permitting the
creation of partnerships and networks with other
institutions and enterprises from different regions
with resulting benefits for all partners.
This means that economic competitiveness today
increasingly involves partnership and interactive
innovation. Networks of collaboration in research
activities allow regions to improve their local techno-
logical capacities, including the pool of human
resources, while being part of a dynamic environment
of learning and innovation. Achievements in science
and technology thereby promote further research in
situ as well as elsewhere and benefit all European
researchers, producers and citizens that form part of
this free area of research and innovation.
In summary, the European Research Area is based
on an approach that aims at integrating research and
development activities at the regional, the national
and European levels and creating a new type of inter-
action between the Union's research and regional
policies
5
.
Apart from the research and technological develop-
ment policy, the EC supports R&D activities in the
European regions through the Structural Funds. The
Structural Funds make a major contribution to sup-
porting regional economic performance, increasing
the potential of regions for research and innovation,
closing the gap between the most dynamic regions in
the European economy and those lagging behind in
economic development, and enhancing European
competitiveness and social cohesion. Catalonia is
receiving 1 235 million under the structural funds
and particularly the current objective 2 programme,
which includes a priority for research, innovation and
the information society.
Catalonia is an example of an area with important
research and innovation activities, demonstrating the
dynamic of European regions for research, techno-
5
See Mitsos A, 2001, The Territorial Dimension of Research and Development Policy: Regions in the European Research Area
http://europa.eu.int/comm/resaerch/area/regions.html.
Catalonia is an example of an area with
important research and innovation activities,
demonstrating the dynamic of European
regions for research, technological develop-
ment and economic advance.
logical development and economic advance. It is one
of the four partners in the network of motor-regions
together with Baden-Wrttemberg, Rhne-Alpes and
Lombardia. Participation in the Sixth Framework
Programme can further enhance the research and
innovation potential of the region, improve its tech-
nological capacities and help create stronger links
between the academic and industrial communities. It
is a great opportunity to build successful collabora-
tions for investment, research, learning and econom-
ic competitiveness and to co-operate effectively at
the regional, European and international level for
improved competitiveness in the global market.
4. The Sixth Framework Programme for
RTD
The Sixth Framework Programme as a basic compo-
nent in the creation of the ERA is a major step
towards the realisation of the objectives decided at
the European Council in Lisbon for sustainable
growth, more employment and social cohesion. The
ultimate goal of these efforts is to make the European
economy the most competitive and dynamic knowl-
edge-based economy in the world by 2010. To
achieve this, it is necessary to put into effect the
structural changes on research and development in
member states and associated and candidate coun-
tries, working not just at the European level but at the
regional and national ones as well.
The Sixth Framework Programme attaches great
importance to the needs of SMEs in line with the
European Charter for small enterprises endorsed by
the Feira European Council (June 2000) that aims to
strengthen the technological capacity of small enter-
prises and facilitate their access to the best research
and technology. SMEs are encouraged to participate
in all areas and instruments of FP6, especially the
activities carried out by the thematic priorities (see
below). FP6 aims to involve all partners from small
and big business, dynamic and less dynamic regions,
basic research activities, institutions and applied
research in the creation of the ERA and the strength-
ening of the European economy. It also addresses
the international and global dimension in research
through encouragement given to co-operation with
countries outside of Europe. It is open to the partici-
pation of all countries that have concluded associa-
tion agreements with the Community, while third
countries can participate under bilateral agreements.
Another area of great significance under the Sixth
Framework Programme is human resources and pro-
motion given to the mobility of researchers. An action
plan is also being implemented to promote the role
and place of women in science and research.
The total Community financial contribution to FP6 is
EUR 17,500 million. Excluding Euratom, EUR 16,270
million of this is assigned to the three headings under
which the programme is structured; 'Focusing and
Integrating Community Research', 'Structuring the
European Research Area' and 'Strengthening the
Foundations of the ERA'
6
.
Focusing and integrating Community research
The activities carried out under this heading repre-
sent the major part of the efforts and budget
deployed in the FP6 and are intended to integrate
research efforts and activities on a European scale.
They are focussed primarily on seven clearly defined
thematic priority areas, while further specific meas-
26
6
FP6 is also distinguished into two specific programmes, the specific programme Integrating and Strengthening the European Research Area and the specific
programme Structuring the European Research Area. See also http://europa.eu.int/comm/research/fp6.
THE SIXTH FRAMEWORK
27
ures will be undertaken across a wider field of scien-
tific and technological research. This area is broken
down into three main subgroups, namely the seven
thematic priorities, specific activities covering a wider
field of research and the non-nuclear activities of the
Joint Research Centre (JRC).
Priority thematic areas
The seven priority thematic areas respond to main
challenges in the creation of the ERA and the
strengthening of European competitiveness and the
knowledge-based economy in particular. They aim to
bring about European added value by assembling a
critical mass of resources. Special attention is given
to innovation and the initial development of highly
innovative enterprises in areas of vital interest to
European competitiveness, as well as exploratory
research at the leading edge of knowledge.
The seven priority thematic areas are identified as:
Life sciences, genomics and biotechnology for health
This area includes activities intended to help Europe
exploit breakthroughs achieved in the decoding of
genomes of living organisms, particularly for the ben-
efit of public health and citizens and to increase the
competitiveness of the European biotechnology
industry. It is intended to facilitate the integration of
public and private research capacities across
Europe, increase coherence and achieve critical
mass. Research can be multidisciplinary, taking into
account the interactions between technology and
biology and enabling practical applications from the
scientific knowledge in this area. An important objec-
tive in the implementation of this activity is the
involvement of all stakeholders including those in dif-
ferent industrial sectors, the health sector, policy-
making institutions, patients and experts in a variety
of issues, including ethics, that criss-cross. The
activities will enhance the European biotechnology
industry, foster the development of the European
strategy for health and improve the framework condi-
tions for innovation.
The area includes two distinct research priorities,
namely advanced genomics and its applications for
health, and activities to combat major diseases, such
as cardiovascular diseases, diabetes and rare dis-
eases, cancer and major poverty-linked infectious
diseases. It also includes activities to acquire a bet-
ter understanding of the functions of the brain and
the nervous system.
Information society technologies
IST has become Europe's second most important
sector of the economy with an annual market of EUR
2,000 billion and employing more than 2 million per-
sons. The sector is growing increasingly and has
Table 1
Sixth Framework Programme Budget
Types of activities Amount (M)
EC
Focusing and integrating Community research 13.345
Structuring the European Research Area (ERA) 2.605
Strengthening the foundations of the
European Research Area 320
Subtotal 16.270
Euratom
Management of radioactive waste 90
Controled termonuclear fusion 750
Radiation protection 50
Joint Research Centre (JRC) activities 290
Other activities in the field of nuclear technologies
and safety 50
Subtotal 1.230
Total 17.500
important implications for the overall structure, pro-
ductivity and growth of the European economy. It is
changing life and work patterns and is central to the
living standards of European citizens. Moreover, it is
an essential area of investment and progress for any
region playing a leading role in the European knowl-
edge-based economy.
The activities under this thematic priority follow the e-
Europe initiative and are intended to stimulate the
development in Europe of both hardware and soft-
ware technologies. On the one hand, they aim to
increase the competitiveness of the European ISC
industry and on the other to allow citizens in all
regions the possibility of fully benefiting from the
development of the knowledge-based society.
Successes such as in mobile communications as a
result of the global system for mobile communica-
tions (GSM), which is now facing the development of
the next generation of systems, can place Europe in
a leading position in global competition. Important
investments are directed in this area through co-ordi-
nated efforts by public and private sectors. The focus
is placed on technologies where computers and net-
works are part of the everyday environment and
involve a wide variety of applications and services.
This describes the vision of ambient intelligence, of
an interactive intelligent environment where human
beings are driving the knowledge-based economy
and society.
In short, the actions involved in this area aim at inte-
grating research into the technological areas that are
the main interests of citizens and the business com-
munity, including the main challenges of IST for the
future shape of work and the workplace. Such areas
are the all-digital world and the need to assert the
rights of citizens; access to IS for all; electronic and
mobile commerce; e-learning; e-government and
systems for knowledge and corporate management;
as well as distributed systems and platforms includ-
ing systems based on global resource information
database (GRID) for complex problems in modern
society. Furthermore, a large area of effort will focus
on communication technologies and computing,
especially mobile wires and optical and broadband
communication infrastructures, such as the new gen-
erations of communication systems and networks
and the development of the next Internet generation,
and distributed and embedded computer systems. A
special area of attention is components and
Microsystems, including nanoelectronics and micro-
technologies, as well as quantum devices and new
computing models and concepts. Research will also
focus on information management tools and inter-
faces, including cognitive systems and systems
based on semantics and the processing of digital
information and multisectors capable of understand-
ing human expression, such as language.
Nanotechnologies and nanosciences, knowledge-
based multifunctional materials and new production
processes and devices
Manufacturing currently contributes a turnover of
around EUR 4,000 billion to the European economy
but needs important investments in research activi-
ties in order to increase its competitive position at the
international scale and at the same time promote the
objectives of sustainable development. This activity
facilitates the transition of the European production
industry to a more knowledge-based and environ-
28
It is intended to facilitate the integration of
public and private research capacities
across Europe, increase coherence and
achieve critical mass.
THE SIXTH FRAMEWORK
29
mentally friendly organisation, linked with new organ-
isation paradigms, products and services, with a
broad focus on quality and value-added characteris-
tics. New materials and nanotechnologies play a cru-
cial role in successful technological solutions and the
applications of research and innovation in this area
affect a broad range of production activities.
Europe has considerable expertise is areas such as
nanomanufacturing and nanochemistry and there are
potential markets of tens of billions of Euro in areas
related to new materials and processes for tradition-
al economic sectors, such as transport and energy,
but also with respect to environment-friendly produc-
tion systems.
Aeronautics and space
This area refers to industries where Europe has a tra-
dition of success and economic and commercial
potential and represents a future market of EUR
1,000 billion. The activities are aimed at strengthen-
ing the aeronautics and space industries and pro-
moting their global competitiveness, as well as
improving safety and environmental protection.
Food quality and safety
This area in Europe accounts for approximately 2.6
million jobs with an annual turnover of around EUR
600 million. SMEs are particularly important as they
represent the majority of the number of enterprises.
Activities in this area aim to develop an environmen-
tally friendly and safer food production and distribu-
tion chain and to control food-related risks, relying in
particular in biotechnology and taking into account
the results of post-genomic research, as well as to
control health risks related to environmental
changes. Emphasis is placed on the whole food pro-
duction chain to ensure high quality and safety.
Applications of animal and plant sciences are partic-
ularly relevant. The approach replaces the more tra-
ditional treatment of 'from farm to fork' with a 'from
fork to farm' approach or, in other words, of making
consumer protection the main driver in food research
activities. A number of research priorities have been
identified in this thematic area, such as the epidemi-
ology of food-related disease, the impact of food on
health, 'traceability' processes in the food production
chain, new production methods and technologies,
and environmental health risks.
Sustainable development, global change and
ecosystems
Actions in this area are intended to further sustain-
able development as emphasised in the Gteborg
European Council, particularly in areas of renewable
energy, transport, the sustainable management of
Europe's land and marine resources and preserving
the equilibrium of ecosystems. Activities aim in par-
ticular to promote changes in energy consumption
behaviour leading to an energy-intelligent Europe.
New approaches to mobility with less waste and
emissions and a reduction in the impact of econom-
ic activities on the environment are encouraged.
Furthermore, a better understating of ecosystems,
including climate change and forecasting capacities,
is required.
Priority areas are energy and transport, which are
responsible for the great majority of the Europe
Union's emissions that, under the 1997 Kyoto proto-
col and in line with Europe's sixth environment action
programme, are to be reduced by 8% compared with
the 1990 levels in the period 2008 to 2012. The
actions refer to short and medium as well as long-
term objectives.
The activities are distinguished in three main areas.
The aim under 'Sustainable energy systems' is to
reduce greenhouse emissions while ensuring the
security of energy supply, and to increase the use of
renewable energy while improving the competitive-
ness of European industry. Efforts in the area of
'Sustainable surface transport' (road, rail and water-
borne transport) are needed to confront the growing
problem of additional traffic to already congested
transport networks. This requires research activities
and innovations to improve the European system at
the same time that these will lead to an enhancement
of the competitive position of Europe in the produc-
tion and operation of transport means and systems.
'Global change and ecosystems' comprises research
activities in the area of the complex changes in the
physical, chemical and biological components of the
Earth system and especially the effect of human
activities on global change, as well as activities to
promote the sustainable use of natural resources,
preserve ecosystems and protect biodiversity.
Ci ti zens and governance i n a knowl edge-based
society
The activities carried out in this area are intended to
mobilise and co-ordinate the necessary European
research capacities in the social sciences for devel-
oping a better understanding of the knowledge-
based society and new forms of governance, espe-
cially with respect to the relations between its
citizens, on the one hand and between its citizens
and institutions, on the other. Actions will focus on
the study and development of the knowledge-based
society and Europe's transition towards this, as well
as the issue of social cohesion, especially with
respect to the Lisbon objectives of Europe becoming
the most competitive and dynamic knowledge-based
economy in the world, capable, of sustained eco-
nomic growth providing more and better jobs and
greater social cohesion. Questions of citizenship,
democracy and new forms of governance are partic-
ularly relevant in this context.
Specific activities covering a wider field of
research
Include three main categories of action:
- Supporting policies and anticipating scientific and
technological needs, which refers to activities in
support of Community policies and research that
responds to new and emerging scientific and tech-
nological needs,
- The horizontal research activities involving SMEs,
for SMEs in traditional or new areas and
- Specific measures in support of international co-
operation, especially for developing countries,
Mediterranean regions including the western
Balkans, and Russia and the new independent
states (NIS).
Structuring the European Research Area
The 'Structuring the European Research Area' pro-
gramme covers four main areas of activities:
- Research and innovation, which includes activities
to stimulate technological innovation, utilisation of
research results and transfer of knowledge and the
setting up of technology businesses. These activi-
ties complement the activities relating to innovation
under the specific 'Focusing and integrating
Community research' Programme. They aim to
promote networking and co-operation and encour-
30
New approaches to mobility with less waste
and emissions and a reduction in the impact
of economic activities on the environment
are encouraged.
THE SIXTH FRAMEWORK
31
age learning, to experiment with new approaches
and tools on research and innovation, for example
innovation clusters, and to put in place services for
the support of research activities and entrepre-
neurial innovation. Especially important in this con-
text is the encouragement of regional innovation
policies and transregional co-operation that aims
to provide a European platform for mutual learning
among regions and stimulate regional policy-mak-
ing with respect to innovation. These activities will
complement the activities carried out under the
Structural Funds and will include the networking of
regions and the funding of experimental projects
for new approaches to regional innovation policies.
- Human resources and mobility, which includes
activities that promote transitional mobility for train-
ing expertise and the transfer of knowledge. The
aim is on the one hand to build scientific excellence
in Europe and on the other to help Europe become
more attractive to world class researchers.
- Research infrastructures, which includes activities
to promote the optimum use of, including access
to, research infrastructures and to support the
identification and, in duly justified cases, the set-
ting up of advanced research facilities of European
interest.
- Science and society, which includes activities to
encourage harmonious relations between science
and society, the awareness of society in respect
to science and informed dialogue between
researchers, industrialists, political decision-mak-
ers and citizens.
Strengthening the foundations of the European
Research Area
The 'Strengthening the foundations of the European
Research Area' activity comprises measures to step
up the co-ordination and support for the develop-
ment of RTD policies in Europe, including measures
such as the opening up of national programmes. The
total activity budget is EUR 320 million and is allo-
cated to two types of activities, namely support for
the co-ordination of activities (EUR 270 million) and
support for the coherent development of policies
(EUR 50 million).
The ERA-NET scheme is the principal means under
the Sixth Framework Programme to support the co-
operation and co-ordination of research activities car-
ried out at the national or regional level. It covers the
Table 2
Focusing and Integrating Community Research Programme
Budget
Amount
Types of activities
(Milions d)
Priority Thematic Areas of research
Life sciences, genomics and biotechnology for health
Advanced genomics and its applications for health
Combating major diseases 2.255
Information society technologies 3.625
Nanotechnologies and nanosciences, knowledge-based
multifunctional materials and new production
processes and devices 1.300
Aeronautics and space 1.075
Food quality and safety 685
Sustainable development, global change
and ecosystems 2.120
Citizens and governance in a knowledge-based society 225
Subtotal 11.285
Specific activities covering a wider field of
research
Policy support and anticipating scientific
and technological needs 555
Horizontal research activities involving SMEs 430
Specific measures in support of
International co-operation 315
Subtotal 1.300
Total 12.585
networking of research activities as well as the mutu-
al opening of national and regional research pro-
grammes and thereby aims to improve co-ordination
across Europe. ERA-NET will facilitate the exchange
of information and good practices and the develop-
ment of complementarities through the networking of
research activities. The scheme places much empha-
sis on quality in research planning, especially as con-
cerns evaluation and training. The approach has a
strong long-term dimension that aims to the progres-
sive deepening of collaboration while maintaining the
differences in the organisation of research in different
states and regions and allowing the partners to learn
from each other. It is a bottom-up approach that cov-
ers activities in the whole field of science and tech-
nology including social science and humanities. It is
implemented through co-ordination actions of a few
years duration and Community funding of up to 3 mil-
lion and specific support actions for projects with a
more limited scope and timescale (one year, with
Community funding up to 200 000 ). The research
activities that can be funded for the additional costs
of co-operation and co-ordination must be strategi-
cally planned and executed at regional or national
level and financed or managed by national or region-
al public bodies or structures closely related to or
mandated by public authorities.
5. The Instruments of the Sixth
Framework Programme
The vari ous acti vi ti es under the speci fi c pro-
grammes are to be implemented through a range of
instruments, referred to as 'indirect RTD actions', to
which the Community will contribute financially. In
addi ti on, the Communi ty wi l l undertake acti vi ti es
implemented by the Joint Research Centre, referred
to as 'direct actions'. The JRC will generally provide
i ndependent customer-dri ven support wi thi n i ts
areas of speci fi c competence, such as acti vi ti es
related to food and chemical products, health, envi-
ronment and sustainability.
Two main new instruments (networks of excellence
and i ntegrated proj ects) have been i ntroduced
under FP6 that aim to attract the largest and most
ambitious projects with the highest financial contri-
bution from the Community in actual term.
Networks of excellence (NoE) aim to strengthen and
devel op Communi ty sci enti fi c and technol ogi cal
excel l ence by means of the i ntegrati on at the
European l evel of research capaci ti es currentl y
existing or emerging at both national and regional
l evel . Each network wi l l al so ai m at advanci ng
knowledge in a particular area by assembling a crit-
ical mass of expertise. This instrument will also fos-
ter co-operati on between uni versi ti es, research
32
Table 4
Strengthening the foundations of the European Research Area
Programme Budget
Support for the co-ordination of activities 270
Support for the coherent development of policies 50
Total 320
Table 3
Structuring the European Research Area Programme Budget
Research and innovation 290
Human resources and mobility 1.580
Research infrastructures 655
Science and society 80
Total 2.605
THE SIXTH FRAMEWORK
33
centres, enterprises (including SMEs) and science
and technology organisations. The activities con-
cerned will generally have long-term (the durable
integration of research activities) and multidiscipli-
nary obj ecti ves. A network of excel l ence wi l l be
i mpl emented by a j oi nt programme of acti vi ti es
involving some or all of the research capacities of
the participants in the relevant area to attain a criti-
cal mass of expertise and European added value.
This instrument is expected to have a major impact
on the spreading of knowledge and excellence and
dissemination of the results of research activities
outside the network.
Integrated Projects (IP) are designed to mobilise a
critical mass of research and technological develop-
ment capacities and competencies in order to pro-
mote Europe's economic competitiveness and to
address major societal needs. Integrated projects
ai m at speci fi c resul ts i n terms of products,
processes, servi ces etc. Li ke networks of excel -
lence, they are appropriate for large, ambitious proj-
ects. They may also include more long-term or risk-
involved research. While a network of excellence is
implemented through a joint programme of action,
integrated projects comprise a coherent set of com-
ponent acti ons. The acti vi ti es i ncl ude research,
technol ogi cal devel opment and/or demonstrati on
as well as management co-ordination and activities
for the use of knowledge and promotion of innova-
tion, depending on the objectives of the project.
Besides the new instruments, more traditional ones
are also used under FP6 including specific targeted
research or innovation projects, specific research
proj ects for SMEs (the co-operati ve research
scheme that is an evolution of the CRAFT scheme in
previous framework programmes, and the new col-
lective research scheme initiative that follows a pilot
action in FP5, which involves large communities of
SMEs
7
through thei r associ ati ons or groupi ngs),
actions for human resources and mobility, and inte-
grated infrastructure initiatives. In addition, co-ordi-
nati on acti ons, speci fi c support acti ons and the
parti ci pati on of the Communi ty i n programmes
undertaken by several member states pursuant to
article 169 of the Treaty (see also diagram) may be
applied throughout the programme. The appropri-
ate instrument depends on the scope, objective and
size of the action. The instruments generally involve
uni versi ti es or i nsti tuti ons of hi gher educati on,
research organisations and enterprises, including
SMEs. The activities include research, dissemina-
tion, transfer and exploitation of knowledge as well
as anal ysi s and eval uati on of the economi c and
social impact of the technologies concerned and
the factors involved in their implementation. Actions
are to be selected on the basis of the calls for pro-
posals and through independent peer review.
Concerning the seven priority thematic areas in par-
ti cul ar, the i mportance of the new i nstruments i s
recogni sed as bei ng an overal l pri ori ty means to
attain the objectives of critical mass, management
7
See also http://www.cordis.lu/fp6/find-doc.htm
Actions are to be selected on the basis of
the calls for proposals and through inde-
pendent peer review.
simplification and European added value, namely
additional impact and results in relation to what is
already undertaken at national level. While the new
instruments generally apply to very large and ambi-
tious projects, size is not a criterion for exclusion
and access to them is ensured for SMEs and other
small entities.
6. SMEs and the Sixth Framework
Programme
Small and medium-sized enterprises (SMEs) repre-
sent the overwhel mi ng maj ori ty of enterpri ses i n
Europe. They are the main creators of new jobs and
source of dynamism and change in new markets
and, as the largest business community, they also
form a highly heterogeneous group. Despite their
differences, however, all SMEs are confronted with
the increasing competition resulting from the inte-
gration of the European internal market and eco-
nomic globalisation. In order to respond to these
pressures, constant innovation and adaptation to
economic and technological developments are nec-
essary, together with the need for relations of co-
operation and partnership with business and other
institutions, expansion into new markets and the
discovery or creation of new business opportuni-
ties. In short, this requires innovation, relations of
co-operation within a competitive economic envi-
ronment and effective strategies of internationalisa-
tion.
The Si xth Framework Programme for Research
attaches great importance to the participation of
SMEs, whi ch wi l l parti ci pate mai nl y through the
activities implemented under the Priority Thematic
Areas of research wi thi n Networks of Excel l ence
(NoE), Integrated Projects (IP) and Specific Targeted
Research projects. At least 15% of the budget relat-
ing to the seven thematic priorities FP6 has been
set aside for SMEs, corresponding to at least EUR
1,700 million. Special efforts are made to facilitate
the the parti ci pati on of SMEs i n the new i nstru-
ments.
The maj or part of the budget of the Themati c
Priorities being allocated to SMEs is expected to be
channelled through Integrated Projects. IPs are well
suited to include SMEs given their main character-
istics, especially objective-driven research, knowl-
edge deliverable and medium to large scale. The
opti mal parti ci pati on of SMEs i n an Integrated
Proj ect can further i ts obj ecti ves of cri ti cal mass
and ambition, and SME involvement constitutes one
of the criteria for assessing the quality of the con-
sorti um of an Integrated Proj ect Proposal . SMEs
can parti ci pate i n an Integrated Proj ect at any
stage, from i ts start through to a l ater stage of
implementation. Technological development, take-
up, demonstration and training activities, which are
main components of an Integrated Project, can all
involve SME participants.
In addition to the participation of SMEs in the instru-
ments that implement actions in the thematic prior-
ity areas, the specific schemes for SMEs in the form
of actions on Collective Research and Co-operative
Research are expected to have an important impact
on the research capaci ti es of SMEs. These
schemes mai nl y address the l arge communi ty of
SMEs i n need of i nnovati on but wi th l i mi ted
research capabilities of their own. A total budget of
EUR 430 million has been allocated to these 'hori-
34
The Sixth Framework Programme for Research
attaches great importance to the participa-
tion of SMEs.
THE SIXTH FRAMEWORK
35
zontal research acti vi ti es i nvol vi ng SMEs'.
Economic and Technological Intelligence activities
are al so funded under the Si xth Framework
Programme. These proj ects wi l l be carri ed out
mainly by intermediaries (e.g. SME National Contact
Points, industrial federations, networks and associ-
ations of research performers, professional associa-
tions, chambers of commerce), working with/for the
innovation players as well as organisations with the
appropriate expertise.
7. Conclusions
The Sixth Framework Programme provides impor-
tant means of support for the research and techno-
l ogi cal devel opment acti vi ti es of busi nesses,
research institutions and universities. It promotes
improvements in technological capacities, produc-
ti on of new knowl edge, i nnovati on, l earni ng and
mobi l i ty of human resources, and can pl ay an
important role in helping regions and economies to
achieve a higher degree of economic competitive-
ness. To succeed in the aim of making Europe the
most competitive knowledge-based economy in the
world, capable of providing a high quality of life for
all of its citizens, important efforts are required not
only at the European and national level but also and
in particular at the regional level, which is closest to
where production, research and innovation activities
actually take place.
Some of the main points of this overview of the Sixth
Framework Programme are the following:
- The European Research Area requires the coher-
ent implementation of European and national poli-
ci es and the free movement of knowl edge and
human potential in the European Union and aims
to provide an environment that attracts the best
researchers, supports and encourages research
and technol ogi cal devel opment acti vi ti es and
results in the increase of research and knowledge
to the highest international levels
- The Sixth Framework Programme (2002-2006) is
expected to make a major contribution to the cre-
ation of the European Research Area. The total
amount for Community financial contribution to
FP6 is EUR 17,500 million, of which (excluding
the nuclear activities of Euratom) EUR 16,270 mil-
lion is arranged in three programmes, 'Focusing
and i ntegrati ng Communi ty Research',
'Structuri ng the European Research Area' and
'Strengtheni ng the foundati ons of the ERA' (or
two specific programmes).
- Regions play an important role in the construction
of the European Research Area, which requires
the i ntegrati on of research and devel opment
activities at the regional, national and European
levels.
- The Si xth Framework Programme for Research
attaches great importance to the participation of
SMEs, which will participate mainly through the
activities implemented under the Priority Thematic
Areas of research within Networks of Excellence
(NoE), Integrated Proj ects (IP) and Speci fi c
Targeted Research projects. At least 15% of the
budget relating to the seven thematic priorities of
FP6, or at least EUR 1,700 million, has been set
aside for SMEs,. Specific activities will allocate a
further EUR 430 million to SMEs.
- The Sixth Framework Programme introduces new
instruments for large scale and critical mass, and
contains seven priority thematic areas as well as
other actions.
- The Sixth Framework programme seeks to involve
al l stakehol ders. Busi nesses, uni versi ti es,
research centres and other i nsti tuti ons i n
Catalonia need to take account of the enormous
opportunities that are opening up and participate
in research activities under FP6, to promote the
future competitiveness of the regional economy.
36
* Roser Mart i Torres is legal advisor to the Generalitat de Catalunya (Government of Catalonia). As the head legal advisor to the Departament dUniversitats,
Recerca i Societat de la Informaci (Ministry of Universities, Research and the Information Society) of the Generalitat de Catalunya (Government of Catalonia) she
took part in the wording of the draft bill for this law.
LAW ON THE UNIVERSITIES IN CATALONIA. A SPECIFIC
REGULATORY FRAMEWORK FOR THE UNIVERSITIES IN THE
CATALAN UNIVERSITY SYSTEM
Roser Mart i Torres *
Law 1/2003 of 19 February on the Universities in Catalonia (Llei dUniversitats de Catalunya, LUC). is the first law to be adopt-
ed by the Parliament of Catalonia that in general terms incorporates the different aspects of competence as regards the uni-
versities. The authoress, who actively contributed to the drawing up of the draft bill, analyses the contents of the law and
explains how lawmakers have endeavoured to capture the perceptions of Catalan society and in particular of the academic
community to design a model appropriate to the realities and needs of Catalan universities.
The article refers to the concept of university system, which brings together the different universities established in Catalonia
and those set up or recognised by the Catalan Parliament in the future; it explains the new concept of the university communi-
ty that is being integrated in a participative way on a European level, with special mention of the Catalan model for teaching
and research personnel on contract from the universities and the instruments for inter-university mobility, co-operation and col-
laboration; it underlines the importance of the actions of students and former alumni, and the areas established by the Law in
which they can participate, together with their rights and duties; it refers to the Catalan language as a sign of identity of the
Catalan universities; it explains the development of the Catalan University Quality Assurance Agency which has taken on
important functions concerning teaching staff and the assessment of university academic activities; and, lastly, it points out the
main new developments in the Inter-university Council of Catalonia, the main body for university co-ordination, and in the struc-
ture of the Social Councils in order for these to continue performing the important role of representing society as a whole in
the universities.
LAW ON THE UNIVERSITIES IN CATALONIA
A SPECIFIC REGULATORY FRAMEWORK FOR THE UNIVERSITIES
IN THE CATALAN UNIVERSITY SYSTEM
37
Contents
1. The Law 1/2003 of 19 February on the Universities in Catalonia (the Catalan Universities Law). (Llei dUniversitats de
Catalunya, LUC). The full exercising of competence of the Generalitat de Catalunya and university autonomy.
1.1. Development of the Catalan University. Confidence in democracy and progress.
1.2. The threefold division of competence with regard to the universities.
2. The essential core structure of the Catalan Universities Law: the Catalan University System.
2.1. The universities that make up the Catalan University System.
2.2. Objectives of the Catalan University System. The mission of teaching, research and study activities.
2.3. University teaching and research: institutions and structures.
3. The University Community in Catalonia.
3.1. University teachers and researchers.
3.2. Categories of teaching and research personnel contracted by Catalan universities.
3.3. Features of the Catalan model for university teaching staff.
3.4. The scope of jurisdiction of the Autonomous Regional Communities with regard to academic research personnel.
Resident and affiliated researchers.
3.5. The students of the Catalan University System. University admission.
3.6. The rights and responsibilities of university students.
3.7. The policy for university grants and scholarships.
4. Objectives of the Catalan University System: the European Area of Higher Education and the mobility of researchers.
5. The Agncia per a la Qualitat del Sistema Universitari de Catalunya (Catalan University Quality Assurance Agency).
Evaluation, accreditation and certification.
6. University co-ordination and the involvement of society in the universities.
7. The Catalan Universities Law: the legal framework and its development, interpretation and application.
1. Law 1/2003 of 19 February on the
Universities in Catalonia. The full
exercising of competence of the
Generalitat de Catalunya and Catalan
university autonomy.
Law 1/2003 of 19 February on the Universities in
Catalonia (LUC) was adopted by the Plenary Assembly
of the Parliament of Catalonia and came into effect on 20
February 2003 on publication in the Official Gazette of
the Generalitat de Catalunya (DOGC no. 3826). The Law
consists of a preamble, 165 articles, 12 supplementary
provisions, 7 temporary provisions, 1 derogatory provi-
sion and 3 end provisions.
Law 1/2003 is the first law to be adopted by the
Parliament of Catalonia that in general terms incorpo-
rates the different aspects of competence as regards the
universities. The capacity to legislate over the universities
emanates from article 15 of the Estatut d'Autonomia de
Catalunya (EAC) (Statute of Self-Government for
Catalonia), which recognises the full jurisdiction of the
Generalitat de Catalunya (Government of Catalonia) to
regulate and administer education throughout Catalonia
on all levels and in all forms, means and areas within the
scope of its competence, without prejudice to article 27
of the Spanish Constitution and Constitutional Laws
which, pursuant to the first section of article 81 of the
same, elaborate on this matter; the faculties attributed to
the Spanish State according to section 1, number 30 of
article 149 of the Spanish Constitution, and the high
level of necessary inspection to ensure compliance and
guarantee.
In making specific reference to the full jurisdiction of the
Generalitat de Catalunya in education, the wording of
article 15 (EAC) thereby makes a distinction between this
and its exclusive jurisdiction recognised in articles 9 and
12 (EAC). It also distinguishes it from the Generalitat de
Catalunya's competence in legislative and executive
functions in the instruments systematised in article 10
(EAC) and clearly covers spheres that are more extensive
than the mere execution of State legislation in matters
laid down in article 11 (EAC). This is the only area in which
the Generalitat de Catalunya is attributed full jurisdiction.
The bill for the Estatut de Sau (Sau Statute), which was
adopted by the Legislative Assembly of the Parliament of
Catalonia, initially attributed exclusive competence to the
Generalitat de Catalunya in matters of education
1
.
According to the wording that was finally adopted after
a highly interesting debate in the session on 13 August
1978
2
, the exclusive competence initially attributed to
the Generalitat de Catalunya was finally defined as full
competence, as currently laid down in article 15 (EAC),
even though this term had never been used before in
either the Spanish Constitution or the Statute and was
without precedent in current doctrine at that time.
38
1
According to the wording of Article 16 of the draft bill for the Statute of Autonomy for Catalonia and even before, in the first draft, the Generalitat de Catalunya
(Government of Catalonia) was attributed exclusive competence in matters of education.
2
Debate between the Commissin Constitucional (Constitutional Commission) and the Delegaci de lAssemblea de Parlamentaris de Catalunya (Delegation of the
Legislative Assembly of the Parliament of Catalonia), on the grounds of the drafting of the article regarding education proposed by the Legislative Assembly of the
Parliament of Catalonia.
Law 1/2003 is the first law to be adopted by
the Parliament of Catalonia that in general
terms incorporates the different aspects of
competence as regards the universities.
Over and above excelling and distinguishing themselves,
it is the contribution made by the Catalan universities and
Catalan culture to the spiritual heritage of humanity that
reflect the true spirit of our nation.
Bill for the Statute of Autonomy for the Catalan
Universities, 1918.
This first stage of the statutory provision for education,
together with the express reference made to the Spanish
Constitution by the extensive wording of article 15 of the
Statute, in particular article 27 that recognises the funda-
mental right to education and the freedom of education,
and article 81, which orders the development of funda-
mental rights and civil liberty by means of constitutional
laws, meant that any definition of the limits of full compe-
tence in education would be a complex issue. In concep-
tual terms, this competence has turned out to be a
changeable, evolutionary process, at times wide-ranging
and at others very limited, pursuant to the regulations con-
tained in the different constitutional laws that have followed
one after another
3
and the definitions contained in the
numerous doctrines issued by the Tribunal Constitucional
(Spanish Constitutional Court), all of which were a conse-
quence of the high level of dispute over competence result-
ing from the very laws themselves and their statutory
enactment. Ultimately, however, full competence has
drawn progressively closer to the development of legislative
and executive functions more than any other type of statu-
tory jurisdiction recognised in the Generalitat de Catalunya.
The scope of education, and in particular that of educa-
tion as an assembly of systems and methods used to
instruct and educate and therefore to also put people's
right to education into effect, has been a subject of spe-
cial interest throughout history. The enormous importance
of the educational model that regulates and is applied by
society has a highly significant influence on both its struc-
ture and the process of social, cultural, political and eco-
nomic evolution and is the principal reason why education
is one of the most important stumbling blocks and highly
controversial elements in the configuration and adoption
of constitutional texts. This is why there is extensive medi-
ation and numerous proposals and amendments to arti-
cles on education that bring together the different tenden-
cies and ideologies, as occurred in the debates concern-
ing article 27 of the Spanish Constitution and also article
15 of the Statute of Autonomy for Catalonia and the
unavoidably long sessions of procedure and approval of
particular constitutional laws on the same subject, the
most recent examples being Organic Law 6/2001 of 21
December on the Universities and Organic Law 10/2002
of 23 December on Quality in Education.
Within this context, the fact that the process of interpre-
tation and enactment of article 15 (EAC) has been
ambiguous, troublesome and one of constant change
and instability is understandable, together with the ongo-
ing developments that have occurred, with the applica-
tion of the article at times being subject to serious con-
straints from actions by the Spanish State. At a time when
the regulatory competence of the Autonomous Regional
Communities was being reduced to a minimum, pursuant
to the ruling of the Spanish Tribunal Constitucional
5/1981 in resolution of an appeal against the unconstitu-
tionality of Organic Law 5/1980 of 19 June on the Statute
of School Institutions (LOECE), which was contested by
the Catalan and Basque Socialist parliamentary groups,
together with ruling 77/1985 passed by the Spanish
Tribunal Constitucional in resolution of the prior appeal by
the Coalicin Democrtico against the unconstitutionality
in connection with approval of the definitive project for
Organic Law 8/1985 of 3 July regulating the right to edu-
cation (LODE), the scope of regulatory competence of the
Autonomous Regional Communities was being reduced
to such a degree that in practice they had very little pos-
sibility of legislating over most of the aspects that consti-
tuted competence in the area of education due to the fact
that the Spanish Tribunal Constitucional had accepted
that the competence of the Spanish State to lay down the
basic regulations for enactment of article 27 (EC) empow-
ered the Spanish State to adopt statutory regulations that
39
3
Organic Law 5/1980 of 19 June on the Statute of School Institutions; Organic Law 11/1983 of 25 August on university reform; Organic Law 8/1985 of 3 July, that
regulated the right to education; Organic Law 1/1990 of 3 October on the general planning of the education system, Organic Law 9/1995 of 20 November on the
participation, evaluation and governing of teaching institutions, and the most recently adopted Organic Law 6/2001 of 21 December on Universities and Organic
Law 10/2002 of 23 December on Quality in Education.
were mandatory for the Autonomous Regional
Communities and were exempt from modification by
them. This reduced the scope of autonomous regulation
to the mere approval of rules of procedure enacting basic
regulations of the Spanish State.
Subsequently, in Ruling 137/1986, which was issued fol-
lowing the contesting by the Spanish State of the
Basque Parliament's Law 15/1983 of 27 July, whereby
the Euskal Ikastolen Erakundea was created, the
Spanish Tribunal Constitucional substantively modified
its previous doctrine in recognising the competence of
the Autonomous Regional Community to legislate. The
aforementioned ruling thereby became one of the maxi-
mal points of reference for the recognition and structur-
ing of the regulatory competence of the Autonomous
Regional Communities. The concept of basic regulation
came to be defined as broad outlines or essential crite-
ria, thus contradicting the characteristic regulatory
nature of a regulation, which expresses in concrete
terms the scope of regulation. The Spanish Tribunal
Constitucional called for the express collaboration of
both constitutional and ordinary law to proceed with the
regulation of the area of education and in this way defin-
itively opened the way to autonomous legislation.
Once the initial doctrinal dissertation concerning the
effective scope of autonomous legislative competence
had been transcended, along with the consolidation of
the interpretation whereby full competence enables the
Generalitat de Catalunya by law to adopt its own
Parliament and specific policies regarding education
within the framework of the Constitution and the entire
body of constitutional principles applicable to the subject,
the university community in Catalonia began to call insis-
tently for its own universities law. This demand, which
was made right from the time of approval of the Statute
of Autonomy and more particularly once the transfer of
services relating to universities
4
from the Spanish
Government to the Generalitat de Catalunya had become
effective, gained momentum particularly when Parliament
adopted legislation relating to the universities.
The origins of the LUC thus go back to the demands
made over a long period of time by Catalan institutions,
the different bodies and groups in the university com-
munity and society in general. For the very first time, the
Catalan University System is now regulated by legislation
that brings together the core elements of a model that is
adapted to the particular needs and characteristics of
Catalan universities. Only sectorial laws on specific
aspects had been hitherto adopted, such as Law
26/1984 of 19 December on university co-ordination
and the setting up of social councils and much later Law
15/1998 of 28 December on the Consell Interuniversitari
de Catalunya (Inter-university Council of Catalonia) and
Law 16/1998 of 28 December on the social councils in
the public universities in Catalonia. All of these laws con-
form for the most part to the current framework of co-
ordination, co-operation and participation between the
universities, society and the educational authorities,
which the new law respects and reinforces.
The LUC will need to be developed, interpreted and
applied with the utmost respect for the university auton-
omy recognised in article 27.10 (EC), which the Spanish
Tribunal Constitucional has closely associated with aca-
demic freedom and therefore the freedom of teaching,
research and studies.
The Catalan Law establishes full recognition university
autonomy, which is constitutionally recognised, as being
the main fundamental provision, which assumes that
each university is trustee of the general interest for high-
40
4
Put into effect by Royal Decree 305/1985 of 6 February on the transfer of competence of governmental services with regard to the universities from the Spanish
Government to the Government of Catalonia (BOE no. 62 of 13 March 1985).
er education and assumes the full freedom to organise
and operate in a self-governing capacity and complies
with the duty of rendering account to society in the
terms laid down by the law
5
.
1.1. Development of the Catalan University.
Confidence in democracy and progress
The preamble of the LUC gives an account of the names
and events that have marked the history of Catalonia
and its universities, as well as the long history of the
Catalan universities which date back many centuries.
The beginnings of the Catalan university date from the
Estudi General de Lleida (Lleida General College), estab-
lished by King Jaume I in 1300 and run on the principle
of university autonomy and the universality of knowl-
edge. Later on between 1533 and 1645, general col-
leges or universities were established in Barcelona,
Girona, Tarragona, Vic, Solsona and Tortosa. However, it
was from the mid 18th century, following the closure of
the original universities in 1714 at the end of the Spanish
War of Succession and the abolition of all Catalan insti-
tutions, that modern and practical educational activities
began to receive support from the Junta de Comer in
the city of Barcelona. The restoration of the University of
Barcelona in 1837 made an important contribution to
university development and led to the advent of out-
standing intellectuals and professors in different areas of
knowledge, including Mil i Fontanals, Duran i Bas,
Ramon y Cajal and August Pi i Sunyer.
The important work of the Institut d'Estudis Catalans
(Institute of Catalan Studies), which has supported high-
er education and research in and on Catalonia from the
time when it was founded, is recognised in the introduc-
tion of the law. Express mention is also made of the
internal university reform within the universities them-
selves, a movement that also put the Catalan political
autonomy movement back on course, which generated
a series of ideals embodied in the Congressos
Universitaris de Catalunya (Catalan University
Congresses) held in 1903 and 1918. These have since
continued to form part of the heritage of the Catalan
University System through the establishment of the core
values of good university practice based on the princi-
ples of autonomy, freedom of speech, pedagogical
renewal, the quality of university education and social
and cultural commitment to Catalan society. The pream-
ble also refers to the important step forward made with
the setting up of the Universitat Autnoma de Barcelona
in what was a new concept for the modern university,
with rectors such as Jaume Serra Hunter o Pere Bosch
i Gimpera. Mention is also made of an estatut d'autono-
mia propi (statute of self-government) proclaimed in
1933 during the period of office of Pompeu Fabra as
president of the Patronat (board of trustees), which
remained in force until 1939 (including interruptions), as
a result of which the regulation of non-tenured teaching
staff (one of the main features of the LUC), the inclusion
of students in governing bodies and the renewal of study
programmes all stand out.
The fundamental role of the universities during the Franco
dictatorship as a platform for democratic and peaceful
41
5
STC 26/1987 analysed the scope and conceptualisation of university autonomy, which was subsequently included in other rulings. The make-up of university
autonomy as a fundamental right or institutional safeguard was resolved by the Tribunal Constitucional to the effect that, in spite of it being a fundamental right,
there is no specific or complete separation between the two considerations and that fundamental rights recognised in the Constitution also frequently constitute
institutional guarantees.
The origins of the LUC thus go back to the
demands made over a long period of time
by Catalan institutions, the different bodies
and groups in the university community and
society in general.
calls for freedom and as an affirmation of the functioning
of society is also given special mention in the preamble.
This includes the importance of the activities of the
Sindicat Democrtic d'Estudiants (Democratic Students
Union) of the University of Barcelona, with the events of
the caputxinada at the Sarri convent, where the
Manifesto for Democracy in the University was presented
and, subsequently, the 1975 Bellaterra Manifesto, which
laid the foundations for renovation of the Catalan univer-
sities and contributed to the process of political and
social transition towards democracy in Spain. The 3rd
Catalan University Congress was held in 1978 with the
intention of seeking an alternative university policy within
the context of the recently established democracy. The
Consell Interuniversitari de Catalunya (Inter-university
Council of Catalonia) was also established that same year
as a co-ordinating authority between the universities and
went on to become a forum for open and permanent
reflection that continues to serve as a key co-ordinating
element in the Catalan University System.
The preamble of the Law thereby describes the long uni-
versity tradition in Catalonia and points out the substan-
tive change brought about by the progressive consolida-
tion of the scientific and democratic nature of the current
university system in Catalonia. It also comments on its
extensive geographical distribution as a result of the set-
ting up and recognition of universities throughout
Catalonia, which has significantly contributed to stimulat-
ing the areas and municipalities where the universities and
university facilities are located. Recognition of the
Universitat Oberta de Catalunya (UOC) (Catalan Open
University), which offers distance education with the guar-
antee of best quality education and technology, was also
important and the UOC has come to serve as an interna-
tional point of reference. The universities in Catalonia have
likewise enhanced their relations with universities in other
parts of the world where Catalan is spoken through the
Xarxa d'Universitats (Universities Network), which is
organised by the Institute Joan Llus Vives. The LUC,
which has inherited a long and extensive university tradi-
tion, vindicates the claim to Catalan political autonomy as
the inspiration for the setting up of a appropriate frame-
work for higher education and seeks to contribute to the
setting up of a Universal and particularly Europeanised
university system by enhancing the contribution made by
Catalan universities to university education as a whole.
The preamble describes the momentum that followed
the adoption of Law 26/1984 on university co-ordina-
tion, which established the social councils and adapted
the Consell Interuniversitari de Catalunya (Inter-universi-
ty Council), which had been in existence since 1978, to
the new situation at that time, to comply during the ini-
tial stage with the important task of university co-ordina-
tion at a time when the Generalitat de Catalunya was still
lacking any effective powers in matters of education. The
Law seeks to incorporate, with the necessary adapta-
tions, the Catalan regulations that followed on from the
adoption of Laws 15/1998 and 16/1998 on the Consell
Interuniversitari de Catalunya and the social councils,
respectively, by progressively contributing to the on-
going open debate in Catalonia on the model of univer-
sity to be followed, a matter that is controversial in
important aspects regarding the role of society in the
universities and the form of representation in the univer-
sities that society is to have.
The preamble ultimately sets the Law within the context
of the idea of democratic university, following the break
with the centralist Spanish university system with the
42
The preamble of the Law describes the long
university tradition in Catalonia and points
out the substantive change brought about by
the progressive consolidation of the current
university system in Catalonia.
approval of the 1978 Spanish Constitution that express-
ly laid down university autonomy in point 10 of article 27
and started by establishing the university model laid out
in the previous Organic Law 11/1983 of 25 August on
university reform (LRU), which considered the university
not as the exclusive heritage of the members of the uni-
versity community but as a public service attributable to
the general interests of society as a whole.
Prior to the LUC, there was no broad framework with a
legal basis in Catalonia to regulate, amongst other things,
a policy providing for teaching staff from the Catalan
Autonomous Regional Community in the Catalan univer-
sities, an issue that has long been considered to be
essential although Organic Law 6/2001 of 21 December
on the Universities does recognise the competence of
the Autonomous Regional Communities to regulate the
legal status of teaching staff contracted for university
positions, in spite of certain limitations in its contents
6
.
Within this historical and legal context, and with the clear
intention of giving a new, 21st century impetus to the
universities, the Law makes a clear commitment to
Europe and for this reason it is clearly expressed in the
beginning articles that the aim is to plan the Catalan
University System within the context of the European
area of higher education. This fundamental and essential
declaration is made specific in a series of fundamental
principles that are detailed throughout the Law and that
can be summarised as:
a) The full recognition of university autonomy.
b) The universality of knowledge and scientific method.
c) The promotion of research, development and techno-
logical innovation.
d) Improvement in the quality of teaching and the contri-
bution to life-long learning.
e) The promotion and assessment of overall quality.
f) Commitment to the public interest and the participa-
tion of society.
g) University co-ordination that respects geographical
diversity and balance and that progresses towards
the full integration of the Catalan universities in the
European area of higher education.
h) The principle of equal opportunity to university admis-
sion and tenure.
i) The co-ordination of actions in order to achieve the full
integration and promotion of the Catalan universities
in Europe and worldwide.
1.2. The threefold distribution of compe-
tence with regard to the universities.
The system for distributing competence, which devolves
upon the Spanish State, the Generalitat de Catalunya and
the universities themselves, needs to be specific distin-
guished and, at the same time, requires the involvement
of all three authorities in the different regulatory and exec-
utive areas in respect of university issues, each one in
accordance with the effective scope of its own compe-
tence. In this way, a superposition of the following occurs:
a) University autonomy, which is recognised in the
Constitution and established by law.
b) Exercising of the exclusive competence that the
Constitution attributes to the Spanish State in sec-
tions 18 and 30 of the first point in article 149 in con-
nection with article 27, whereby it is entrusted to
watch over the equality of all citizens in the exercising
of the right to education, establish the bases of the
legal arrangements and regulate the conditions of eli-
gibility, awarding and official approval of academic
and professional qualifications.
c) Exercising of the competence of the Generalitat de
Catalunya recognised in articles 15 and 9.7 of its
Statute of Autonomy.
43
6
The regulation of teaching staff and contracted researchers was one of the issues that was most discussed and claimed by the Government of Catalonia, as well
as being the central issue of the bilateral negotiations with the Spanish State over the LOU.
The difficulty that arises with the constant redefinition of
areas of joint competence between the three authorities
and the expansive and centralist ideas of the Spanish
State in the defining of the foundations for education has
generated a large number of appeals and constitutional
disputes relating to the universities, many of which have
already been resolved by the Tribunal Constitucional fol-
lowing the adoption of the LRU, which was revised in
Ruling 26/1987 on 27 February
7
. The frequent tension
and claims of jurisdiction made in connection with the
passing and development of the LOU, which will
undoubtedly serve as a new milestone for constitutional
doctrine as applied to the universities in the 21st centu-
ry, are still however to be resolved.
Within this legal and doctrinal framework, the Catalan
Universities Law (LUC) has endeavoured to make a
broad interpretation of the competence of the
Generalitat de Catalunya through the regulation of
important aspects such as university teaching staff and
researchers, and also in the adaptation of the legal sta-
tus of the Agncia per a la Qualitat del Sistema
Universitari de Catalunya by attributing it with important
functions over the universities and especially contracted
teaching personnel and researchers.
2. The essential core structure of the
Catalan Universities Law: the Catalan
University System
The concept of university system used in the Law identifies
and provides for the Catalan model as a whole while dis-
tinguishing it from other state or autonomous university
systems. The comprehensiveness of the Catalan University
System, which is made up of the different universities in the
Catalan system together with universities in other systems,
enables the essential features of planning to be applied in
the same way to all universities in Catalonia. This unified
way of dealing with the model, which invests it with author-
ity, should neither adversely affect nor detract from univer-
sity autonomy, which devolves upon each individual univer-
sity, and this is patently clear in article 4, note a) (LUC). The
universities in the system can specialise and develop their
distinctive features through their exercising of autonomy
and in their individual university policy. Moreover, in its
appraisal of the system's diversity, the Law states that uni-
versity planning needs to be based on specialisation and
diversification within the context of inter-university co-oper-
ation and that, in accordance with article 116, this must be
a criterion to be followed in the development of university
programmes. The Spanish Tribunal Constitucional has
declared that university autonomy devolves upon each par-
ticular university and not to the university system as a
whole, according to the literal meaning of article 27.10 EC.
For this reason, each one can adopt the decisions that it
considers appropriate and these do not necessarily have to
coincide with those adopted by other universities.
2.1. The universities that make up the
Catalan University System.
The Law is explicit in its declaration that the Catalan
University System consists of the public and private uni-
44
7
The regulations laid down by the Spanish State have also led to rulings of great interest, such as the SSTC 162/1987, 146/1989, 235/1991, 82/1994, 131/1996
and 188/2001, amongst others. Mention must also be made of the presentation of various appeals of inconstitutionality on the adopting of the controversial LOU
against certain of its provisions. (BOE no. 112 of 10 May 2002).
The Catalan Universities Law has endeav-
oured to make a broad interpretation of the
competence of the Generalitat de Catalunya
through the regulation of important aspects
such as university teaching staff and
researchers.
versities that are currently established in Catalonia and
which appear in article 2. These are the University of
Barcelona, the Universitat Autnoma de Barcelona
(UAB) (Autonomous University of Barcelona), the
Universitat Polytechnica de Catalunya (Polytechnic
University of Catalonia) (UPC), the Pompeu Fabra
University, the University of Lleida, the University of
Girona, the Rovira and Virgili University, Ramon Llull
University, the Catalan Open University (Universitat
Oberta de Catalunya, UOC), the University of Vic, and
the Universitat International de Catalunya (International
University of Catalonia). Universities set up or recognised
by Parliament in the future will also form part of the
Catalan University System.
This definition of the composition of the Catalan
University System does not include:
a) The Universidad Nacional de Educacin a Distancia
(National Distance Learning University, UNED), a
Spanish state university that provides university dis-
tance education throughout the whole of Spain,
b) The Universidad International Menndez Pelayo, an
autonomous body under the Spanish Ministry of
Education, Culture and Sport, which basically organ-
ises post-graduate education.
c) Universities set up in Catalonia on the initiative of the
Catholic Church and that, pursuant to supplementary
provision no. 4 of the LOU, do not need parliamentary
laws to be recognised,
d) Universities set up or recognised through the applica-
tion of article 4 of the LOU, note b), by law by the
Spanish Parliament (Cortes Generales), at the propos-
al of the Government, in accordance with the
Governing Council of the Autonomous Regional
Community of the region in which they are established.
Article 4 of the LOU in fact authorises the Spanish
Government to support the universities on a nation-wide
basis and although this article has been legally disputed, as
recorded in the procedural dossier of the draft, it was
endorsed unaltered
8
. Supplementary provision no. 1 of the
LOU reserves for the Parliament (Cortes Generales) and
Spanish Government the jurisdiction that the Law attributes,
respectively to the legislative Assembly and the Governing
Council of the Autonomous Regional Communities, with
regard to the universities established or recognised by
Spanish parliamentary law in accordance with article 4, and
in view of the special characteristics and the scope of the
activity of the UNED and the Universidad Menndez Pelayo.
45
The concept of university system used in the
Law identifies and provides for the Catalan
model as a whole while distinguishing it from
other state or autonomous university systems.
8
This competence reserved for the Spanish State in article 4 of the LOU could be considered to be unconstitutional on the following grounds, amongst others:
a) The establishment and recognition of universities constitutes an executive action that as such, by virtue of the distribution of competence in the matter, should cor-
respond to the Autonomous Regional Communities, which have received and assumed the transfer of competences in matters of universities in their entirety.
b) Competence is not available as the Tribunal Constitucional has repeatedly stated and therefore the requirement of the corresponding Autonomous Communitys
prior agreement is insufficient.
c) The Spanish State has regulatory competences with regard to official qualifications and the promulgation of basic regulations that extend on article 27 EC (arti-
cle 149.1.30 EC), neither of which has an influence in this matter.
d) The LRU that provided for this possibility in the second end provision attributes the Spanish State as having exclusive competence to guarantee the right to edu-
cation as long as the Autonomous Regional Communities do not assume competence in this matter.
A previous constitutional pronouncement exists on this matter, given that articles 5.1, b) and 58.1, b) of the repealed LRU, were the object of an appeal of uncon-
stitutionality by the Basque Country on the consideration that they infringe its full powers in education (article 18 EAPB). The Spanish Tribunal Constitucional
declared that the authority reserved for the Spanish State does not exclude that of the Autonomous Regional Community by virtue of its Statute of Autonomy.
Nevertheless, and taking into consideration that change in constitutional doctrine does occur, article 4.1 b) and the first supplementary provision of the LOU have
again been subject to revision by the Tribunal Constitucional in different appeals of inconstitutionality.
Law 1/2003 recognises the leading role befitting the
Catalan Parliament concerning new universities set up in
Catalonia and accordingly article 101.2 establishes that
in order for universities to be established or recognised,
as laid down in article 4.1, b) of the LOU, the accord of
the Executive Council of the Generalitat de Catalunya
must be ratified by Parliament. The Catalan Law thereby
restores Parliament with its ultimate decision-making
capacity over the universities in Catalonia, in spite of the
fact that the LOU imitates the LRU in continuing to
reserve university establishment and recognition as a
matter to be legislated over by the Spanish Parliament
(Cortes Generales). Application of this article, where
appropriate, will undoubtedly be the subject of debate
and special attention.
2.2. Objectives of the Catalan University
System. The mission of teaching, research
and study activities.
Law 1/2003 provides for the fundamental objectives that
are to be respected and sought after by all universities in
the Catalan University System. These objectives also
single out and adapt the functions of university institu-
tions to the Catalan system:
a) The founding, transmission and dissemination of cul-
ture and scientific, humanistic, technical and profes-
sional knowledge, together with preparation and
training for professional practice.
b) The encouragement of critical thinking, the culture of
freedom and pluralism, and the transmission of civic and
social values characteristic of a democratic society.
c) Enrichment of the intellectual, cultural and scientific
heritage of Catalonia with the object of overall social
and economic progress and sustained development.
d) The active use of the Catalan language in all areas of
knowledge and their contribution to the process of
normalising the use of Catalan in all scientific, cultur-
al and social contexts.
These objectives as applied to academic activity are
reflected in articles 7, 18 and 20 of the Law. It thereby
states that the mission of university study programmes
is to prepare and train students on an all-round basis
that contributes to the development of each individual's
personality and the training of university students who
are creative and committed to their professions, as well
as scientific progress and the future of Catalan society.
The mission of teaching is to ensure quality university
training through recognised professional competence
and innovative and effective methodologies. The mission
of research consists in giving impetus to advances in
knowledge with training, research and technological
innovation and ensuring that new knowledge and tech-
nologies are made available to society through the
implementation of appropriate transfer mechanisms.
The learning of value systems within a university context
and the enhancement of student abilities are considered
in article 5 an integral part of the overall process of a stu-
dent's educational and training experience and for this
reason the universities need to stimulate and support ini-
tiatives that are complementary to official education that
lead to the transmission of the values of freedom,
responsibility, social co-existence, solidarity, participa-
tion and full citizenship.
46
9
Brussels, 21.11.2001 COM (2001) 681 in fine.
The mission of teaching is to ensure quality
university training through recognised pro-
fessional competence and innovative and
effective methodologies
The European Commission white paper on Europe and
Youth: a New Impetus
9
considers that formal learning,
structured around educational objectives that lead to a
qualification or certificate, and non-formal education,
which may not necessarily lead to any qualification but
that is structured and intentional, need to be comple-
mented. In the consultation process carried out during
the preparation of the white paper, young European uni-
versity students showed that they want more awareness
to the realities of present-day life with more flexibility and
less rigidity on the part of all concerned in the process of
higher education. The need for life-long education and
training in all fields has demonstrated in recent years that
the necessary competence can only be acquired
through learning in contexts that are formal, non-formal
as well as informal and for this reason one of the recom-
mendations of the Commission is to promote non-formal
education as an integral part of the learning process and
education, a recommendation that is also laid down in
the Catalan Universities Law.
Young people and youth associations that defend the
idea of a Europe based on the principles of peace, pros-
perity and democracy have shown that they are interest-
ed in an education in value systems. It is obvious to all
that the clear affirmation of an area of rights and free-
doms is much more necessary today than that of an
economic ideal for Europe and their wish for more active
participation in European integration and the defence of
fundamental values and human rights is stated in the
proposals included in the Commission's White Paper
10
.
Given its importance in terms of the objectives of the
Catalan University System to firmly establish its identity,
pursuant to article 3 EAC, the declaration that Catalan is
the first language in Catalan universities and is therefore
the language of normal use in university activities needs
to be underlined.
The use of the two official languages is determined by
Law 1/1998 of 7 January on official language policy, and
the Govern (Executive Council) of the Generalitat de
Catalunya (Government of Catalonia) and the universi-
ties, within the framework of this law and the scope of
their respective jurisdiction, have to promote the knowl-
edge and use of the Catalan language in all areas of uni-
versity activity and enable all members of the university
community to learn Catalan. Article 6.4 of the LUC
establishes that teaching staff, apart from visiting and
analogous cases, must have a sufficient knowledge of
both official languages in accordance with the require-
ments of their academic work. The Executive Council of
the Generalitat de Catalunya, pursuant to the prevailing
regulation and through the Consell Interuniversitari de
Catalunya, is to subsequently guarantee that such
appropriate knowledge is specified on appointment and
assessment selection processes, as well as ensuring
that appointment and the incorporation of new members
into the university community does not alter the normal
use of language in teaching activities and the process of
language normalisation in the universities. Note is made
of the drafting of article 6 and particularly section 4,
47
10
Chapter 5, A Europe based on values, from the White Paper on Youth, seeks the opening of Europe to the rest of the world; the defence of essential values;
tackling racism and xenophobia; the participation of young people; mobility, the main asset of European integration and voluntary service as a response to young
peoples needs.
11
The final draft of the provision resulted from the agreement between CIU and ERC on the amendments made by the ERC political party to the LUC. There is an
interesting report on the regulation of language training and university teaching staff in Catalonia, dated 20 march 2002 by Jordi Dalmases and Eva Pons (UB),
which was endorsed by the vice-rectors in charge of language policy in the Catalan public universities.
Catalan is the first language in Catalan uni-
versities and is therefore the language of nor-
mal use in university activities needs to be
underlined
which has been given special attention by the universi-
ties and different political groups
11
.
Article 9.3 of Law 1/1998 of 7 January on official lan-
guage policy attributes the universities with compe-
tence to regulate the use of the Catalan language with-
in the scope of their jurisdiction, pursuant to the first
section of the article. Furthermore, article 22 lays down
that teaching staff and students have the right to
express themselves in each case, either orally or in
writing, in their preferred official language in institutes
of higher education and universities. Both the
Government of Catalonia and the universities must
adopt appropriate measures to safeguard and promote
the use of Catalan in all areas of teaching, non-faculty
and research activities. Article 24 lays down that teach-
ing staff in centres of university education, except for
visiting and other analogous cases, must have suffi-
cient knowledge of both official languages, in accor-
dance with the requirements of their teaching work,
and that it is the universities that must establish the rel-
evant mechanisms and provisions in order for this to be
complied with.
In the usage made of the legal qualification contained in
Law 1/1998, and in the exercising of university autono-
my, which amongst other aspects comprises the draw-
ing up of statutes and other infrastatutory regulations,
some universities have adopted regulations concerning
the use of language. The legal framework concerning
the Catalan language has been subject to controversy in
the courts and also in the media, which has had a wide-
spread effect. While certain clarifications of a more for-
mal nature have been affected by these rulings, the
essential content of the aforementioned regulations and
therefore policies relating to the use of language have
not been invalidated.
Contrary to what would be desirable and expected of a
law on universities in 2001, the LOU made no reference
or gave any consideration at all to the official
autonomous languages, nor to the ability of university
teaching staff or other members of the university com-
munity to speak or understand these languages. The
diversity and wealth of the existing plurality of languages
in the European area of higher education is valued posi-
tively and not considered as an obstacle to the mobility
of members of the university community if regulated
appropriately and in spite of the inevitable expansion and
official ratification in favour of those languages that are
more extensively used
12
. The signs of identity of a coun-
try are the same as those of its universities and form part
of its heritage.
The fact that the LOU makes legal reference to the
powers of the Autonomous Regional Community and
the universities themselves to establish the require-
ments for language accreditation in the processes of
appointment to university teaching posts is particularly
useful in relation to civil servant employees, especially
considering the highly restrictive nature of the doctrine
of the Spanish Tribunal Constitucional as regards the
regulatory competence of the Autonomous Regional
Communities over teaching staff with tenured posts in
the universities. This same recognition should have
been given to contracted teaching staff although in this
case mediation by the autonomous regional authorities
is justified, amongst other reasons, by article 48 of the
LOU, which attributes the Autonomous Regional
Communities with the authority to establish their own
legal status. Due to the lack of any direct regulation and
with a view to establishing the necessary legal protec-
tion for intervention by the Generalitat de Catalunya and
the universities in this matter, one must turn to the body
of constitutional principles and also the regulations of
48
12
Cultural and linguistic diversity and the diversity of higher education systems are exponents of democracy and of the richness of the European area of higher edu-
cation, as was declared by the Conference of Ministers meeting in Prague (2001).
the Spanish State and, above all, of the Autonomous
Regional Communities that are applicable.
With regard to the language requirements in the appoint-
ment and assessment of university teaching staff, one
must bear in mind the ongoing developments in the gen-
eral doctrine of the Spanish Tribunal Constitucional with
regard to appointment to the civil service and the
required level of knowledge of the languages of the
Autonomous Regional Communities to this end. The
Tribunal Constitucional has summarised its doctrine as
regards the official status of a language to the effect that
a language is understood be official when it is a valid
means of communication between the citizens and the
government; when its official status is affirmed on a terri-
torial basis or, in other words, when it affects all govern-
mental powers based in the territory of the corresponding
Autonomous Regional Community; and also when it car-
ries with it a series of language rights, amongst which is
the prevailing right of usage that is fully valid and effective
(STC 82/1986 of 26 June, amongst others).
Choice of language is a right of individual freedom deriv-
ing directly from article 3.2 EC that has both an active
side, where one can express oneself in legal contexts
and with government authorities, and a passive side,
where one is addressed in the chosen language. The
safeguarding of both depend, amongst other things, on
the specific legal situation of the individual, the level at
which he or she is effectively subject to the institution in
question, and the degree to which one assumes a real
obligation with regard to a particular function. Decisions
with regard to these aspects can be made by the uni-
versities, which will need to safeguard to the utmost the
right to select teaching staff and students from the
Autonomous Regional Community. The role of the
Consell Interuniversitari de Catalunya in applying the
LUC will be important for it is in this authority where the
legal mandate whereby sufficient knowledge of language
is a requirement in the processes of appointment and
assessment of teaching staff must be guaranteed. It is
the Generalitat de Catalunya and the universities that
jointly attain this objective and commitment together.
Moreover, the importance of the knowledge of foreign
languages appears in article 6.6 of the Law, which lays
down that the Generalitat de Catalunya and the universi-
ties must set up programmes promoting the knowledge
of other languages and that they can include the use of
these languages in university academic activities as well
as offering specific options in degree and foundation
courses. A knowledge of foreign languages is essential
for promoting mobility and exchange and for this reason
young people in Europe call for education in foreign lan-
guages that enables them to actively participate in the
mobility schemes introduced by the European Union
13
.
Law 1/2003 places joint responsibility of university action
on all governmental authorities and expressly states that
they must collaborate with the universities to help them
achieve their objectives. The government, the universities
themselves and society in general must all combine
efforts in order for the public university service to be of the
highest quality and efficiency with an increasingly broad
range of services aimed at a plurality of users and clients
in a society that is becoming increasingly complex.
49
A knowledge of foreign languages is essential
for promoting mobility and exchange
13
This is mentioned in the White Paper on Young People by the Commission of the European Community (chap. 2 on education).
2.3. University teaching and research:
institutions and structures
The Catalan University System as it is legally defined is
made up of the universities established or to be estab-
lished in Catalonia and consequently all university cen-
tres, institutions and structures.
The regulation generally applied to the universities and
university centres and institutions is contained in article
4.3 of the LOU, which stipulates that, in order to guaran-
tee the quality of teaching and research and the universi-
ty system as a whole, the Spanish Government is to
determine the basic requirements for the setting up and
recognition of universities, which will establish the means
and appropriate resources in order for the universities to
fulfil their functions
14
. During the development of the LRU,
the Spanish Government established the regulations for
the requirements applicable in university institutes without
hardly any leeway for autonomous regulation, which
motivated the Generalitat de Catalunya to present a claim
of jurisdiction against Royal Decree 557/1991 of 12
April
15
. The new fundamental legal framework must how-
ever allow for more freedom in the design of a comple-
mentary model for university institutes in the Autonomous
Regional Communities and universities that require this,
and particular attention will need to be paid to enactment
by the Spanish State of article 5.3 of the LOU in order to
maintain the widest scope possible for autonomous
competence and university autonomy with regard to
organisational structure and university institute policy,
which is closely linked to policy for studies. Both of these
constitute the essential structure of what is made avail-
able in the Catalan universities and are the main purpose
of the organisation of the system.
The regulation of Law 1/2003 regarding university cen-
tres and structures, in support of the essential academ-
ic activities of studies, teaching and research, is subse-
quently linked to the instruments of planning,
organisation and funding, namely the Programaci
Universitria de Catalunya (Catalan University
Programme), the Pla d'Inversions Universitries
(University Investment Plan) and the new model for uni-
versity financing, which has to provide sufficient funding
for the universities to carry out their functions with eco-
nomic and financial autonomy. One important new
development of the Law is that, for the very first time, the
University Programme is open to the private universities
that request to be included, and are thereby represent-
ed in the plenary session of the Junta del Consell
Interuniversitari (Board of the Inter-university Council).
This more open and comprehensive way of handling the
14
The wording of this article in the draft of the LOU was much more narrow-minded and established that, as a general rule, the Spanish Government was to
determine the minimum requirements for the setting up and recognition of universities, as well as the increase in the number of institutions and subjects at
existing universities, bearing in mind both classroom-based and distance learning education. Following the discussions between the different poltical groups
and with the clear opposition of Catalonia, which disagreed with the initial wording of the text on account of what it considered the reduccionist treatment
given to autonomous powers, as well as university autonomy and the university institutes, the final draft of the article was modified and the basic regulation
was reduced to the requirements for the setting up or recognition of universities.
15
Royal Decree 557/1991 of 12 April on the setting up and recognition of universities and university centres was the object of a claim of competence (no.
1715/1991) raised by the Government of Catalonia, which considered that the aforementioned Royal Decree was not restricted to just establishing the basic
regulation of the matter in hand but that it was excessive in terms of regulations. Ruling 131/1996, which concerned the aforementioned claim, was only par-
tially favourable to the Autonomous Regional Community. Despite the narrow margin of action left to the Regional Autonomous Community, the Government
of Catalonia adopted Decree 258/1997 of 30 September on regulation of the Catalan university programme and procedures for the setting up and recogni-
tion, as well as the reorganisation, of university teaching institutions and academic subject implementation (DOGC no. 2492), and Decree 390/1996 of 2
December on regulation of the affiliation status of higher education teaching institutes and teaching centres to public universities (DOGC no. 2291).
50
The government, the universities themselves
and society in general must all combine efforts
in order for the public university service to be
of the highest quality and efficiency
programme corresponds to the actual realities of the
university system in Catalonia.
Universities can create their own structures to develop
classroom-based and virtual forms of education, aside
from the basic structures enumerated in article 7.1 of the
LOU
16
. The concept of university campus is also incor-
porated in the article, which draws on a long academic
tradition and is conceived as either bricks-and-mortar or
a virtual space where the different members of the uni-
versity community can integrate together and co-exist.
The objective of inter-university campuses is the sharing
of personnel, centres and institutions, structures, educa-
tional courses, research and services. The universities
need to facilitate the mobility of teaching staff,
researchers and students on inter-university campuses,
a measure that will help to consolidate the university
community that, aside from the unique characteristics of
each university, has come to be identified as a whole as
the university community of the Catalan University
System.
In its reference to the organisation of studies and struc-
tures, the Law states the jurisdiction resting with the
Generalitat de Catalunya (in order to distinguish this from
the jurisdiction reserved for the Spanish State), which is
to be exercised by the appropriate department dealing
with university matters:
a) The setting up, modification and abolition in public
universities of faculties, technical schools or polytech-
nics of higher education, university schools, universi-
ty polytechnic schools, university research institutes
plus other official forms of education organised in dis-
tance learning centres and structures, at the propos-
al of the social councils or on the initiative of the
department with the agreement of the aforemen-
tioned council. A prior mandatory report of the gov-
erning body of the university is necessary without
exception.
b) The recognition in private universities of the setting up,
modification and abolition of centres referred to in the
previous section, at the proposal of the university.
c) Approval, prior to their setting up or abolition by the
Spanish Government, of the establishment of univer-
sity-dependent centres abroad where recognised
classroom-based courses are given. On the contrary,
no express attribute of the Generalitat de Catalunya is
mentioned concerning the approval of the setting up
of distance learning centres. Development of the
guidelines will be necessary for this matter to be
expressed in concrete terms or, as the case may be,
considered to the effect that neither the Spanish
State nor the Generalitat de Catalunya have reserved
any administrative scope of action as regards this
form of studies.
d) Authorisation of teaching institutions wishing to set up
in Catalonia to give any type of education that leads
to university higher education non-recognised qualifi-
cations, together with the revoking of authorisation
17
.
e) Affiliation or disassociation of private or public teach-
ing institutions to/from a public university for giving
recognised university qualifications, and the integra-
tion of higher education institutions into a university
as the university's own centres. Action is dependent
in all cases on the proposal of the social council,
together with a prior mandatory report of the govern-
ing body of the university.
51
16
Contrary to what was laid down by Law 26/1984 of 19 December in its time, the universities can create other structures to develop class-based or virtual
forms of education that lead to recognised qualifications without any administrative involvement of the Government of Catalonia. Article 12 of Law 26/1984
of 19 December on university co-ordination and the setting up of social councils established that other educational and research centres (not regulated as
basic structures under the LRU) were set up by decree by the Executive Council (Consell Executiu) at the proposal of the respective social council, with the
structure, form and conditions of funding also having to be approved by the decree.
17
This authorisation requires a favourable preliminary report from the Agncia per a la Qualitat del Sistema Universitari de Catalunya, in accordance with the stan-
dards of quality established by the Agency for this type of centre (article 113,2 LUC).
The framework for research and support for university
research in the LUC is organised in two main blocks, the
first of which consists of research centres where univer-
sity research activities are mainly carried out, together
with departments and research groups (article 22)
whereas the second is made up of university research
institutes (article 23) as defined in the LOU. These insti-
tutes can either belong to the university itself or be inter-
university centres if shared by more than one. Research
institutes can also affiliate to public universities to
acquire the condition of university institute. The setting
up, modification, abolition, affiliation or disassociation of
university research institutes is the responsibility of the
appropriate department of the Generalitat de Catalunya
that deals with the subject of universities and acts at the
proposal of the university social council or on its own ini-
tiative and, in any case, with a prior mandatory report of
the university governing body. Governmental interven-
tion in university research institutes is more extensive
than in other research centres, which is justified by the
fact that these institutes organise and develop doctorate
programmes.
The Catalan Universities Law, unlike the LOU, encour-
ages the setting up of research centres specialising in
different areas of research that can act under any legal
status that is appropriate for their objects, that promote
the joint participation of the universities with other public
or private entities and that provide for maximum freedom
in terms of organisation in order to fulfil their objects and
enhance their international standing. The promotion, set-
ting up, participation and associating of centres through
the corresponding forms of collaboration rest with the
university. The classification of the different types of uni-
versity centre, according to the law, is as follows:
a) Centres that form part of a university.
b) Centres where there is the participation of one or
more universities and/or other public or private enti-
ties by way of agreements or other forms of partici-
pation.
c) Publicly or privately owned centres that associate with
a university through the signing of an agreement with
the university to this end.
This plurality of legal entails will facilitate the medium-term
setting up and consolidation of an important network of
research centres involving university participation or that
are supported or associated with the universities, which
constitute one of the essential elements of the RDI
(research, development and innovation) system. The con-
ditions for this new impetus to research being carried out
in Catalonia were initiated by an Executive Accord of the
Generalitat de Catalunya on 28 September 1999, which
gave support to the first large R+D institutions in Catalonia
in specific areas where there was a well-established uni-
versity and/or industrial base. These research institutions
comprise large infrastructures and facilities and also train
research groups, resulting in a large critical mass of
research and technical personnel and the generation of
synergies. The first advanced research centres set up
according to these parameters were: the Institut Catal de
Cincies Cardiovasculars (Catalan Institute of
Cardiovascular Science), the Centre de Regulaci
Genmica (Genome Regulation Centre), the Institut Catal
d'Investigaci Qumica (Catalan Institute of Chemical
Research), the Centre Tecnolgic de Telecomunicacions
de Catalunya (Catalan Telecommunications Technology
Centre), and the Institut de Cincies Fotniques (Institute
of Photon Science).
With reference to the large infrastructures intended pri-
marily for research, this is the first time that the science
and technology parks, which in a very open way receive
support from the universities and different public admin-
istrations and participation from different economic and
social sectors, are provided for in legislation (article 24).
The science and technology parks, which are of a uni-
versity or inter-university nature, are where the research
centres of the university itself congregate next to associ-
ated enterprises and other institutions. They facilitate
52
contact and collaboration between the university and
enterprises, and dissemination of the results of university
research to society; technologically innovative enterprises
are established; they boost the culture of quality, research
and innovation amongst the institutions in the park and
amongst the associated enterprises; and in general they
promote and facilitate the entire scope of research. They
are in all cases an important stimulus for development.
The science and technology parks permit the joint
organisation of management of research and postgrad-
uate course activities and give impetus to university RDI
(research, development and innovation) activities. A
recent development of co-ordinated action and co-oper-
ation between the various parks, which are a particular
objective of the Catalan law, includes the setting up of
the XpCat Catalan science and technology park network
that, under the legal form of an association, brings
together an initial total of eleven parks, most of which are
linked to universities.
The law also recognises the important work carried out
up until now by the universities in the bringing into oper-
ation of scientific and technical support services for
research and the setting up of centres and structures for
the transfer of technology and knowledge. It has also
implicated the action of the Generalitat de Catalunya
together with the universities in relation to these initia-
tives in laying down that support programmes must be
implemented to give incentive to collaboration between
the universities and between the universities, enterprises
and society in general, and that the development of new
facilities for use by the entire university system must be
promoted in order to obtain maximum benefit from this.
Article 26 of the LUC specifies that the universities can
set up and promote entities, centres and structures and
that, within the framework of their own objectives and
regulations, they can establish programmes to support
co-operation for development orientated towards tech-
nology transfer and the transmission of knowledge to
countries and areas of the world where they are needed
to bring about improvements and progress.
In order to encourage research, development and inno-
vation in enterprises, supplementary provision 9 of the
LUC also commissions the Executive Council of the
Generalitat de Catalunya to stimulate and assist enter-
prises in increasing the means set aside for research,
development and innovation, including resources
assigned for an enterprise itself, together with resources
for co-operation with universities and research centres.
The Executive Council is also entrusted with promoting
the active participation of enterprises in university
research and the European research area.
One final objective of the Law (in article 28) is to encour-
age the entrepreneurial ability of university research per-
sonnel and students with a view to helping the setting up
of enterprises and initiatives that are innovative within
their particular field of action. This mandate will provide
the necessary impetus and recognition for spin-off from
university initiatives.
3. The Catalan University Community.
Article 29 of the LUC points out that the Catalan univer-
sity community comprises the students, teaching and
research personnel, university research personnel and
administration and services personnel. Teaching and
research personnel includes university teaching staff,
contracted teaching staff and assistants.
3.1. University teachers and researchers
The LRU laid down the model that established the legal
structure of teaching and lecturing in the Spanish public
universities that was uniform for all universities over a
period of seventeen years. In its time, the model simpli-
fied and adapted the previous model, which was char-
53
acterised by the disparities of the former teaching sys-
tem that interfered with the necessary streamlining of the
organisation of the teaching profession. This paved the
way for the post-constitutional reform of the universities.
The LRU did introduce a certain amount of flexibility in
allowing for the contracting of teaching staff on the basis
of Associate and Visiting Professor, and later on with the
figure of the Professor Emeritus. Recruitment was on a
public service basis, as was established in supplemen-
tary provision no. 20 of Law 30/1984 of 2 August on
urgent measures for the reform of the civil service
18
.
The LOU on the other hand established a mixed model for
the public system of university teaching whereby the rela-
tionship with the university is either as a member of the
public service university teaching staff subject to the rele-
vant statutory rules or on a work contract basis according
to established procedure. Article 47 thus states that
teaching and research personnel in the public universities
are to be comprised of public service teaching staff and
contracted personnel. Teaching staff have full teaching
capabilities without exception and also full research
capacity when in possession of a doctorate degree.
54
18
According to the Law, only foreign associate professors can have permanent contracts under the labour legislation, pursuant to supplementary provision no. 8 of
the LRU and supplementary provision no. 5 of Royal Decree 898/1985 of 30 April on the rules covering university teaching staff.
Academic research personnel
Trainee
researchers
Contracted
researchers
Lecturers
Civil Servant
Permanent
Assistant professor
Full professor
Lecturer
Visiting professor
Honorary professor
Professor Emeritus
Resident
researchers
Affiliated
researchers
- Associated
professor of School
- Full professor of
School
- Associated
professor of
University
- Full professor of
University
Work Contract
Temporary
Permanent
adjunct
professor
Temporary adjunct
professor
Affiliated professor
- Doctorate
students
- Grant
holders
- Assistants
TEACHING STAFF
AND RESEARCH
PERSONNEL
ADMINISTRATION
AND SERVICES
PERSONNEL
Civil Servant
Permanent
Work Contract
Temporary
Students
1st cycle
Students
2nd cycle
Students
3 rd cycle
STUDENTS
Graph 1
The Catalan University Community
According to article 48, the LOU recognises the compe-
tence of the Autonomous Regional Communities to
establish the legal status of contracting teaching and
research personnel and, on the contrary, sets aside the
full regulatory capacity over university teaching bodies
for the Spanish State. This clear delimitation and sepa-
ration of the areas of competence between the Spanish
State and the Autonomous Regional Communities and
the recognition of a separate sphere of regulation for the
latter, has opened the door to regulation by Catalan leg-
islation of a specific type of teaching staff for public uni-
versities under the jurisdiction of the Generalitat de
Catalunya.
The LOU in fact lays down that the Autonomous
Regional Communities, within their jurisdiction and in the
framework of their jurisdiction, establish the rules for
contracting university teaching and research personnel
on a work contract basis in the following forms: assis-
tant, assistant PhD lecturer, adjunct lecturer, non-tenure
PhD lecturer, associate professor and visiting professor.
It likewise maintains the figure of Professor Emeritus.
Although the LOU has given greater relevance to con-
tracted teaching staff than in the previous model, the
public service model also continues to be predominant
in that it establishes a series of limitations for the group
of non-tenure (contracted) teaching and research per-
sonnel in relation to tenured posts. The total number of
contracted teaching and research personnel is thereby
limited to 49% of the total university teaching and
research personnel, although this allowance is a notable
increase over the percentage allowed by the LRU of
contracted teaching personnel, which was no more than
20% in general, or 30% of the total teaching staff in uni-
versity polytechnics. During the drawing up and presen-
tation of the draft bill of the LOU, the Generalitat de
Catalunya made a declaration rejecting this numerical
limitation. Nevertheless, the arguments of the
Autonomous Regional Community were rejected by the
Spanish State and the wording of article 48.1, paragraph
two of the LOU was left unchanged and included the
same terms.
In order to mitigate the limiting effects to the detriment of
contracted teaching staff, a third section has been
added to article 29 of the Catalan Law which specifies
that the limit for contracted teaching and research per-
sonnel laid down in article 48 of the LOU is to be calcu-
lated on a equivalent basis to the number of full time
teaching staff. The introduction of this new element in
the evaluation is fully justified if a comparison between
teaching staff is objectively based on the actual involve-
ment on a full or part-time basis of teaching staff in uni-
versity activities as to the number of contracts that the
university endorses. The Catalan law makes use of the
wording of article 48 of the LOU in that specific elements
can be established to facilitate application by whoever
ultimately applies the regulation
19
.
The scope of Autonomous regulation will also have to
take into account certain other legally imposed limitations
that, despite the opposition of the Catalan and Basque
nationalist parliamentary groups, remained unaltered fol-
lowing the parliamentary procedure stage of the LOU
20
,
as is the case of the limitations to the appointment of
contracted teaching staff to positions in certain govern-
mental and representational bodies in universities. This is
the case with the positions of rector; dean of the faculty;
55
19
The option in the Catalan law has been taken up by other Autonomous Regional Communities, as is the case with Andalusia, which in its draft bill for the law on
universities also introduces full time equivalence in the calculation of the percentage figure.
20
The limitations imposed by the LOU on the eligibilty of contracted teaching and research personnel to certain academic or managerial posts was subject to con-
troversy and the presentation of amendments, none of which were considered, in the debates relating to the LOU Project. An amendment was presented by the
Catalan parliamentary group concerning the post of head of department, which is regulated under article 25 of the project that unsuccessfully requested to allow
for the possibility of contracted PhD teaching staff belonging to the corresponding department to be appointed. Eligibility for the post of rector was also disputed
by the members of the Basque Parliamentary Group who requested that the Autonomous Community be competent in regulating the nomination, mandate and
termination of appointment of rectors in the universities under its competence. The Basque Parliamentary Group declared that the debate on the figure of rector
concerns the particular institutional and social sphere of poltical autonomy of the Autonomous Regional Communities.
school director and head of department, except for
departments in the areas of knowledge referred to in arti-
cles 58 and 59 of the LOU
21
, the head of which can either
be a non-doctorate tenured member of teaching staff or
a contracted teacher. On the contrary, contracted teach-
ers are eligible for the post of university institute director
and vice-rector. The participation and representation of
contracted teaching and research personnel is also indi-
rectly limited in certain collegiate university bodies, such
as the university senate, faculty senate and school sen-
ate, given that 51% of the members must be tenured
teaching staff; and also in the governing body of the uni-
versity, given that 30% of the maximum number of 50
members of the university community represented are
chosen or designated from deans of faculties, school
directors, heads of department and directors of universi-
ty institutes, which are reserved for tenured teaching staff
except for the post of institute director. Contracted teach-
ing staff have no difficulties in participating in department
committees, which are made up of all the members with
a doctorate degree in the corresponding department, or
to represent non-doctorate teaching and research per-
sonnel, as laid down by the statutes; they can also par-
ticipate as members on the advisory board, which is a
body established by the LOU to ordinarily advise the rec-
tor and the governing body on academic matters.
These limitations, which imply an added difficulty in the
full consolidation of the new body of contracted teach-
ing and research personnel for Catalan universities, need
to be resolved insofar as this is possible by autonomous
legislation and by the university statutes. Law 1/2003
has introduced a series of precepts aimed at putting the
status of the two bodies of teaching staff on the same
level, the most important being article 43.2, which
establishes that, in the exercising of their jurisdiction, the
universities are to safeguard the identity of contracted
teaching staff's rights in permanent posts together with
those of university teaching staff, while maintaining as a
legal precaution that this is without detriment to that
established in the basic legislation of the Spanish State.
Good practice in development of the Catalan Law and
the resolve of the universities to regulate according to
the statutes and, in as broad a sense as possible, the
scope of the functions and activities of teachers con-
tracted for work as far as university autonomy permits,
are the pillars that will truly put the status of the mixed
system of teaching staff on an equal basis and on which
the policy for university teaching staff will be established
in the future. One should also bear in mind the period
given over to the corresponding collective negotiation.
On other occasions, the LUC sets a specific equalisation
regulation, such as article 12.3, which lays down that
doctoral teaching activities given in university depart-
ments, centres and institutes is the job of PhDs, and that
the director of doctorate programmes approved by each
university must be a member of the doctoral teaching
staff of the university co-ordinating the programme.
3.2. Categories of teaching and research
posts contracted by Catalan universities.
Chapter III of Section Heading II of Law 1/2003 is on uni-
versity academic personnel, which consists of the
tenured university teaching staff and contracted teach-
ing staff, together with resident and affiliated
researchers. A new definition for personnel providing
academic services to universities has been introduced in
Catalonia that respects and complements the definition
of university community comprising the teaching and
research personnel, students and administration and
services personnel. Although this is not expressly
defined in the LOU, it is outlined in several of its pre-
56
21
The areas of knowledge established by the Spanish Government to be covered by full professors and associate professors of university schools.
22
Article 20 of the LOU makes reference to the different sectors that make up the university community when it establishes that voting to nominate the rector is to
be deliberated on by the different sectors of the university community that include PhD teachers who form part of the university teaching staff, the remaining teach-
ing and research personnel, students and administration and services personnel.
cepts, such as for example article 20 where it refers to
the nomination of rector
22
.
The categories of contracted teaching staff in Law
1/2003 are classified according to the permanent or
temporary nature of the posts in the university.
Universities can contract the following permanent
posts:
a) Full professor: from those in possession of a doctor-
ate degree and with a consolidated career in teaching
and research.
b) Associate professor: from those in possession of a
doctorate degree and with a career in teaching and
research of proven ability.
And the following non-permanent posts:
a) Lecturer: from those in possession of a doctorate
degree, to carry out teaching and research during the
initial stage of their academic career.
b) Assistant professor: from recognised experts and
specialists who can validate their professional activity
outside of the university. Contracted to carry out spe-
cific teaching work, they have full teaching capacity
within their area of knowledge.
c) Visiting professor: from teaching staff and researchers
with recognised prestige from other universities or
research centres. Contracted to carry out specific
teaching activities and/or research projects.
d) Professor Emeritus: from tenured professors from the
same or another university who are retired and whose
performance has been of outstanding service to the
university. They can collaborate in specific teaching
and/or research activities.
On a permanent or temporary basis, universities can
contract:
Adjunct teaching staff to carry out teaching work to
cover the needs of qualified teaching in specific
areas of knowledge pursuant to article 51 of
the LOU
23
.
Law 1/2003 has also introduced the possibility of con-
tracted teaching staff of retired age continuing to assist
with the university on an honorary basis and carrying out
academic work in a similar way to tenured teachers,
who on retirement can be contracted as professor
Emeritus
24
.
Catalan lawmakers wanted the category of contracted
university teaching staff to carry special weight, given
that, as is mentioned in the preamble, undefined teach-
ing posts such as full professor and associated profes-
sor and also permanent adjunct staff are regulated for
the first time since the 1930s, taking into consideration
that the Generalitat de Catalunya, together with the
universities within its competence, only has sufficient
leeway to implement a specific Catalan policy relating
to this body of teachers
25
. Law 1/2003 thereby envis-
57
23
Adjunct teaching staff can carry out teaching activities in areas of knowledge established by the Spanish Government, subject to a report from the Council for
University Co-ordination (Consejo de Coordinacin Universitaria).
24
During the parliamentary procedures of the LOU, the Catalan Parliamentary Group sought to extend the possibility of recruitment of retired tenured staff as pro-
fessor emeritus to contracted teaching staff although their request was again refused. For this reason, the Catalan Law allows contracted teaching staff at retire-
ment age who have rendered an outstanding service to the Catalan University System and at the request of the university to collaborate in an honourary capacity
in specific teaching and/or research activities according to terms established in accordance with the general legislation of the social security. It ultimately rests with
the universities to ensure that the necessary measures are entered in the corresponding collective bargaining agreement applicable to contracted teaching staff in
order to bring about the full effectiveness of this provision.
25
The preamble of the Law refers to the new model of teaching staff: A new system for academic careers based on recruitment has been started that can either
serve to complement or replace that of the public employee system yet in a way that is no less exacting. For example, the academic career of a PhD may begin
with a contract as a post-doctoral researcher in a research centre or university, followed by a maximum of four years as lecturer (doctoral assistant) at the same or
another university or department.
ages regulation that starts by considering the basic
character of the posts laid down in the LOU, which is
then developed in such a way that amounts to an
autonomous model for teaching staff whilst maintaining
the essential distinctive features of each academic
post.
In order to support the new contractual figures for
permanent teaching posts, the second end provision
of the LUC instructs the Generalitat de Catalunya to
draw up and provide the necessary means for a plan
entitled Jaume Serra Hnter, in memory of the former
rector of the Universitat de Barcelona who directed
the founding of the University Autnoma de
Barcelona
26
.
The Law has also pursued the recognition of an exclu-
sive policy for Catalonia regarding researchers, whilst
establishing a sub-classification for academic personnel
in public universities by making a distinction and sepa-
rately regulating, on the one hand, both tenured and
contracted teaching staff and, on the other, academic
research personnel.
3.3. Features of the Catalan model for uni-
versity teaching staff:
a) The figure of contracted doctoral teaching staff is
divided into the categories of full professor and asso-
ciate professor.
Both observe the appointment requirements laid
down by the basic Spanish rules, which consist of
accreditation of three years teaching or research
activity with preferably post-doctoral research and a
favourable external assessment. Law 1/2003 com-
plements these requirements with the additional need
to accredit two years of teaching or pre- or post-doc-
toral research activity, or technology or knowledge
transfer in a position of academic disassociation from
the convoking university. In the LUC teaching staff
model, this latter requirement is considered fulfilled if
the entire period of studies and the awarding of the
candidate's doctorate qualification correspond to a
different university to that offering the post.
b) Certain contracted teaching staff positions have their
own titles in the Catalan University System.
This is the case with contracted teaching staff such
as full professor and associate professor, which cor-
respond to the figure of contracted doctoral teaching
staff in the LOU, and lecturers, which correspond to
adjunct doctoral teaching staff in the LOU, both of
which are terms that distinguish these categories in
Catalonia. The LUC thereby restores the historical tra-
dition and is in harmony with the age-old claim of the
Catalan movement for university reform. The confer-
ral of these categories with their own name has been
58
Teaching posts such as full professor and
associated professor and also permanent
adjunct staff are regulated for the first time
since the 1930s,
26
This Plan envisages the setting up of 400 contracts for professor and 800 for associate professor over a period of twelve years, at the approximate rate of 100
contracts (professor or associate professor) per year; 50% of which are to be jointly financed. This additional contribution to the increase referred to below is to be
included annually in the budget of the Government of Catalonia from 2003 onwards. Furthermore, Parliament has ordered the allocation of the Government of
Catalonia budget assigned to public university funding to be gradually increased over the period 2003-2010 until it reaches a real minimum increase of 30% of the
amount budgeted for in 2002.
cause for controversy as certain sectors consider that
the term 'professor' should be reserved for tenured
teaching staff. However, the LOU has made no
express prohibition or reservation in relation to the
designation of tenured university teaching staff
27
.
c) The external assessment and favourable reports that
candidates need to certify in order to be contracted
by the universities must be made by the Agncia per
a la Qualitat del Sistema Universitari de Catalunya .
This clarifies and at the same time specifies the two-
tier option established by the LOU in establishing that
the external assessment of adjunct doctoral teaching
staff (article 50) and contracted doctoral teaching
staff (article 52), as well as reports in the case of
adjunct teaching staff (article 51), can be made by the
Agencia Nacional de Evaluacin de la Cualidad y
Acreditacin (Spanish Quality Assessment and
Accreditation Agency) (ANECA) or by the external
assessment body determined according to
Autonomous Regional Community law. The Catalan
Agency has jurisdiction over the recruitment of teach-
ing and research personnel in universities in the
Catalan University System, without prejudice to col-
laborations established with other external assess-
ment bodies, where applicable.
d) Candidates for the category of assistant professor
must be in possession of research accreditation, while
candidates for the category of full professor must pos-
sess advanced research accreditation. As the case
may require, candidates need a report of their teach-
ing activities in accordance with the procedures and
criteria established by the Agncia per a la Qualitat del
Sistema Universitari de Catalunya with a view to posi-
tive assessment as laid down in article 52 of the LOU.
Law 1/2003 deals specifically with external assess-
ment, which is a binding obligation of the LOU for all
candidates to certain established contractual cate-
gories. Article 47 of the LUC establishes that such
accreditation must be issued by the Agncia per a la
Qualitat Del Sistema Universitari de Catalunya and
that the announcement of selection processes requir-
ing candidates to be in possession of accredited
research must be programmed with sufficient time in
advance to allow for calls for proposals to those inter-
ested and the processing of the corresponding
accreditation. In addition to attributing the Catalan
Agency with the aforementioned functions, the Law
also takes the Agency's organisational structure into
account. The Agency, which by law is structured
according to specific commissions according to the
functions to be developed, must of necessity have a
Lecturer and Adjunct Teaching Staff Commission,
whose job is to issue the relevant reports for the
recruitment of these two types of teaching post, and a
Research Assessment Commission, which basically
carries out the functions of issuing research and
advanced research accreditations, assessing the
59
27
Contrary to this, the first draft of the LOU bill of 4.5.2001 did establish that only tenured teaching staff, irrespective of their administrative position, that are uni-
versity full professors or associate professors, and university school full professors or teaching staff, could hold these titles, and also prohibited the use of titles
leading to any error or confusin in relation to centres, qualifications or teaching staff. This initial reservation was not finally included in the wording of the LOU.
The Catalan Agency has jurisdiction over
the recruitment of teaching and research
personnel in universities in the Catalan
University System, without prejudice to
collaborations established with other
external assessment bodies, where
applicable.
activities of researchers and assessing the research
activities of teaching and research personnel in private
universities. In order to ensure that these are techni-
cally independent, the Law lays down that assess-
ments made by the Agency must then be endorsed
by the respective assessment commissions and that
these are ultimately responsible for them.
e) A sabbatical leave and extended leave of absence
scheme for contracted teaching staff is regulated
without prejudice to the conditions of the applicable
collective bargaining agreement, the principal objec-
tive being to promote research and inter-university
collaboration.
One of the objects of the legislation is the mobility of
teaching staff, especially permanent teaching staff on
contract, temporary adjunct doctoral teaching staff
and lecturers, and sabbatical leave and extended
leave of absence can be requested by teaching staff
in the aforementioned categories, according to the
classification of article 56 of the LUC that regulates
the categories that promote research and inter-uni-
versity collaboration, as follows:
1. For the development of research programmes or
activities in public or private entities that are set up,
affiliated or participated in by the university and
related with the scientific or technical activities
developed by the university.
2. For setting up technology-based enterprises,
directly related with the scientific or technical activ-
ities developed by the university.
3. For the development of teaching or research pro-
grammes/activities in other universities, public or
private entities set up or participated in by the uni-
versities and other entities with which the universi-
ty has entered into a collaboration agreement.
Sabbatical leave, with the right to a job or position
reserved, can be granted for a period of up to two
years. The university must determine any earnings,
when applicable, to be received. Extended leave of
absence is granted for a period of up to four years by
the university of origin without authorisation of earn-
ings and implies automatic contract suspension.
Pursuant to internal university regulations, permanent
teachers on contract are entitled to one sabbatical
year every six years of academic activity specifically
for training purposes or to collaborate with a universi-
ty or research centre outside of Catalonia.
Article 57 of the LUC establishes, without prejudice to
sabbatical leave and extended leave of absence
recognised in the industrial regulations and, where
applicable, the applicable collective bargaining agree-
ment, that permanent contracted teaching staff, tem-
porary adjunct teaching staff with a doctoral qualifica-
tion and lecturers with a minimum one year of service
are entitled to one special leave of a period up to a
maximum of four years.
With regard to maternity/paternity leave, supplemen-
tary provision no. 12 of the LUC lays down that the
twelve months following the birth of a child are exclud-
ed from the time period restriction of any legally bind-
ing contract. Although the wording of the provision
does not take account of adoption, this special cir-
cumstance also needs to be dealt with. Supplementary
provision no. 10 of the LUC lays down that internal uni-
versity regulations are to establish measures to concil-
iate the working life and family responsibilities of the
members of the university community. These meas-
ures have been adopted in line with Law 6/2002 of 25
April approved by Parliament that establishes meas-
ures to conciliate working life and family responsibili-
ties. With regard to gender, supplementary provision
no. 12 entrusts the universities and the corresponding
department of the Generalitat de Catalunya to promote
actions leading to equal opportunities for men and
women in all areas of university activity.
60
f) Teacher training and quality assurance, two key ele-
ments of the Catalan model for university teaching
staff. Article 19 of the LUC takes account of the
responsibility of both the Generalitat de Catalunya
and the universities to provide university teaching staff
throughout their academic lives and particularly dur-
ing the initial stage of their teaching activities with the
possibilities of training in order to assure quality
teaching and the updating of their knowledge and
skills. Teaching activities are subject to assessment in
accordance with the methodology and programmes
developed by the Agncia per a la Qualitat del
Sistema Universitari de Catalunya. The LUC estab-
lishes that provision must be made for ongoing train-
ing and quality teaching recognition programmes, as
well as incentive schemes given by both individual
teachers and teams of teachers.
3.4. The scope of jurisdiction of the
Autonomous Regional Communities with
regard to academic research personnel.
Resident and affiliated researchers
Law 1/2003 has introduced a new classification for per-
sonnel providing university research services, which
comes under academic research personnel and com-
prises university teaching staff and researchers with a
PhD qualification. The functions of research or non-
exclusive research are thereby distinguished and specif-
ic consideration is given to the personnel involved. The
law avoids rigidity in its pronouncement of models for
recruitment applicable to research personnel and estab-
lishes the possibility for universities to have their own
resident research personnel and research personnel
from other institutions that are affiliated by way of agree-
ments.
In dealing with the issues concerning research person-
nel, the Law establishes in article 61.1 that the universi-
ties can contract researchers from PhD holders, pur-
suant to the prevailing regulation, and in article 63
provides for the possibility of appointment for specific
jobs or services involving teaching, research, technical or
any other type of personnel to develop specific scientif-
ic or technical research projects
28
.
At the national level in Spain, there is a two-tier regula-
tion of recruitment for research functions, with the LOU
on the one hand that deals with teaching and research
personnel contracted by the universities who principally
carry out research work and, on the other, Law 13/1986
of 14 April on the promotion and general co-ordination
of scientific and technical research that regulates
research contracts.
Conversely, the Catalan Law deals with contracted uni-
versity teaching staff and researchers working in univer-
sities and research centres in one sole regulation. The
full competence of the Generalitat de Catalunya in edu-
cation is recognised in article 15 of the EAC and
according to article 9.7 EAC it has exclusive compe-
tence in research, without prejudice to that stipulated in
no. 15 of section 1 of article 149 of the EC, and it is
through the exercising of this competence that the
Catalan Law regulates specific issues relating to aca-
demic research personnel and specifically researchers.
In STC 90/1992 of 11 June, the Spanish Tribunal
Constitucional declared that the competence of the
Generalitat de Catalunya and that of the Spanish State
are concurrent and that such concurrence justifies and
explains how the Spanish State has competence over
co-ordination. By virtue of this power, Law 13/1986 of
14 of April on the promotion and general co-ordination
61
28
The inclusion in the Catalan Law of articles 42, 61 and 62, all of which relate to researchers, was discussed during the draft procedures by the Spanish State,
which declared that the Catalan lawmakers may have fallen into excessive regulation not dealt with nor covered by the LOU. This criticism was not accepted by
the lawmakers of the LUC under protection of article 9.7 EAC and competence deriving from article 149.1.18 EC.
of scientific and technical research (BOE no. 93 of 21
April 2001) was passed. Beyond this specific reserva-
tion, it is the Generalitat de Catalunya that exercises full
competence.
Law 1/2003 clearly establishes that recruitment of
researchers must be made in accordance with the pre-
vailing regulation, which is connected with article 102
relative to the legal status applicable to the universities
that takes account, amongst others, of Law 13/1986,
which in the wording given to article 17 supplementary
provision no. 7 of Law 12/2001 of 9 July on urgent
measures for the reform of the labour market to increase
employment and improve quality, establishes the follow-
ing types of research contracts:
a) Contracts with research, scientific or technical per-
sonnel to carry out specific research projects, which
are regulated by article 15 a) of the Estatuto de los
Trabajadores (labour statute).
b) Contracts with PhDs for researchers to enter the
Spanish science and technology system, which are
regulated by article 11.1 of the Estatuto de los
Trabajadores, to carry out research activities, pro-
grammes or projects that develop, perfect or com-
plete the scientific experience of the contract holders.
The regulation of contracts of resident researchers in
article 61 of the Catalan Law may in fact dovetail with
type a) above. With regard to resident researchers, sec-
tion two of article 61 of the LUC details the recruitment
of post-doctoral researchers from PhD holders with less
than two years service and from a different university to
the one offering the contract for a maximum period of
five years. Special mention is made of the recruitment of
recent PhDs as a form of their recognition and encour-
agement.
In order for there to be greater collaboration and
increased mobility in research work and to make the
system as open as possible, recognition has been given
to the title of affiliated researcher. Researchers can be
affiliated with the universities, research centres or other
public or private bodies by way of agreements or other
forms of collaboration to carry out projects on research,
development or innovation, as well as the transfer of
technology and knowledge. Researchers maintain their
work contract with the entity of origin and the applica-
ble legal status is that which prevails for the particular
professional category. The affiliation of researchers with
universities facilitates recognition of one of the
Generalitat de Catalunya's priorities in its policy on
research personnel, namely the setting up of the private
foundation Instituci Catalana de Recerca i Estudis
Avanats (Catalan Institution for Research and
Advanced Studies) (ICREA) by way of an Accord of the
Executive Council of the Generalitat de Catalunya of 27
December 2000. The object of the institution is to pro-
vide impetus to, and promote and develop research
and scientific, humanistic and technological knowledge
in the public interest. In particular, the institution facili-
tates the progressive consolidation of the body of
researchers and scientists established in Catalonia
through an active human resources policy that pro-
motes research and through participation in the lines of
research carried out in universities, university centres
and university research institutes by way of different
forms of collaboration. ICREA is given special mention
in supplementary provision no. 10 of the Law, which
sets out the possibility of agreements between the uni-
versities and the Institution whereby researchers are
linked to research programmes or projects under the
terms of article 62 and, at the same, enabling them to
contract researchers affiliated to ICREA or other entities
for teaching duties as adjunct, assistant or visiting
teaching staff, in accordance with the relevant regula-
tion in each case.
The important task of researcher training is also cov-
ered by the law and this is underlined in article 68,
which establishes that PhD students, including
research fellows and assistants, are regarded as
62
trainee researchers. Article 12 states that the purpose
of PhD studies is to train research personnel in the rel-
evant area of university research as well as profession-
ally and in terms of the business world, and that it is up
to the corresponding department of the Generalitat de
Catalunya that deals with the universities and the pub-
lic universities to promote actions aimed at improving
their quality and degree of specialisation, at the same
time that inter-university co-operation and internation-
alisation are promoted. The intention of the Law is to
make PhD studies available to well-prepared students,
regardless of their nationality or origin. Universities
must recognise the rights and responsibilities of
research fellows in the internal statutes to safeguard
their right to appointment and to use university facili-
ties. As a stimulus to the promotion of research, the
Law lays down in article 21.3 that the universities and
the Generalitat de Catalunya must support, stimulate
and aid teaching staff and other research personnel to
seek research funding on a competitive basis from
both public and private bodies.
3.5. The students of the Catalan University
System. University admission in the
Autonomous Regional Community.
Chapter II of Section Heading II of the LUC deals with
students and certain important issues are highlighted,
one of which refers to the model of university admission.
Article 1.2 of Organic Law 8/1985 of 3 July, which regu-
lates the right to education, establishes that everybody
has the right of admission to levels of higher education
according to their aptitudes and vocation, and in no
case is this right subject to discrimination on the
grounds of income, social standing or place of resi-
dence. This right to university study is subject to certain
entry requirements plus the offer of a place on a partic-
ular study course at a specific institution. The LUC
establishes that the principles of public dissemination,
equal opportunity, merit and ability must be respected in
the admission process to the Catalan public university
system and that, pursuant to the prevailing regulation,
student admissions ultimately rest with the university.
The LUC mentions the important work of co-ordinating
university entrance carried out by the universities and the
Generalitat de Catalunya through the Consell
Interuniversitari de Catalunya, which organises entrance
examinations for all of the Catalan universities and uni-
versity institutes as one administrative area. Article 32
entrusts the corresponding department of the
Generalitat de Catalunya that deals with the universities
to adopt appropriate measures for the universities to act
in a co-ordinated way in this important matter in order to
safeguard equal opportunities for students. To this end,
the LUC stipulates that the Consell Interuniversitari de
Catalunya is to provide admission processes to universi-
ties that request them, while respecting the autonomy of
the universities without exception.
Pursuant to the Law, admissions must take account of
the number of available places; the processes must be
transparent and objective and, as a general rule,
entrance examinations must be corrected anonymously.
There is greater detail in this section of the Law than in
other chapters that are more general, the purpose being
to establish the legal basis for sufficient guarantees so
that the rights of students wishing to enter the university
system in Catalonia are protected, regardless of the
63
Everybody has the right of admission to lev-
els of higher education according to their
aptitudes and vocation, and in no case is
this right subject to discrimination on the
grounds of income, social standing or place
of residence.
model ultimately adopted to regulate the universities and
the Inter-university Council of Catalonia and also regard-
less of the students' origin.
Admission to university has traditionally been a complex
issue and the process in Catalonia is well accepted by
the universities, the students themselves and the public
interest in general. The recognition given to the co-ordi-
nated admissions system used by the Catalan universi-
ties has led to it being studied and used by other
Autonomous Regional Communities and ultimately
included in the Spanish regulations. Nevertheless, the
Spanish regulatory capacity concerning this matter has
been particularly problematic due to insecurity resulting
from constant modification; due to its content, which,
according to the Generalitat de Catalunya, breaches the
prevailing jurisdictional order; and due to the problems of
application by the universities that constantly have to
adapt entrance exam proceedings in line with regula-
tions laid down by the Spanish State, on occasions
without warning.
Article 2, point f) of the LOU includes admission, the sta-
tus of tenure and verification of students' knowledge
under the issue of university autonomy. The Spanish
Tribunal Constitucional nevertheless considers that the
64
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a university
Eligibility
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AQSUC
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Minimun 3 years
after receiving title
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Full Professor
(work contract)
Researcher
(work contract)
Post-Doctoral
Researcher
Up to 5 years
Associate Professor
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Assistant Professor
(work contract)
Favourable
AQSUC report
Lecturer
(work contract)
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Graph 2
Diagram of choices in an academic research career in Catalan universities
setting of limits as regards student admission to univer-
sity centres is in keeping with the Constitution and
recognises that such authorisation of admission is con-
ditioned by the capacity of university centres, and also
as a result of the adoption of measures to avoid irregu-
larities in the criteria of admission to higher and universi-
ty education (STC 26/1987, principle 4, and STC
187/1991 principle 3).
Legal principle 10 of STC 26/1987 declares that, in
accordance with the powers 1 and 30 of article 149.1 EC
exercised by the Spanish State, the Spanish regulations
that cover selection procedures have the exclusive right
to establish the conditions or basic rules of selection for
university admission and it rests with the Autonomous
Regional Communities, who have full competence in
education, to expand on these. In the exercising of these
powers, the Autonomous Regional Communities must
respect the corresponding competence of the universi-
ties within their territory by virtue of university autonomy.
All three authorities must yet again find sufficient scope
within which to exercise their jurisdiction
29
.
Considering that the Generalitat de Catalunya has com-
petence over legislation concerning university admis-
sion, which is expressly recognised by the Spanish
Tribunal Constitucional, and that university admission
falls entirely in the category of university autonomy, nec-
essary scope needs to be created for the Generalitat de
Catalunya and the universities under its competence in
order to create sufficient autonomy within the basic
model of admission established by the Spanish State,
and more specifically in the designing of the most appro-
priate selection process.
3.6. The rights and responsibilities of uni-
versity students.
Articles 37 and 38 of the LUC give a brief yet important
account of the wording of the rights and responsibilities
of university students. Article 46 of the LOU gives an ini-
tial outline of the basic rights and responsibilities that
begins by pointing out that studies are both a right and
a duty of university students, and goes on to detail a
series of specific rights that students have under the
terms established by legislation
30
. Express recognition is
made of social security coverage for students, under the
terms and conditions laid down by the prevailing legisla-
tion. As far as the regulation of students' responsibilities
is concerned, full referral is made to statutory regulation
and therefore the scope of action of each university in
particular.
In addition to referring to the rights recognised in the
LOU, the LUC establishes that the universities in the
Catalan University System must guarantee students a
series of other minimum rights, namely:
a) To receive quality education and teaching.
b) Non-discrimination with regard to birth, sex, sexual
orientation, ethnic group or race, beliefs, religion, or
any other personal or social circumstance.
65
29
For this reason, and on the basis of this constitutional doctrine, the Executive Council of the Generalitat de Catalunya has made two claims of jurisdiction against
the Spanish Government, both of which are pending sentence. In claim of jurisdiction no. 137/2000, in connection with Royal Decree 1640/1999 of 22 October,
which regulates university entrance exams, the Government of Catalonia considers that the Decree infringes its competence of self organisation (article 9.3 in rela-
tion to article 15 EAC). In the claim of jurisdiction no. 2851/2000, in connection with Royal Decree 69/2000 of 21 January, which regualtes the selection procedure
for university entry of students who fulfill the legal requirements for university admission, the Government of Catalonia considers that certain provisions of the reg-
ulation breached the established jurisdictional order.
30
The rights legally configured in the LOU are: a) study at the university of ones own choice, under the terms established in the legislation; b) equal opportunities
and non-discrimination of personal and social circumstnces, including disability, university entry, admittance to university centres and institutes and tenure, and
the exercising of academic rights; c) guidance and information from the university on the academic activities affecting students; d) publication of the university reg-
ulations that regulate the verification of students knowledge; e) guidance and assistance by lecturers and tutors, as is established; f) representation in the gov-
erning and representative bodies of the university, under the terms established in the LOU and the statutes or rules of organisation and procedure; g) the freedom
of speech, assembly and association in all areas of the university; h) the safeguarding of their rights by way of appropriate procedures and, where applicable, the
action of the university mediator.
c) To receive information on study programmes and their
objectives.
d) To be objectively assessed according to academic
performance.
e) To exercise the freedom of association, information,
speech and the right of assembly on the university
campus, in accordance with the conditions of use
established by the university.
Article 37 of the LUC also lays down the general princi-
ples to be respected in the exercising of the rights, while
pointing out that students must exercise their rights with
full respect for other people, full recognition of demo-
cratic principles and the rights of the other members of
the university community, and with respect for collective-
use property.
Responsibilities that the universities are under obligation
to lay down in the corresponding protocols that take
form in the statutes, must at the very least be as follows:
a) Undertake and make use of their studies in a way that
is appropriate to their status of university students
and in a dedicated way.
b) Comply with the statutory regulations and other inter-
nal university rules.
c) Co-operate with the university community to con-
tribute towards the achievement of the university's
objectives and the improved running of the university.
d) Assist and participate in governing and representative
bodies of the university to which they are elected or
designated.
The importance of contributing to student job place-
ment is laid down in the Law in various provisions
although it is given special treatment as a general prin-
ciple in article 39, which establishes that both the cor-
responding department that deals with universities of
the Generalitat de Catalunya and the universities them-
selves are to provide students with guidance on careers
and employment by promoting the meeting and collab-
oration of students and graduates with representatives
from business and industry and social institutions. With
this aim in view, and in accordance with the social
council of the university, effective actions are to be insti-
gated to promote job placement and the professional
employment of graduates.
Details on participation in associations and voluntary
service appear in article 40, which entrusts the universi-
ties with the instilling of civic ideals in the students and
encouraging their solidarity and participation. The insti-
tutions in charge of university education must also facil-
itate, stimulate and provide support for participation in
associations as a way of contributing to the consolida-
tion and growth of the social interconnections that form
part of university and community life. Associations need
a dynamic framework that provides for the participation
of students during their life at university. As reinforce-
ment to civic attitudes, both the Generalitat de
Catalunya and the universities must promote solidarity
and co-operation in students. All of these mandates of
the Law appear in the articles referring to students'
rights and responsibilities in order to produce the neces-
sary impact for these to be effective and not merely con-
sidered as a series of guiding principles for university
student activities.
The participation and involvement of students in univer-
sity life has had repercussions on the LUC, which in a
66
Students must exercise their rights with full
respect for other people, full recognition
of democratic principles and the rights of
the other members of the university com-
munity, and with respect for collective-use
property.
new development envisages the possibility of universi-
ties setting up a former students and friends of the uni-
versity council as a body of inter-relationship between
the university and its former students and ex-alumni and
friends' associations, as well as enabling these to partic-
ipate in the life of the university. Article 100 establishes
that the abovementioned council is to be made up of
people who belong to the various associations of ex-
alumni and friends, together with people who the univer-
sity establishes are directly linked with it. It is up to each
university to internally attribute the functions of the for-
mer students and friends council. An important new
development is the participation in the university social
councils of a former student with a degree from the cor-
responding university as a representative of Catalan
society who is not a member of the university communi-
ty. The former student is named by the president of the
social council on advice from the rector and, where
applicable, at the proposal of the former students and
friends council, in accordance with article 82 of the LUC.
The Law seeks to establish a permanent link with grad-
uates through these measures and establish a positive
level for their participation in and influence over the uni-
versity. In the broad sense of what the public university
service is at the present time, today's students are also
potential recipients of university services in the future.
Lifelong learning, the increasingly important involvement
between society and the universities, and the impor-
tance of good placement for graduates, amongst oth-
ers, are all areas in which former students who are com-
mitted to their university can play an important role.
3.7. The policy for university grants and
scholarships
In relation to university students, article 41 of the LUC,
which refers to scholarships and financial support for
university studies, is important in that it establishes the
mandate of the corresponding department of the
Generalitat de Catalunya that deals with the universities
to constitute a policy for grants and loans within the
framework of the general system for promoting higher
education dealt with in article 45 of the LOU, which guar-
antees that whoever is in a position to undertake and
benefit from university studies shall in no case be exclud-
ed on the grounds of economic reasons, and that the
general system be adapted to the socio-economic and
territorial needs of Catalonia.
The transfer of powers with regard to grants and schol-
arships to the Generalitat de Catalunya has been one of
the main assertions of right with regard to higher edu-
cation which both the Executive Council of the
Generalitat de Catalunya and the Parlament de
Catalunya have been demanding for many years.
Despite the efforts made and the recent STC
188/2001, which is analysed below, the effective trans-
fer of powers has so far been impossible and there
have been numerous obstacles and delays
31
. The
Spanish State decided to maintain the regulation and
management of the matter totally centralised, especial-
ly calls for proposals, and the awarding and payment of
grants and scholarships, without prejudice to the col-
laboration of the universities in management. In the face
of this situation, which according to the Generalitat de
Catalunya goes against its recognised competence
according to article 15 EAC and the body of constitu-
tional principles that cover grant funding, an Acord de
la Comissi Mixta de Traspassos (Agreement of the
Joint Commission for the Transfer of Powers from the
Spanish Government to the Generalitat de Catalunya)
32
was adopted in 1998 on the initiative of the Generalitat
de Catalunya, point seven of which contains approval
of the Agreement of Principles for carrying out the
67
31
The policy for university grants and scholarships financed by the Spanish national budget has been developed through the enforcement of Royal Decree
2298/1983 of 28 July, which regulates the system of grants and other forms of financial support for personalised study (BOE n 205 of 27 August 1983).
32
Agreement of the Plenary Assembly of the Joint Commission for the Transfer of Powers envisaged in temporary provision no. 6 of the Estatut dAutonomia de
Catalunya (Statute of Autonomy for Catalonia), held on 23 September 1998.
transfer of power with regard to grants and scholar-
ships for university studies. The contents of this
Agreement refer to specific criteria for both government
administrations as regards the transfer of authority in
this area and make the date of validity of the transfer
conditional on the coming into force of the Royal
Decrees that modify the prevailing rules and regulations
on grants and scholarships for university study. In spite
of this Agreement, the Spanish State has still not mod-
ified the prevailing rules and regulations.
In defence of its jurisdictional rights over university
grants and scholarships, the Executive Council of the
Generalitat de Catalunya presented two cumulative
claims of jurisdiction
33
against the Orders of the
Spanish Ministry of Education and Science announcing
general university grants and scholarships for the
1994-1995 and 1997-1998 academic years. Ruling
188/2001 of 20 September resolved the aforemen-
tioned claims in partial agreement with the Generalitat
de Catalunya
34
.
It should be pointed out that STC 188/2001 of 20
September was accompanied by three dissenting
opinions, denoting the difficulties in reaching agree-
ments on this controversial issue
35
.
This ruling was laid down during the parliamentary pro-
cedures of the LOU bill and the negotiations that the
Catalan Parliamentary Group in the Congreso de los
Diputados (Spanish lower parliamentary chamber) had
entered into concerning the very matter of university
grants and scholarships, amongst others. This fact
was decisive in the development of article 45 of the
LOU, which was finally approved by the Congreso de
los Diputados and recognises that the general system
for grants is to be expanded on and implemented by
the Autonomous Regional Communities.
The amendment to article 45 of the LOU presented by
the Grup Catal (coalition of Catalan parliamentary
groups in the Spanish Parliament) sets out the motion
that the Autonomous Regional Communities expand
on and implement the Spanish rules on the matter. The
literal wording of this amendment is identical to that of
article 45 of the LOU except for the last point, which
proclaims the necessary co-operation of the
Autonomous Regional Communities in the constituting
of systems for information, verification and control,
which has been added.
The LUC has thus been drawn up in accordance with
the situation subsequent to the aforementioned ruling,
68
33
Claims of jurisdiction no. 3386/94 and 4710/97, raised by the Consell Executiu (Executive Council) of the Generalitat de Catalunya (Government of Catalonia)
against the Orders of the Spanish Ministerio de Educacin y Ciencias of 15 June 1994, and 30 June 1997 respectively, whereby applications for grants and schol-
arships for university studies were announced.
34
The ruling declared that the following come under what is considered to be basic policy:
a) The kinds and amount of awards, given that this is part of the essential conditions for the granting of financial support;
b) The economic and academic requirements for eligibility and for obtaining awards, and the income rating system, given that these constitute another central
aspect of the regulation of grants;
c) The criteria of incompatibility of university grants with other awards or scholarships, as justified in article 149.1.30 EC.
d) The criteria of grant revocation in the event of the concealment or falsification of data or incompatibility, together with the obligation of repayment of the amount
received and interest in arrears, given that all of these are general regulatory principles applicable throughout Spain.
The Tribunal Constitucional considers that the following come under the jurisdiction of autonomous competence:
a) Regulation of the weighted elements used by funding bodies to evaluate grant awards.
b) The criteria for which applications can be denied, as the application of these by the award funding bodies is discretional.
c) Expanding on the rules of the Spanish State and all functions of implementation, namely procedures for the management, control and approval of grant appli-
cations, and the setting up of the corresponding bodies to carry this out.
35
The first dissenting opinion was issued by the senior judge Carles Viver i Pi i Sunyer, the contents of which are markedly in favour of autonomy; the second by
the senior judge Vicente Conde Martn de Hijas, to which the senior judges Manuel Jimnez de Parga and Fernando Garrido Falla agreed to, which criticised the
ruling on the grounds that the claims should have been entirely overruled. This dissenting opinion contains a specific declaration with regard to the doctrinal bear-
ing to be given to article 149.1.1 EC to the effect that it should not be understood to be a rule of competence but as an area, implying the full exclusive compe-
tence of the Spanish State.
according to which the transfer of functions and serv-
ices in this matter to the Generalitat de Catalunya
should not be legally disputed again. In this respect,
temporary provision no. 4 of the LUC envisages the
current situation whereby it is impossible for the
Generalitat de Catalunya to fully exercise the jurisdic-
tion recognised by the Spanish Tribunal Constitucional,
which has been deferred until transfer becomes effec-
tive. Article 41 of the LUC also reflects the option
adopted by the Generalitat de Catalunya in relation to
the management of grants and points out that the cor-
responding department dealing with the subject of the
universities must constitute, together with the universi-
ties themselves and in a co-ordinated way, an efficient
and effective system for loans, grants and scholarships
for university studies and research. This system is to
be set up through the Agncia de gesti d'ajuts uni-
versitaris i de recerca (University and Research Awards
Agency), which was established by Law 7/2001 of
31 March.
4. Objectives of the Catalan University
System: the European area of higher
education and the mobility of
researchers.
The Sorbonne Agreements (1998), the Bologna
Declaration (1999) and the Prague Declaration (2001)
laid the referential and programmatical ground work
for defining and constructing the European area of
higher education by 2010 by establishing the promo-
tion of quality, mobility and exchange, and competi-
tiveness as the key to the European model for higher
education. The progressive consolidation of a
European university community has given rise to the
necessary convergence of the different university sys-
tems into a series of essential structures that define
the new concept of degree qualifications harmonised
within a more general cyclical structure for higher edu-
cation than during the first cycle (foundation
degree/diploma level), with the object of bringing
about extensive training and the development of the
necessary skills to deal with the problems and increas-
ing complexity of a world in constant evolution.
Specialisation occurs in second cycle studies (under-
graduate) in preparation for professional placement
while in the third stage (higher education) there is even
greater specialisation involving further studies and
greater professional involvement or the increased
research ability of doctoral students. This new concept
of higher education needs to permit credit portability
and comparable qualifications, together with the
establishment of a series of objective parameters with
regard to quality that are measurable, recognised and
accepted universally. Furthermore, article 14 of the
LUC includes another essential element of the
European area for higher education, namely lifelong
learning, through the involvement of the Generalitat de
Catalunya and the universities in the objective of life-
long university training and knowledge and skills
reappraisal.
One of the fundamental principles of Law 1/2003 is the
full integration of the universities in the Catalan University
System in the European area of higher education and
69
The transfer of powers with regard to grants
and scholarships to the Generalitat de
Catalunya has been one of the main asser-
tions of right with regard to higher educa-
tion which both the Executive Council of the
Generalitat de Catalunya and the Parlament
de Catalunya have been demanding for
many years.
the promoting of the Catalan universities in Europe and
around the world. This premise is made explicit in arti-
cles 15 to 17, which contain the features for making this
objective effective, together with recommendations for
information and the transparency of foundation and
degree qualifications, which will need to be accompa-
nied with the European diploma supplement and
designed according to the specific nature of the Catalan
University System.
University institution qualifications, over which the uni-
versities themselves have extensive autonomy as a
result of the fact that they are not recognised qualifica-
tions, will help to bring about an important advance in
terms of progressive and full harmonisation with other
European qualification systems if, as is laid down in the
LUC, co-ordinated action is provided through the
Consell Interuniversitari de Catalunya. Moreover,
accreditation by the Agncia per a la Qualitat del
Sistema Universitari de Catalunya will also be possible,
as with recognised degrees. University institution quali-
fications (a characteristic of the Catalan system unlike
the rest of Spain) will be of particular importance in that,
pursuant to article 13 of the LUC, they can be awarded
by the universities to students who successfully com-
plete the first cycle of recognised two-cycle degree
courses.
The Generalitat de Catalunya and the universities are
entrusted with giving impetus through the necessary
adaptations to implement the new European cycles, the
Consell Interuniveritari de Catalunya is made responsible
for the co-ordination of the processes of convergence
with the qualifications systems in Europe, and a series of
new specific measures are established to facilitate the
mobility of students and degree holders, which are as
follows:
a) Adapt the types of degree course cycle along the gen-
eral lines of the European area of higher education.
b) Adapt qualification denominations.
c) Establish the ECTS credit system or any other relevant
unit adopted in the European area of higher educa-
tion as the unit of evaluation for courses and study
programmes.
d) Facilitate adaptation of the qualifications system to the
European framework.
e) Bring into line any other adaptations that can be
adopted within the context of the European area of
higher education.
Within this context, mobility can no longer just be a
legal right established for civil servants and it has
become a need that safeguards plurality and
exchange, enriches the scientific community and pro-
motes university quality. The LUC draws up certain
strategic lines and specific instruments to facilitate and,
as far as possible, guarantee the mobility of university
teaching staff between the universities in the Catalan
system and other universities and research centres,
especially in Europe. Mobility is sometimes a binding
obligation, as with the requirement for candidates to be
disassociated from a university offering a place for
appointment to certain teaching and research posts
contracted by the universities, which in Catalonia is
also required of candidates applying to be contracted
as full professors or associate professors. On other
occasions, mobility is voluntary and measures are
established to promote this. This is the case with sab-
batical leave and exceptional extended leave of
absence established for contracted teaching staff,
which presumably will have an important effect on the
increase in mobility of university teaching staff and also
the fact that sabbatical holders can be automatically
and definitively readmitted on request by those con-
cerned in a job in the same category and department
or institution of origin. The mobility of university
researchers is fully laid down in article 66.2, which
involves both the Generalitat de Catalunya and the uni-
versities in the co-ordinated setting up of programmes
to facilitate the mobility of the universities' own aca-
demic personnel.
70
The Law conceives mobility from two viewpoints; on the
one hand, it refers to teaching staff and researchers in
the universities in the Catalan University System and, on
the other, the integration of teachers and researchers
from other systems into the Catalan universities to facil-
itate the flow of joint efforts between the members of
the European university community. It specifies that the
system for the recruitment of teaching staff is not sub-
ject to conditions or requirements based on nationality.
Article 30 of the LUC refers to the objectives of the uni-
versities and the Generalitat de Catalunya in relation to
the specific policies affecting the university community,
which must specify directives and methods aimed at
promoting the two aspects of mobility, namely inter-uni-
versity activity and intercommunication between the
members of the university community in Catalonia, and
also its full consolidation as an integrative part of the
European university community and international scien-
tific community, with the establishment of links for inter-
university academic collaboration and the implementa-
tion of mobility flows between the members of these
communities.
The importance of student mobility is underlined in dif-
ferent articles of Law 1/2003; article 11, for example,
recognises that the recognition of qualifications is down
to the university, and immediately after establishes that
the public universities must co-ordinate the system for
the recognition of qualifications and adopt appropriate
measures to facilitate credit portability and student
mobility within the framework of the Catalan University
System and the European area of higher education.
Furthermore, the private universities will be able to par-
ticipate in co-ordinating the system for the qualification
recognition and in the adoption of appropriate measures
to facilitate credit portability and student mobility. Given
the importance of establishing a model for university
entry that is acceptable and recognised by other
European universities in order to effectively safeguard
the mobility of students, article 33 of the law stipulates
the obligation to adopt measures to:
a) enable students at universities in Catalonia to be
able to continue their studies in other European uni-
versities. To this end, and pursuant to the prevailing
regulation, models of university entrance and tenure
that are recognised and accepted by the universities
in the European area of higher education need to be
promoted.
b) approve programmes that promote the entry of stu-
dents originating from outside the Catalan educa-
tional system into the universities in the Catalan sys-
tem, especially in more advanced courses. In order
to be able to fully integrate these students into the
corresponding study programmes, the Generalitat
de Catalunya, through the Consell Interuniversitari
de Catalunya (Inter-university Council of Catalonia),
is to establish systems that provide them with a suf-
ficient understanding of the Catalan language. It
also stipulates that introductory programmes pro-
viding practical information about life in Catalonia
are also to be run.
Mobility is likewise important in terms of participation
and plurality and articles 34 and 35 of the Law recognise
the universities' commitment to the world and the impor-
tant work that they can carry out in bringing progress
and improvement to underdeveloped countries. Ways
that this is implemented include co-operation pro-
grammes that facilitate the admission of students from
these countries into Catalan universities and introducto-
ry programmes and advisory services for new students,
together with social programmes and activities that facil-
itate their integration into university life and provide them
71
The Generalitat de Catalunya and the uni-
versities are entrusted with giving impetus
through the necessary adaptations to
implement the new European cycles
with a knowledge of Catalonia and an understanding of
its language and culture. The universities of the 21st
century must be supportive and receptive to the needs
of society as a whole and at the same time contribute in
an effective way to the objectives of economic develop-
ment and well being.
Lastly, the Law entrusts the Consell Interuniversitari de
Catalunya with the setting up of an Office of the
European area of higher education with the object of fos-
tering the full integration of the Catalan universities into
the European area of higher education
36
.
5. The Agncia per a la Qualitat del
Sistema Universitari de Catalunya
(Catalan University Quality Assurance
Agency). Evaluation, accreditation
and certification.
The Agency is defined in article 137 of the LUC as the
main instrument for quality promotion and evaluation
assigned with the functions, amongst others, of pre-
senting reports concerning the recruitment de lecturers
and adjunct teaching staff, and issuing research accred-
itation required for the post of associate professor and
advanced research accreditation required for the post of
full professor, according to the model of teaching staff
envisaged in the LUC. The Agency is also responsible for
evaluating the activities of research personnel and of
assessing the personal, teaching ability and operational
merits of tenured and contracted teaching and research
personnel which, pursuant to article 72 of the LUC, also
affects bonuses.
The explicit recognition of the competence of the
Autonomous Regional Communities to have their own
authorities for the certification, accreditation and evalua-
tion of university quality and especially of teaching staff is
one of the essential and unrenounceable issues raised by
the Catalan coalition in the Congreso de los Diputados
(Spanish Parliament) in the debates during the parliamen-
tary procedures of the LOU. The basic Law does recog-
nise the possibility of the functions of evaluation, certifica-
tion and accreditation regulated under article 31 being
carried out by the evaluation bodies that the Autonomous
Regional Communities establish by law, within the scope
of their respective competence, and without prejudice to
the functions of other evaluation agencies of the Spanish
State or the Autonomous Regional Communities. This
declaration recognises and consolidates the action and
autonomous impetus given to the promotion, improve-
ment and evaluation of university quality exercised unin-
terruptedly by the Agncia per a la Qualitat del Sistema
Universitari de Catalunya
37
since it was set up by Decree
355/1996 of 29 October under the legal form of an inter-
administrative consortium. The Agency, in which the
Catalan public universities, the UOC and the Generalitat
de Catalunya all participate, has been a pioneer in Spain
in many aspects and currently forms part of INQAAHE
(the international network of agencies for quality in higher
education). The new Law lays down the objectives of
quality evaluation, certification and improvements to the
learning processes in university education in the Catalan
72
36
The functions of the Office are laid down in supplementary provision no.4, and are as follows:
a) To serve as an observatory in Catalonia for the trends in Europe and on an international level in matters of higher education.
b) To propose measures to adapt the different fields of activity of the universities to the European area of higher education.
c) To make proposals for adapting study programmes to the European and international model that is structured on cycles.
d) To foster relations between Catalan university institutions and the rest of Europe.
e) To provide support for the participation of Catalan universities in European programmes of mobility and co-operation.
f) The other functions entrusted to it by the Junta del Consell Interuniversitari de Catalunya (Board of the Interuniversity Council of Catalonia).
37
The actions relative to the promoting of quality assurance in the universities have, on certain occasions, been subject to dispute. The Catalan Governments for-
mulated claim of jurisdiction no. 1051 has still not been resolved by the Spanish Tribunal Constitucional, in relation to articles 3 and 5 of Royal Decree 1947/1995
of 1 December, whereby the Spanish Plan Nacional de Evaluacin de la Calidad Universitaria (National University Quality Evaluation Plan) was set up, on the grounds
that it breaches the competence of the Generalitat de Catalunya that is recognised by the EC and EAC.
system, the improved analysis of results and proposals
for improving the quality of services provided by the
Catalan public universities. It also modifies the Agency's
legal composition, which takes on the form of a state-run
enterprise of the Generalitat de Catalunya with a corpo-
rate status, full legal capacity and its own assets, with its
activities conforming to private law except for those
actions involving evaluation, accreditation and certifica-
tion or any others that involve the exercising of public
jurisdiction, which are subject to public law.
The Agency is formed of a president, a director and a
Board of management that consists of various members
from the universities themselves, the Generalitat de
Catalunya and society, thus ensuring their involvement in
the objective of promoting and guaranteeing university
quality, pursuant to article 137 of the LUC.
The structure of the Agency, which must act as a sepa-
rate legal entity with independent technical criteria in
order to guarantee the objectivity of its actions, is made
up of different commissions to improve the technical and
specialised nature of its functions, which include the fol-
lowing permanent commissions: the Comissi
d'Avaluaci de la Qualitat (the Quality Evaluation
Commission), the Comissi de Professorat Lector i
Collaborador (the Lecturer and Adjunct Teaching Staff
Commission) and the Comissi d'Avaluaci de la
Recerca (Research Evaluation Commission), which in
turn is subdivided into the commissions for research
accreditation and the different commissions for
advanced research accreditation in the various subject.
The autonomous Agency must act according to the prin-
ciples of co-ordination, co-operation and collaboration
and establish the corresponding relations with other
autonomous, state or international agencies, and partic-
ularly European agencies, that have attributed functions
of evaluation, accreditation and certification. As external
evaluation agencies and bodies are set up in the differ-
ent Autonomous Regional Communities, their scope
and the degree of recognition given to their actions will
need to be constituted, especially in relation to the
recruitment of teaching and research personnel.
The Catalan Agency and the other autonomous
Agencies recognise different levels of joint collaboration
that are possible and have established the possibility of
recognition of the functions of teaching staff accredita-
tion carried out by the other agencies, according to the
specific regulation of each. Article 148 of the LUC estab-
lishes that evaluations and accreditation carried out by
other evaluation agencies or bodies can be considered
by the Catalan Agency. This question obviously needs to
be developed so that the same level of quality and
exacting nature can be guaranteed for evaluating and
applying objective parameters that are recognised in
Europe and technically accepted and expressly recog-
nised by the Catalan Agency
38
.
73
The universities of the 21st century must be
supportive and receptive to the needs of
society as a whole and at the same time con-
tribute in an effective way to the objectives
of economic development and well being.
38
The different autonomous agencies that have been set up or that are being developed and discussed within their respective spheres, such as the Agencia
Andaluza de Evaluacin de la Calidad y Acreditacin (the Andalusian Quality and Accreditation Evaluation Agency), which is still in the blueprint stage; la Comissi
Valenciana dAcreditaci i Evaluaci de la Calitat en el Sistema Universitria Valenci (the Valencia University Quality and Accreditation Evaluation Commission) set
up by Law 5/2002 of 19 June; the Agencia Canaria de Evaluacin de la Calidad y Acreditacin Universitaria (the Canary Islands University Quality and Accreditation
Agency), the setting up of which was sought by Law 2/2002 of 27 March and is regulated by Decree 103/2002 of 26 July; the Agencia de Calidad, Acreditacin
y Prospectiva (Quality, Accreditation and Outlook Agency) of the Universities of Madrid, set up by Law 15/2002 of 27 December, and others, will need to find their
own area of jurisdiction. One of the initial difficulties of the autonomous agencies in acting fully within their own university systems will undoubtedly be the urge of
the Spanish state agency (ANECA) to expand, which is vested with reglamentary functions of evaluation, accreditation and certification on a nation-wide basis.
A claim of jurisdiction has been made with regard to
Royal Decree 1052/2002 of 11 October, which regu-
lates the procedure for evaluation and certification by
ANECA for the purposes of the contracting of universi-
ty teaching and research personnel, by the Generalitat
de Catalunya, which considers that the Spanish
Government lacks the competence to give the ANECA
executive functions relating to contracted teaching and
research personnel over the universities on a nation-
wide basis
39
. All of these functions are attributed in Law
1/2003 to the Agncia per a la Qualitat del Sistema
Universitari de Catalunya.
The Generalitat de Catalunya upholds that evaluation
and certification are of an executive nature and an
integral part of the full competence of the Generalitat
de Catalunya of article 15 EAC with regard to educa-
tion, without admitting any extension of action by the
Spanish state beyond its jurisdictional limits, given that
it is not affected by the broad spectrum jurisdictional
rights pro the Spanish State laid down in articles 27;
149.1.1, 149.1.18 and 149.1.30 EC. The exercising of
these executive functions is not to be duplicated by
the Spanish State agency, thereby avoiding unneces-
sary bureaucracy and having to maintain parallel
administrations, given that ordinary educational
administration in Catalonia is that of autonomous juris-
diction (SSTC 45/2001 and 79/1992). The Generalitat
de Catalunya is of the opinion that the raison d'tre of
the reference made in articles 50, 51, 52 and 72 of the
LOU to ANECA is the existence of universities that
come under the scope of competence of the Spanish
State, such as the UNED, and that the wording in the
LOU given to the aforementioned articles puts certifi-
cations and reports on an equal footing in legal and
material terms, whether these are carried out by
ANECA or by the external assessment bodies estab-
lished by law in the Autonomous Regional
Communities. This equal treatment has been nullified
as a result of the reglamentary and unilateral attribu-
tion of ANECA with executive activity on a nation-wide
basis, in spite of the collaboration and co-ordination
principles and, in the opinion of the Generalitat de
Catalunya, in breach of the constitutional doctrine laid
down in ruling 204/2002, legal principle 5, according
to which it is an activity that fully corresponds in
Catalonia to the Catalan Agency. These and other
aspects have been disclosed in the claim for jurisdic-
tion that was presented by the Generalitat de
Catalunya in defence of its competence and entered in
the Spanish Tribunal Constitucional on 27 February
2003
40
.
In any case, quality is an objective that is intrinsic to
university activities and the three bodies with compe-
tence, the Spanish State, the Autonomous Regional
Communities and the Universities, will need to find a
74
39
As explained, articles 1, 3.3, 5.2 and end provision no. 2 of the aforementioned Royal Decree, all of which infringe the recognised competences of the Generalitat
de Catalunya, according to the Constitution and its Statute of Autonomy. The aforementioned provisions regulate the intervention of ANECA in the issuing of cer-
tificates relative to reports and evaluations required for the recruitment of assistant doctoral teaching staff (in Catalonia, lecturers), contracted PhD teaching staff (in
Catalonia, assistant professors and full professors) and adjunct teaching staff, and the controlling of the percentage of private university teaching staff that requires
a doctoral degree.
40
This is not, however, the only issue that the Tribunal Constitucional should resolve in relation to ANECA, given that several appeals on grounds of unconstitu-
tionality against the LOU affect aspects relative to ANECA. The appeal filed by the Socialist, Mixed and Federaci dEsquerra Unida parliamentary groups declares,
amongst other issues, and according to the appeal claim, that the functions attributed to ANECA impinge in a relevant way on the exercising of fundamental rights.
Evaluation by the Agency is decisive with regard to entering the civil service and equal rights of employment, both for the contracting of teaching staff and estab-
lishing the composition of the qualifying commissions. This is also the case in determining the statute of tenured and contracted teaching staff as their earnings
are affected, considering that evaluation is a necessary requirement for the assignment of certain bonuses. In the opinion of the appellants, the way that the Agency
is dealt with in the LOU alters essential aspects of university autonomy. This and other constitutional pronouncements are needed in order to definitively establish
the true scope of action of the autonomous agencies and the impact that the agency of the Spanish State has on the universities in all of Spain.
peaceful way of co-existing together in order to co-
participate in this important issue on a basis of institu-
tional trustworthiness which of necessity will need to
start from the basis of respect for the body of consti-
tutional principles that are applicable to the matter,
and with particular awareness concerning university
autonomy.
6. University co-ordination and the
involvement of society in the univer-
sities.
As mentioned above and in the preamble of the LUC,
the regulation contained in Section Heading VI, relative
to the Consell Interuniversitari de Catalunya (CIC)
(Inter-university Council of Catalonia), which is the co-
ordinating body for the Catalan University System, and
the consultation and advisory body for the Goven
(Executive Council) of the Generalitat de Catalunya
with regard to the universities, replaces the hitherto
prevailing Law 15/1998 of 28 December, although the
current regulation of the CIC in practice contains all of
the functions that this co-ordinating body has been
exercising since then. The particular features of its
structure are:
a) Individual bodies:
- the presidency,
- the vice-presidency
- the general secretary.
b) Collegiate bodies:
- The Conferncia General (General Assembly) is
the participating and co-ordinating body of the
university community that establishes and evalu-
ates the main objectives of the Catalan University
System. Representation on the Assembly is
broad-based and pluralistic and includes the
public and private universities, educational
administration authorities and various different
social agents and representatives from society in
general.
- The Junta del Consell (Board of Trustees), which
functions either as a plenary assembly, includes
representatives from the public universities and up
to three rectors from private universities that are
legally established as non-profit making entities
and accept the Catalan University Programme,
plus the UOC, or as a Permanent Commission
with representation from the public universities
and the UOC that deals with aspects that come
under its exclusive competence.
Given its importance, mention is also made of section 4
of article 122, which establishes that the CIC, through
the setting up of specific advisory commissions, must
promote the participation of the persons and/or entities
that represent social, professional, academic and eco-
nomic requirements and interests, who, with their
authority, activities, knowledge and experience, can
contribute to the fulfilling of the functions that it is
entrusted with.
Variations in the composition of the social councils,
which are an important medium through which society
participates in the universities and which also exercise
governing functions, constitutes one of the outstanding
aspects of the LUC. Chapter 3 on the social councils,
under Section Heading III, which is on governance and
representation in the public universities, to a large extent
75
Quality is an objective that is intrinsic to
university activities and the three bodies
with competence, will need to find a peace-
ful way of co-existing together in order to
co-participate in this important issue.
lays down the functions established in the regulation
contained in the previous Law 16/1998 of 28 December,
and at the same time reduces the composition of this
body to make it more flexible and improve its effective-
ness. The new regulation reduces the number of mem-
bers to fifteen while leaving the actual proportion of
external and internal university representatives in the
composition of the body unchanged
41
.
A new development in relation to the social councils is
introduced in article 87 of the LUC whereby they can
constitute a participative forum for promoting the partic-
ipation and guidance of individuals, institutions and enti-
ties of an associative, civic, cultural, professional, eco-
nomic, occupational, social and territorial nature that,
with their authority, activities, knowledge and experi-
ence, contribute to the fulfilling of the functions entrust-
ed in this important body.
Given the important work that they have carried out
since their establishment by Law 26/1984 on 19
December, the social councils of the Catalan universities
have become a fundamental body that provides a col-
lective impetus for the universities in promoting and
making society aware of the universities and the servic-
es that they provide.
7. The Catalan Universities Law: the
legal framework and its development,
interpretation and application.
As appears in the wording of the preamble, the LUC
originated out of a long process of reflection on the
new challenges and goals of the universities on the
threshold of the 21st century, which in Catalonia is the
consequence of a process of on-going debate in the
university community and with society in general. It is
also the result of the joint work of many individuals
who have directly or indirectly contributed to the con-
sideration and drawing up of the law, at times at points
76
41
The composition of the Social Councils is as follows:
1. Nine members that represent Catalan society, as follows:
a) Two people named by the Parliament of Catalonia;
b) Three people named by the Executive Council of the Generalitat de Catalunya;
c) One person chosen by the local entities in the area or region in which the corresponding university institutes are located, which in the case of the city of
Barcelona is the Ajuntament de Barcelona (Barcelona City Council), in accordance with its Municipal Charter;
d) One person chosen by the most representative workers trade union organisations in Catalonia;
e) One person chosen by the most important legally established business organisations from the area of influence of each university;
f) One former student with a degree from the corresponding university who is not an active member of the university community.
2. Six members of the governing body of the university, as follows:
a) The rector;
b) The secretary or general secretary;
c) Head of administration;
d) One student;
e) One member of the teaching and research personnel;
f) One member of the administration and services personnel.
The social councils of the Catalan universi-
ties have become a fundamental body that
provides a collective impetus for the uni-
versities in promoting and making society
aware of the universities and the services
that they provide.
very widely separated over time as a result of the his-
torical memory of those who have contributed to the
ideology of the Catalan university throughout history,
which has resulted in many fruitful university conven-
tions, the first of which was held one hundred years
ago. This includes convention delegates, academics,
idealists, and many concerned and sincere people
who, through the ages and especially during times of
great difficulty, have maintained the University alive as
the motive force for thought and action, and who have
defended a status quo for the Catalan university
model.
In the drawing up of the LUC, priority was given to dia-
logue, participation and consensus, especially as a
consequence of the work of the commission that was
especially set up with the universities to prepare the
draft. The numerous proposals, changes and amend-
ments received from all sides, which on the one hand
have contributed to the enrichment of the Law, were
incorporated into the draft although on occasions in
an unsystematic way, which led to the straying of the
legal wording of certain aspects from that normally
expected of laws and as a result may not as read as
would be expected. The LUC is neither a perfect law
nor a future safeguard against the difficulties of the
new university model that is being created in Europe,
and to which the Catalan universities can make a sig-
nificant contribution. It is a legal framework approved
by the Parliament of Catalonia that will need to be
expanded on, with care being taken to prevent the
legal terrain becoming saturated with rules and regula-
tions that always end up being rigid. Furthermore, it
will need to be interpreted according to criteria that are
open to the real life situation of the universities at any
given time and also applied with sound judgement
through the use, where necessary, of the advantages
that arise out of inter-university co-ordination and co-
operation, and the instruments have been used fre-
quently for some time now in Catalan universities,
such as programme contracts. The use that the uni-
versities make of their individual autonomy, in the
broadest sense of the word, is likewise the most
important element and needs to provide the necessary
scope of action for each university to be able to define,
adapt and apply at least most of the various aspects
of the Law to its own particular university policy, there-
by benefiting the diversity, quality and plurality of the
system.
At the time when a law is being drawn up, approved,
or even the moment when it comes into effect, it is
difficult to know whether it will be good or bad or if it
will respond sufficiently and in a satisfactory way to
the expectations and needs of the sector being regu-
lated and of the public interest, and it is only the day
after it is applied and produces effects that this starts
to become known. The Catalan Universities Law has
been set in motion and it will require good political,
legal and university practice for the model for the
Catalan universities to become an appropriate instru-
ment that provides an increasingly better public serv-
ice with ambitious objectives and that is competitive,
open and capable of responding to the new chal-
lenges being faced; a university system that con-
serves the signs of Catalan identity, which fosters all
of the universities within it, that becomes integrated in
a participative way in Europe and that contributes to
the influence of Catalonia and its universities in the
world.
77
The use that the universities make of their
individual autonomy needs to provide the
necessary scope of action for each univer-
sity to be able to define, adapt and apply at
least most of the various aspects of the Law
to its own particular university policy.
78
REFERENCES
PROCEDURE OF APPROVAL OF ORGANIC LAW ON UNIVERSITIES (LEY ORGNICA DE UNIVERSIDADES - LOU):
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80
THE SYNCHROTRON LIGHT SOURCE PROJECT IN
EL VALLS
Ramon Pascual*
An Agreement to form the Consortium for the construction, installation and operation of the El Valls Synchrotron Light Facility
(LLS, Laboratori de Llum de Sincrotr) was signed by the Ministerio de Ciencia y Tecnologa (Spanish Ministry for Science and
Technology) and the Departament dUniversitats, Recerca i Societat de la Informaci de la Generalitat de Catalunya (Catalan
Ministry for Universities, Research and the Information Society) on 14 March 2002.
Synchrotron light is radiation emitted by an electron travelling at almost the speed of light when its path is bent by a magnetic
field. This can be performed in circular accelerators and particularly low emittance storage rings (synchrotrons) and is an
increasingly useful tool in both basic and applied research. The uses of synchrotron light are extremely wide-ranging.
There are currently more than seventy synchrotron light sources in the world including commercially available facilities (used,
for example, by computer manufacturers), national research facilities and supranational facilities. Apart from the ESRF in
Grenoble, which serves seventeen European countries and Israel, there is no synchrotron light source in Europe, SW of a line
from Paris to Trieste. The huge interest in scientific facilities of this type, together with the lack of any such installation in the
extensive area of SW Europe, led to the decision by the Government of Catalonia in 1992 to take the initiative to build one. A
description is given of the present situation and the main characteristics of the project.
Contents
1. Introduction
2. The need for synchrotron light in Catalonia, Spain and SW Europe
3. Synchrotron light and how it is produced
4. The uses of synchrotron light
5. The impact of a synchrotron light facility
6. The Synchrotron Light Source project and its current situation
* Ramon Pascual is a physicist. He is currently professor of theoretical physics at the Universitat Autnoma de Barcelona and works at the Institut de Fsica dAltes
Energies (Institute of High Energy Physics). The author would like to point out that this article was made possible due to the contributions of people who have formed
part of the team at the Synchrotron Light Laboratory at different times. The author is grateful for both their work and their eagerness and faith in a project that has
gone through long periods during which hardly anybody else believed in it. He is especially grateful to Joan Bordas and Josep Campmany for their contributions to
this article. It has been relatively easy up until now to say that a synchrotron light source needed to be built here in Barcelona; the complicated stage now, however,
is to actually build it.
THE SYNCHROTRON LIGHT SOURCE PROJECT IN EL VALLS
81
1. Introduction
The European Physical Society held a meeting in
1994 under the title Large Facilities in Physics to
analyse the existing large scientific installations in
Europe at that time. In addition to the fact that there
was no Spanish or Catalan speaker at the meeting,
the list of large facilities in Spain
1
was also almost
non-existent and limited to an intense magnetic field
facility in Zaragoza and a nuclear fusion installation at
the Centro de Investigaciones Energticas Medio
Ambientales y Tecnolgicas (CIEMAT) in Madrid.
Being restricted to the field of physics, other large
facilities such as the Canary Islands Astrophysics
Institute (where today there is the Grantecan tele-
scope), which was the only large facility in terms of
investment (around EUR 100 million), were excluded.
In spite of the fact that the level of science has
improved considerably in both Catalonia and Spain
over the past twenty years and Spain already partic-
ipates or is jointly involved in large European con-
sortiums such as the European Space Agency
(ESA), the European Laboratory for Particle Physics
(CERN), the European Synchrotron Radiation Facility
(ESRF), the European Molecular Biology Laboratory
(EMBL) and the Insti tut Laue-Langevi n Neutron
Source (ILL) in Grenoble, the list of the country's
large scientific-technical facilities has improved very
little. Aside from the previous exceptions and certain
commercial plants, several of which specialise in
diagnosis and therapy, there are still no large facili-
ties as in other countries of the European Union even
today.
This situation contrasts with the enormous effort put
into creating large logistic and cultural infrastruc-
tures in recent years. In Catalonia alone, this
includes ports and airports, treatment plants, roads
and railways and, in the field of cultural infrastruc-
ture, the Teatre National, the new Liceu (opera
house), the Auditori, the Museu National d'Art, etc.
While the majority of citizens consider that these
large investments are essential, it is very likely that
not so many are aware of the lack of scientific infra-
structure in Catalonia.
Of the large scientific facilities that are lacking, a
synchrotron light facility is one of the most interest-
ing that can help research in a wide range of appli-
cations and make used technologies accessible to
enterprises. This is the background for the initiative
taken by the Generalitat de Catalunya in 1993 to
construct a synchrotron light source with the aim not
only of fulfilling the need in Catalonia for a tool of
increasing use and with many applications in numer-
ous scientific and technological fields but also of
rectifying the lack of large scientific facilities, partic-
ularly in the field of accelerators, in Catalonia and
Spain.
1
The definition of large facility is not totally precise. The interpretation made by the MCyT is a broad one and, up until the Ley de Presupuestos Generales del Estado
(Spanish General Budget) for 2003, which includes the Synchrotron Light Source, included the following: the Spanish Antarctic Base Juan Carlos I; the Spanish
Antarctic Base Gabriel de Castilla; the oceanographic research ship Hesprides; the oceanographic research ship Cornide de Saavedra; the Centro Astronmico de
Yebes; the TJ II Thermonuclear Fusion Installation; the INIA High Security Biology Facility; CEDEX; Minisatellites (INTA); the Plataforma de Qumica Fina (Fine
Chemistry Platform); the Plataforma Solar de Almera (Almera Solar Facility); the IRIS Network; the CNM Clean Room; Calar Alto Astronomy Centre; the Teide
Observatory; the Roque de los Muchachos Observatory; and the Instituto de Radioastronoma Milimtrica (Institute of Millimetric Radioastronomy) radiotelescope .
Vision and microscopes
It would be difficult to imagine the world
without the existence of electromagnetic
radiation, which we know as light or the part
of the electromagnetic spectrum charac-
terised by wavelengths between 700 nm
1
(red) and 300 nm (violet) that is capable of
sensitising the retina of the human eye. This
visible light enables us to see. In order to
be able to see an object, it needs to be illu-
minated by a light source that is intense
enough for a number of photons (a sufficient
quantity of light) to be dispersed by the
object and the reflected light to be picked up
on the retina. The brain processes the sig-
nals transmitted from the retina and inter-
prets the characteristics of the object that is
seen. Man has improved this vision through-
out history by using sources that are suffi-
ciently intense, aided by the telescope to
observe distant objects and the microscope
for small objects. Observations using the
microscope, however, have an inherent limit
in terms of the visible light that can be used:
The science of optics explains how, with
light of a certain wavelength, one will never
obtain a power resolution greater than the
wavelength itself, which means that no optic
microscope can enable structures smaller
than 500 nm to be analysed
2
.
Present-day science uses the whole spec-
trum for analysis, and this extends from
shorter wavelengths (more energetic gamma
rays) to radio waves, and includes X-rays,
ultraviolat waves, visible waves, infrared
waves, and micro-waves. The use of elec-
tromagnetic forms of radiation with wave-
lengths shorter than visible waves, such as
ultraviolet light and especially X-rays, has
enabled Man to overcome the limitations of
visible light and to be able to appreciate the
details of things that would be inaccessible
just using visible light. Such uses require
strong luminous sources of these forms of
radiation (especially to observe small
objects) and artificial retinas known as
detectors that are required for the computer-
reconstruction of the images, given that the
reflected light is not picked up by the retina
in the eye. The first people to use these
techniques in the study of the structures of
solids by way of X-ray dispersion were
William Henry Bragg (1862-1942) and
William Lawrence Bragg (1891-1971).
Aside from the improvements that have
been made to luminous sources in research
carried out on other analytical instruments,
researchers have taken advantage of the
undulatory nature of corpuscles, synthe-
sised in the De Broglie ratio l =h/p, where h
is Plancks constant and p is the linear
moment. Increasing the linear momentum
of the particles produces projectiles of a
shorter wavelength that enables the small-
est details of things to be seen. This can be
done, above all, using electrically charged
particles that can be accelerated using
electromagnetic fields. This is how an elec-
tronic microscope works - instead of illumi-
nating the samples with light, i.e. photons,
it bombards them with electrons accelerat-
ed using a high electrical voltage. By
increasing the accelerator power, the
momentum of the electrons increases and
the associated wavelength is therefore
shorter, which increases the resolution of
the microscope. The first electronic micro-
scopes were built by Max Knoll (1897-
1969) and Ernst Ruska (1906-1988) in
1931; by 1934 they had already exceeded
the performance qualities of the best optic
microscopes.
82
1
A nanometre (nm) is equal to one thousandth of a micron (10-9m), a length that is equivalent to approximately ten atoms in a row.
2
To get an idea of what this means, a human hair has a diameter of around 200,000 nm, a cell approximately 10,000 nm; a cold virus around 40 nm; a protein around 10 nm; while DNA
chains are around 1 nm thick..
In order to fulfil the majority of the anticipated commer-
cial and academic requirements in the field of synchro-
tron light in Catalonia, Spain and SW Europe, the First
Research Plan (1993-1996) of the Generalitat de
Catalunya gave official status to promotion for building
a synchrotron light facility in Catalonia for the commu-
nity of users in the aforementioned geographical area
as well as other foreign users. The decision was based
on a feasibility report carried out in July 1992 by a com-
mission made up of scientists from the three existing
83
universities at that time in Catalonia, the Spanish
Consejo Superior de Investigaciones Cientficas, the
Departament d'Ensenyament (Ministry of Education)
and the Departament d'Indstria (Ministry of Industry),
together with experts working in foreign synchrotron
light facilities. The commission was appointed and for-
mally set up on 4 September and the feasibility report
completed by the end of 1992, which was then
approved by the Executive Council of the Generalitat
de Catalunya on 9 February 1993.
Groups of experts in related areas and also groups of
users of synchrotron light in Spain were also consult-
ed during the second half of 1992. The Generalitat de
Catalunya's initiative, which has been endorsed in its
subsequent Research Plans, was made more specif-
ic through the establishing, by Decree 89/93 of 9
March, of a Steering Committee, which was set up on
31 March
2
. A personnel training plan was also set in
motion with a call for applications for ten grants
aimed at young graduates and recent PhDs beginning
their professional experience in the field of accelera-
tors in general and particularly synchrotron light
sources. The members of the group first took part in
an initial training stage at the Joint Universities
Accelerator School (JUAS), which was held for the
first time near Geneva in Haute Savoie in 1993, and
then went on to receive further training in various dif-
ferent centres abroad.
Following two years of funding by the Catalan govern-
ment (including a geo-technical study on a potential
location on the campus of the Universitat Autnoma
de Barcelona (UAB) on land that the university was
willing to cede), a Co-operation Agreement was
signed in Madrid on 20 March 1995 between the
Spanish Comisin Interministerial de Ciencia y
Tecnologa (CICYT) and the Catalan Comissi
Interdepartamental de Recerca i Innovaci
Tecnolgica (CIRIT) to set up and run the synchrotron
laboratory, one of the purposes of which was to make
a detailed three-year study of the project. The detailed
study of the design of the synchrotron light source car-
ried out during these years by this group
3
, including
construction of the most important prototypes by
Spanish companies, was completed in December
1997 and published at the beginning of 1998.
This agreement has been renewed annually and has
financed the cost of the work until now, with a total
figure of EUR 1.8 million up to 2002. This was com-
plemented by the accord of the Executive Council of
the Generalitat de Catalunya on 2 May 2000 which
set up the Laboratori de Llum de Sincrotr (LLS) con-
sortium (Synchrotron Light Facility consortium) made
up of the Generalitat de Catalunya and the Universitat
Autnoma de Barcelona, the long-term objective of
which was to build a synchrotron light source.
Interest in a synchrotron light facility in SW Europe
was shared by all of the Spanish and French regions
grouped together in the Comunitat de Treball dels
Pirineus (CTP, Pyrenees Working Community) that
was also active in promoting a synchrotron light facil-
ity in the area. After various specific meetings, it
became clear that joint action was the best way of
both promoting the construction of the SOLEIL syn-
chrotron light facility in southern France and con-
structing a synchrotron source in Spain. These
actions were made specific in the resolution signed by
the Presidents of the Pyrenean regions in Ordino
(Andorra) on 8 July 1999. The decision of the French
government to finally construct the SOLEIL facility in
Saclay near Paris increased the likelihood of a syn-
2
It was initially headed by the author of the article and later on by Joan Maj. An international Advisory Committee was simultaneously formed by the directors of
large foreign facilities and chaired by Professor Manuel Cardona, which was constituted on 16 April 1993.
3
Doctor Joan Bordas, who was an advisor to the working group, had meanwhile joined the project in September 1996 and taken over the role of director.
chrotron source in El Valls being supported by the
regions in the south of France, particularly following
the signing of the agreement by the Spanish and
French governments to work together in fields such
as synchrotron light.
Once the detailed study of the project was complet-
ed, the then Ministerio de Educacin y Ciencia com-
missioned an assessment by three foreign specialists
and subsequently a specific report commission,
headed by Doctor Rafael Abela from the Swiss Light
Source (SLS) at the Paul Scherrer Institut, the third
generation synchrotron light facility in Switzerland
4
,
was set up to evaluate the Spanish requirements in
this matter. The commission's extensive report
analysed the Spanish synchrotron light requirements
and appraised different solutions put forward to cover
the demand. It gave a clear recommendation for a
synchrotron light facility to be built with the character-
istics that had been designed in Barcelona. The study
was reviewed by the Comissin de Grandes
Instalaciones Cientficas y Tcnicas (Commission for
Large Scientific-Technical Facilities), which also eval-
uated possible alternative solutions to fulfil the
Spanish requirements with regard to synchrotron
light. The commission made a unanimous priority rec-
ommendation in the summer of 2001 to build a syn-
chrotron light source as proposed and to not delay
the decision any longer.
The Consejo de Ministros (Council of Ministers) of the
Spanish Government finally gave approval for the
synchrotron light source project, which is to be built in
the area of El Valls, on 8 March 2002. A protocol of
intentions was signed by the President of the
Generalitat de Catalunya and the Spanish Minister of
Science and Technology six days later on 14 March
within the context of the European Council meeting in
Barcelona under the chairmanship of the President of
the Spanish Government. This protocol established
the commitment to build, install and run a synchrotron
light source in Cerdanyola del Valls, and laid down
the signing by the two Administrations of a specific
agreement regulating the details of the project, which
would be financed equally by the two promoting
Administrations.
The definition of the legal structure of the large facili-
ty was then worked on and the formal setting up of
the Consortium to build, install and run the
Synchrotron Light Laboratory was finally signed by
the Spanish Minister of Ciencia y Tecnologa and the
Catalan Minister for Universitats, Recerca i Societat
de la Informaci, in the presence of the President of
the Generalitat de Catalunya, on 14 March 2003.
Figures for the cost and capital to be provided by the
two Administrations have been defined and appear in
Table 1. EUR 2,633,348 have been set aside in the
budgets of both administrations to ensure the start of
activities this year and both have approved the multi-
annual contributions to cover the economic forecast.
It is anticipated that the Synchrotron Light Facility will
be in operation by 2008.
A long maturity period for a large facilities project like
this is not surprising. When the El Valls project was
84
4
See below, next page and table 5.
A long maturity period for a large facilities
project like this is not surprising.
85
begun in 1992, four other synchrotron light sources
were being planned in Europe, namely ANKA in
Karlsruhe, the Swiss Light Source (SLS) in Villingen,
near Zurich, SOLEIL in France and DIAMOND in the
UK. At the present time, only two of these are up and
running and they have only been put into operation
recently. A 5-milliampere current with an energy of 2.5
GeV
5
was produced at ANKA in March 2000, the final
adjustments to the beamlines made in December
2001 and synchrotron light supplied to users in
December 2002. The SLS was officially inaugurated
on 19 October 2001. Permission to construct SOLEIL
was only given on 6 November 2002 by the Saint-
Aubin municipality near Paris and the construction of
DIAMOND began in Chilton near Oxford on 27 March
2003.
Section 2 sets out the need for a synchrotron light facil-
ity in Catalonia, Spain and SW Europe and the different
reasons for building one. Section 3 explains what syn-
chrotron light is and how it is produced. Section 4 gives
an explanation of the most important uses of synchro-
tron light. The potential impact and spin-off from the
synchrotron light facility in the El Valls area are
described in section 5, and section 6 gives various
details about the project and the current situation.
2. The need for synchrotron light in
Catalonia, Spain and SW Europe
Evidence of the use and need for synchrotron light for
the progress of science is the rapid increase in the
number of new light sources that are in operation or
being built or planned around the world. Many coun-
tries have consequently built national third-generation
synchrotron sources of advanced specifications either
as new facilities or to replace existing ones, as is the
case with Germany, France, Italy, United Kingdom,
Switzerland and Sweden in Europe, United States,
Japan and Russia. The situation is similar in other
countries where new light sources are being built,
such as Armenia, Australia, Canada, Jordan, Thailand
and Ukraine and other countries where they exist,
such as Brazil, South Korea, Denmark, India, Taiwan,
and China.
Aside from these light sources in different countries,
in certain cases there is a need for synchrotron light
with characteristics that exceed the capacity of the
above-mentioned local light sources. This is the rea-
son why Europe, USA and Japan have built comple-
mentary light sources at a cost that would be unac-
ceptable to individual countries with a more reduced
5
An electronvolt is the energy acquired by an electron when it accelerates in a vacuum through a potential difference of 1 volt. Its symbol is eV. Its value is
1eV = 1.60x10
-19
Joules. A giga electronvolt (GeV) is equivalent to one thousand million eV.
Table 1
Estimated cost and financial plan of the construction and installation of the Synchrotron Light Facility (in current EUR)
Year 2003 2004 2005 2006 2007 2008 TOTAL
MCyT 2.633.348 9.581.956 12.459.086 16.898.772 21.371.236 18.994.496 81.938.894
GdC 2.633.348 9.581.956 12.459.086 16.898.772 21.371.236 18.994.496 81.938.894
TOTAL 5.266.696 19.163.912 24.918.172 33.797.544 42.742.472 37.988.992 163.877.788
economic potential, and can thereby supply top-
quality radiation for highly specific experiments. The
first of these was the European light source at
Grenoble (the above-mentioned ESRF, in which
Spain has a 4% participation). The Japanese SPring-
8 source in Nishi-Harima was recently put into oper-
ation, as was the Advanced Photon Source (APS) in
Argonne, Illinois (USA).
As with the field of accelerators in general, neither
Catalonia nor Spain has played an important role in
the development of synchrotron light sources up until
the present time although there is a considerable
number of Catalan and Spanish scientists who are
currently involved in the scientific use of synchrotron
light sources abroad. Table 2 shows the number of
Spanish groups that used foreign synchrotron light
sources in the period 1995-2000 (excluding the
ESRF), either through joint scientific projects, person-
al contact or by way of European Union access pro-
grammes to large facilities
6
.
An analysis of the demand from the Spanish scientif-
ic community carried out as part of the El Valls
Synchrotron Light Facility project showed
7
that there
were more than eighty groups in Spain (involving more
than six hundred scientists) at that time interested in
synchrotron light. As can be seen from figure 1, the
majority needed intense light in the X-ray energy
region
8
between 4,000 and 30,000 eV and high bril-
liance light in the X-ray energy region between 100
and 2,000 eV. It was clear from these figures that
Spain needed a third generation synchrotron light
source with insertion devices (ID), undulators to gen-
erate high brilliance light in the region of soft X-rays
and wigglers that produce intense light in the region
of hard X-rays
9
.
According to the Abela report mentioned above, the
number of groups identified in 2000 had already
increased to 159 all around Spain, 90% of which were
interested in the X-ray band of the spectrum. The
conclusion of the report was that the needs of the
Spanish community of users of synchrotron light was
not covered sufficiently by foreign light source facili-
86
6
From the Abela Commission report Una Fuente de Luz Sincrotrn en Espaa; Madrid, 26 February 2001.
7
J. Campmany, Investigacin y Ciencia no. 239, August 1996, p. 82-83.
8
Light is characterised by a wavelength and frequency , the latter being related to the wavelength through the equation c = , where c is the speed of light in
vacuum. Likewise, the characterstics of light are sometimes referred to by the energy E of its photons, which is related to the frequency by E=h, where h is Plancks
constant. Given the values of c and h, visible light with a wavelength of 300 nm corresponds to a frequency of 1015 Hz (1 Hz = 1 s
-1
) and its photons will have ener-
gies of 4.1 eV.
9
IDs, wigglers and undulators are devices with a periodic magnetic field that is designed to make the electron beam follow a sinusoidal path, which produces the
emission of light. Due to their special geometry, they increase the brilliance by several orders of magnitude over that emitted by bending magnets.
Table 2
The number of Spanish groups using synchrotron light
sources abroad (excluding the ESRF) in the period
1995-2000
FACILITY GRUPS
BESSY (Germany) 11
HASYLAB (Germany) 6
ELETTRA (Italy) 4
LURE (France) 17
SRS (United Kingdom) 15
Max-Lab (Sweden) 2
ALS (USA) 2
SRC (USA) 2
NSLS (USA) 2
Spring8 (Japan) 1
Photon Factory (Japan) 2
TOTAL 64
87
ties and that, of the European countries without a light
source, Spain had the largest number of user groups,
which limited the work of these groups and the set-
ting up of new groups and new lines of work.
Apart from circumstantial access by certain Spanish
users to other sources abroad, the CSIC has a line
speci al i sed i n photoemi ssi on techni ques at the
French synchrotron light laboratory (LURE) in Paris.
Access to public beamlines is available to Catalan
and Spanish users (as for all participating countries)
at the ESRF, where there are also lines belonging to
different entities and countries. Through an agree-
ment between the CICYT and CIRIT, Spanish users
had their own beamline (BM14) during 2001 and
2002 that specialised fundamentally in macromole-
cular crystallography and the study of anomalous
di spersi on. As of 2003 and for a peri od of fi ve
years, the agreement provides Spanish users with a
different beamline (BM16) of similar characteristics
(they no longer have the previous one). Spain is also
constructing the SpLine, which is another beamline
i n the same i nstal l ati on that wi l l soon come i nto
operation.
This current and anticipated capacity is, and will be,
insufficient to cover the requirements of scientific
development in Spain, which has to compete on an
international level. On the one hand, the capacity of
the ERSF can only admit a proportion of the Spanish
users needing photons in the normal and hard X-ray
region and, on the other, the high energy (6 GeV) and
the special scientific characteristics of the ERSF do
not allow for the installation of insertion devices (ID)
optimised for the soft X-ray region nor for lower ener-
gy ones that are required for many needs of the com-
munity of users.
Spain and other countries that are building or plan-
ning new sources already have access to internation-
al facilities so the inevitable question is why set up so
many sources when the existing ones could be
shared? Aside from the technological and strategic
interest of the facilities, the number of insertion
devices needs to be increased to meet the demand
for optimised radiation, which in turn increases the
size of the accelerator and its cost. Given that this
increases with the surface area and not with the
perimeter of the accelerator, there is no saving in
investment in building and sharing a very large accel-
erator. Moreover, an excessive increase in the size of
the ring reduces the curvature and, unless there is an
excessive increase of energy, less radiation is emitted
by the dipoles and the capacity for installing many
experimental stations is reduced. For example, the
volume of use of the ESRF is no higher than that of
Infrared
Visible
Near ultraviolet
Far ultraviolet
Sot X Rays
X Rays (2-4 KeV)
X Rays (4-10 KeV)
X Rays (10-20 KeV)
X Rays (20-30 KeV)
Hard Rays
Gamma Rays
P
o
t
e
n
t
i
a
l

n
u
m
b
e
r

o
f

u
s
e
r

g
r
o
u
p
s
Figure 1
Potential number of user groups in Spain according to their
needs
other national facilities that are smaller and of smaller
energy. An additional factor is that the costs of run-
ning a foreign facility are higher than those of a
national source.
Other strategic considerations, connected with a
country's need to create its own practical knowledge
and know-how and to thereby have influence over an
extensive area with regard to the process of creating
wealth, make the choice of sharing a source undesir-
able. For example, synchrotron light techniques are
regularly applied by large companies in quality analy-
sis and manufacturing processes. Companies need
know-how that can only be generated in a national
facility with wide-ranging scientific objectives before
making full use of a synchrotron light source. It would
be extremely difficult, if not impossible, to generate
and maintain this knowledge through access to a for-
eign synchrotron source.
3 Synchrotron light and how it is pro-
duced
According to Maxwell's laws of electromagnetism, an
electrically-charged particle that is speeded up (or
slowed down) emits electromagnetic waves in a con-
tinuous spectrum and when a particle moves at
velocities approaching the speed of light, as occurs in
synchrotrons, this radiation has unique properties that
are highly interesting for a wide range of scientific
activities. Synchrotron light is the radiation emitted by
a charged particle, usually an electron, at a bend in
the trajectory at velocities approaching the speed of
light, as occurs in a synchrotron
10
.
The unique properties of this form of radiation make
it highly interesting for a wide range of scientists. A
large dipole magnet bends the high-energy beam of
electrons in a synchrotron and this centripetal accel-
eration produces a continuous fan-shaped beam of
synchrotron light tangential to the curve of the parti-
cle beam as long as the flow of electrons is main-
tained. Light is emitted forward in a tangential direc-
tion to form a highly collimated beam
11
in a cone
with a spread of around a few dozen microradians.
This light is much more intense than that of conven-
tional sources
12
and it extends over a continuous
spectrum from infrared to X-rays; it is polarised in
the orbital plane and moreover is emitted in
extremely short pulses (typically several picosec-
onds i n l ength) and wi th a peri odi c structure (i n
microseconds).
Following the first experimental demonstration of
the use of synchrotron light at the National Bureau
of Standards accelerator in the USA in 1963, just 40
years ago, the i ni ti al so-cal l ed 'fi rst generati on'
experi ments were carri ed out usi ng synchrotron
l i ght emi tted by bendi ng magnets i n hi gh energy
particle physics accelerators. By adapting tradition-
al laboratory techniques, high quality results were
obtai ned. Later on, second-generati on synchro-
trons were built and optimised solely for their ability
to generate synchrotron radiation. The first (known
as Tantalus) was built at the Synchrotron Radiation
Centre at the University of Wisconsin (USA) in 1977.
The fi rst source i n Europe was l aunched i n
Daresbury (UK) in 1978. The number of synchrotron
light sources at the present time has increased con-
siderably.
88
10
The emission of synchrotron light also takes place in stellar systems where electrons fall on stars, moving through a spiral trajectory as they do so.
11
That is, confined to an extremely narrow spread.
12
In terms of photon flux (the number of photons per square millimetre and per second) and in different wavelengths, medical X-ray equipment emits around 10 mil-
lion photons; a candle around a thousand million; sunlight around 10 billion and a synchrotron light source around 10 trillion.
89
The history of
particle accelerators
Accelerators are used to obtain high reso-
lution probes and they consist of devices
that are capable of electromagnetically
accelerating particles. The particles there-
fore need to be electrically charged and
generally to be stable during the accelera-
tion process
1
, as with electrons, protons
and ions (or their respective anti-particles, if
a sufficiently high vacuum can be used to
prevent their annihilation as they crash into
their corresponding particles in the residual
gas).
Aside from electronic microscopes, which
are true accelerators with a limit to their
maximum energies of a few hundred keV,
the first particle accelerators consisted of
ingenious devices used to obtain high dif-
ferences of electrical potential. John D.
Cockcroft (1897-1967) and Ernest T.S.
Walton (1904-1995), who were working in
the United Kingdom in 1929, accelerated
protons that, on being slammed into a tar-
get of lithium-7 produced two nuclei of heli-
um. Robert J. Van de Graaff (1901-1967)
constructed the accelerator named after
him in the United States in1933. These
electrostatic high voltage generators accel-
erate charged particles with a weak energy
dispersion and a continuous current. The
high voltage necessary, as with electronic
microscopes, was limited by discharge
phenomena. These accelerators were used
to obtain energies higher than those pro-
vided by natural radioactive sources that
were used in the initial experiments on
nuclear physics, such as those by Ernest
Rutherford (1871-1937), which enabled the
existence of atomic nuclei to be identified.
The primitive particle accelerators also had
advantages over cosmic rays that have
much higher energies but reach the Earth in
a random way.
The limitations of these accelerators were
overcome with the use of a variable electri-
cal field that acts various times on the par-
ticle trajectory. In the case of rectilinear tra-
jectories, a linear accelerator is used with a
pulsed beam. The first was built in 1932
and it was used to accelerate protons up to
1.26 MeV. A larger number of accelerator
units along the trajectory were used to
increase the energy, which led to accelera-
tors becoming increasingly bigger. The
most powerful linear accelerator ever built
is the one in Stanford, which is around 3 km
long. A higher number of accelerator units
obviously proportionally increases the cost
of the accelerator.
The first circular accelerators appeared
almost at the same time. The principle with
this type of accelerator consists of sending
the charged particles around a circular tra-
jectory using uniform and constant magnet-
ic fields perpendicular to the plane of the
trajectory and, at certain points along this,
an accelerated potential difference is
applied. The radius of curvature of the tra-
jectory increases with the velocity of the
particle, which follows increasingly larger
trajectories similar to a spiral as it acceler-
ates. The first circular accelerator was the
cyclotron built by Ernest O. Lawrence
(1901-1958) in Berkeley in 1930. It was a
small flat vacuum cylinder divided diametri-
cally into two semicircles subjected to a
uniform magnetic field along the axis of the
cylinder. An electrical potential difference
was set up between the two half-circles of
the disk. Charged particles injected into the
gap near the centre are pulled by the
potential into one of the electrodes, which
are then bent in a semicircle back into the
gap; in the meantime the electric field has
reversed and can pull them into the other
semidisk; whence they emerge again in
step with the electric field; and so on, even-
tually spiralling out to the edge. Each pas-
sage through the gap boosts the particles
to higher energies until the radius of the last
semicircle travelled reaches the value of the
full radius of the disk, which is when the
particle beam is removed using an electrical
field. The energy of cyclotrons was no
greater than a small fraction of the rest
energy of the particle, especially because
of the limited size of the disk subjected to
the uniform magnetic field. Although
cyclotrons are still used extensively in the
field of medicine, the need for higher ener-
gies led to them being developed, via the
betatron, the synchrocyclotron and the
isochronic cyclotron, into the synchrotron,
which was proposed in 1945.
The idea of synchrotrons is not for the
beam of particles to travel trajectories of
different radii but to always follow the same
more or less circular trajectory in a vacuum
1
Apart from accelerating electrons and protons and their anti-particles, thought is currently being given to accelerating muons, which only have a half-life of two millionths of a second but
when moved at high speeds, the relativistic dilation of time enables the entire process of acceleration to take place.
tube, driven by dipole bending and other
magnets that help to focus the beam. As
the energy increases, the intensity of the
magnets is regulated so that they adjust to
the velocity of the beam at all times so that
the radius of curvature of the trajectory
does not change. The particles are injected
with a relatively low energy (often from a
small linear accelerator) that is increased by
accelerator radiofrequency cavities
installed at points on the trajectory. The
repeated passing through the accelerator
cavities progressively increases the energy
of the beam to speeds that can almost
reach the speed of light if the magnets are
strong enough. The first synchrotrons were
the Cosmotron in Brookhaven and the
Bevatron in Berkeley, which were built at
the beginning of the 1950s and accelerated
protons up to 3 and 6 GeV respectively.
The first to achieve a highly focused beam
was the Proton Synchrotron (PS) at CERN
(European Particle Physics Laboratory) in
Geneva in 1959, which produced protons
of 25 GeV. The most powerful synchrotrons
that have been built are the SPS (450 GeV)
at CERN (protons), the one at Fermilab
(800 GeV, protons), near Chicago, which
uses superconducting magnets, and now
the CERN accelerator complex, with the
Large Electron Positron (LEP), which is cur-
rently out of service for the construction of
the Large Hadron Collider (LHC) in its 27
km long tunnel
2
, the completion of which is
anticipated in 2007.
The increasing energy of accelerators plays
an important role in determining their cost
and a balance has to be found between
energy and size/price. The cost of linear
accelerators is determined by the number
of accelerator cavities positioned along the
trajectory and which the projectiles pass by
just once. In synchrotrons, on the other
hand, the particles pass by each cavity
many times, which would appear to make
them more economical, despite the consid-
erable cost of the bending magnets that
force the particles to follow a circular tra-
jectory. There is another factor that deter-
mines the cost, however, which has to do
with the fact that according to classical
electromagnetism, each charged particle
subjected to acceleration emits energy at a
rate of loss that is proportional to the
square of the acceleration.
The particles in synchrotrons are accelerat-
ed in a centripetal way, no matter how large
the radius of the trajectory curvature and
they therefore emit (lose) more energy when
a synchrotron is smaller. This energy loss,
which is larger when the particle is lighter, is
what is known as synchrotron light and was
observed for the first time in 1947.
Therefore, in order to obtain a certain ener-
gy for a particular particle, a balance needs
to be found between a large accelerator,
which is more expensive but has less cur-
vature and fewer losses, and a small
cheaper one with a higher consumption.
This is why high energy physicists interest-
ed in obtaining higher energies at a lower
cost built the 27 km circumference LEP to
reduce synchrotron radiation and also why
they think that the next large electron
accelerator - with more energy - will need
to be linear. On the other hand, those who
are interested in using synchrotron light are
interested not in reducing these losses but
in maximising them and they will therefore
make synchrotrons that are comparatively
smaller.
It is nuclear and particle physics that has
set the leading edge with regard to the
largest energy accelerators and the con-
cept of storage rings has been introduced,
where particles circulate at constant ener-
gies for long periods of time, either to
experiment head-on collisions as in collid-
ers or to emit synchrotron light. The first
collider to be built in the field of particle
physics was the so-called Intersecting
Storage Ring (ISR) at CERN. The Super
Proton Synchrotron (SPS), also at CERN,
was later on made to produce collisions of
protons with anti-protons in the famous
experiment where intermediary Z and W
bosons were discovered. The largest pro-
ton collider that exists at the present time is
the one at Fermilab, which reaches ener-
gies of 1800 GeV (the maximum obtained),
which enabled the quark top to be discov-
ered. The most important electron-positron
colliders are the ones built at DESY in
Hamburg, which currently operates by
making electrons (of 30 GeV) collide with
protons (of 800 GeV) and is known as
HERA; the SLC, which feeds off of the
SLAC linear accelerator; and the above-
mentioned LEP at CERN, which was the
largest electron and positron collider in the
world (since 1989) and enabled large quan-
90
2
Unlike other synchrotrons, LEP is underground as a result of its size.
91
tities of intermediary W and Z bosons to be
created. LEP was closed down in
November 2000 after having been run for
two years at an energy close to 100 GeV
per beam, which enabled pairs of W
bosons to be created. The new large collid-
er under construction is the LHC (also men-
tioned above) at CERN, which is expected
to reach 7000 GeV of energy per beam.
Leaving to one side these large accelera-
tors of high-energy physics at the leading
edge with regard to the energy, the appli-
cations to which accelerators are put are
highly diverse. Aside from the applications
related to synchrotron light that have
already been mentioned above, some of
the most important include the world of
medicine, where at the beginning of the
1940s radiation began to be used as a
therapy and by the 1960s the medical
applications of the cyclotron to produce
radio-isotopes began to increase; later on,
accelerators began to be used in positron
emission tomography (PET) and in the use
of hadron beam and heavy particle thera-
pies. Accelerators are also used in the
world of art and archaeology, where works
of art can be analysed. A painting in the
Louvre attributed to Pisanello (1395-1455)
was shown to be false due to the low cop-
per content of the pigment, which was
determined by using the PIXE technique of
the Great Louvre Accelerator; and the
Pazyryk carpet at the Hermitage, the oldest
one known in the world, was dated at being
from 250 BC as a result of radiocarbon
techniques carried out at ETH/PSI in
Zurich.
Synchrotron light can also be used to test
whether a document or bank note is origi-
nal or false. Infrared spectromicroscopy
enables the quality of ink to be studied with
an unprecedented sensitivity and can char-
acterise sweat samples in a way that
makes them as unique as fingerprints.
Some of these techniques are not new but
they used to require a large sample.
Although the necessary size has decreased
over the years, synchrotron light today
enables samples of merely 10 microns or
less to be used, without the need to handle
or destroy them and with much greater pre-
cision as a result of the high intensity of
modern synchrotron light sources.
Extensive use is made of accelerators
around the world and there are approxi-
mately 15,000 in total (70 of which are syn-
chrotron light sources). Table 1 shows their
distribution according to fields of use. Up
until the present time in Spain, there have
been several used in the field of medicine,
various ion implanters, a tandem 3 MV ion
accelerator at the Centro National de
Aceleradores at the Universidad de Sevilla
and a 5 MV maximum voltage ion accelera-
tor at the Centro de Micro-Anlisis de
Materiales at the Universitat Autnoma de
Madrid, all of which were purchased on a
turnkey basis. Furthermore, the small num-
ber of different types of accelerator in Spain
also resulted in a lack of experts in the field
as well as in some of the associated tech-
nologies until very recently.
Main types of accelerator in the
world according to field of use
(approximate figures)
Type Number
Ion implanters and
surface treatments 7.000
Industry 1.500
Non-nuclear research 1.000
Radiotherapy 5.000
Production of medical isotopes 200
Hadron therapy 20
Synchrotron light sources 70
Nuclear and particles research 110
TOTAL 14.900
The electrons in a synchrotron light source travel in
bunches of 10
9
electrons that circulate around the
ring in an ultrahigh vacuum chamber. These bunch-
es are very small in size and the beam is made up of
various bunches. While the electrons mutually
repulse each other electrostatically inside the bunch-
es, this effect is not so important at relativistic veloc-
ities and the bunches can be kept at a very small
volume. Another effect to be considered is that the
vacuum chamber is made of metal and each bunch
induces an electromagnetic field that disturbs the
movement of other bunches following behind. The
effect is similar to the vibration felt on a boat that fol-
lows in the wake of another; as in this case, the par-
ticles vibrate as a group with a amplitude that
increases in time and these oscillations therefore
need to be minimised and controlled.
Dipole magnets bend the high-energy beam of elec-
trons in a synchrotron and the centripetal accelera-
tion produces a beam of synchrotron light (beamline)
tangential to the curve of the particle beam that
passes through a monochromator, which selects the
required wavelength for a particular experiment and,
by way of a series of mirrors, focuses it on the sam-
ple to be examined. The light is picked up by a sen-
sor, which sends the data to a data acquisition sys-
tem where they are saved and processed.
Synchrotron light sources are characterised by so-
called critical energy, E
c
which is an energy such
that half of the entire radiated power is emitted at
photon energies above the critical value and half
below the critical value (E
c
)
13
. Given the sensitivity of
modern-day sensors, photons are useful up to ener-
gies of around 2.5 times E
c
. One or more experi-
mental stations that use synchrotron light are set up
at each bending magnet. The quality of the light
emitted is given by the spectral flux
14
and bri l -
liance
15
.
The high flux and brilliance of synchrotron light and
the conti nuous spectrum of wavel engths, whi ch
enables researchers to be able to select the wave-
length required (which make it unique for many
applications, as described below), are complement-
ed by the polarisation of the emitted radiation, which
provides for many applications, for example differen-
tiation of the symmetry of electronic states, and their
temporary structure, which enables real time dynam-
ic studies to be carried out with a resolution down to
one thousand millionth of a second.
In third-generation synchrotron light sources, elec-
trons
16
are fed from a small linear accelerator at
energies of around 200 MeV into a booster ring that
accelerates them to nominal energy, which is often
around 2.5 or 3 GeV, corresponding to a velocity of
99.999% of the speed of light in vacuum. On leaving
the booster, a deviator magnet feeds them into a
storage ring where a series of magnets
17
with a large
magnetic field keep them circulating for hours until a
large part have been lost, at which point more elec-
trons are reinjected. Alternatively, in what is known
as top-up injection, continuous refilling of beam-cur-
rent maintains them at an approximately constant
intensity. This type of storage ring has a polygonal
form with alternating curved sections with dipole
magnets in the vertices of the polygon that bend the
trajectory and straight sections where electrons trav-
el freely in a straight line. Charged radio frequency
cavi ti es are used on certai n strai ght secti ons to
accelerate and restore the lost energy of electrons
due to the emission of synchrotron light.
92
13
Its value is E
c
=0.665 BE
2
, where E
c
is expressed in thousands of eV (keV), B is the magnetic field in tesla (unit of the field of magnetic induction that corrresponds
to around twenty thousand times the magnetic field of the Earth) and E is the energy of the particle in GeV.
14
Spectral flux is the number of photons per unit of time, per horizontal angular aperture and for a given percentage of bandwidth; measured in
photons/s/mrad/0.1%BW.
15
Spectral brilliance is the number of photons per second, per unit of area, per unit of solid angle in a given bandwidth; measured in
photons/s/mm
2
/mrad
2
/0.1%BW. An acceptable level of brilliance in these units would be higher than 10
14
.
16
The drawback with positrons, which have the same rest mass as electrons, is that they are more difficult to produce and, above all, maintain before they get anhil-
iated with residual electrons in the vacuum chambers where they move; on the other hand, they have the advantage that they reject residual positive ions in the
chamber because of their positive charge; up until now, however, they have not been used to produce synchrotron light.
17
As well as dipole (or bending) magnets, which bend the trajectory of the electrons, synchrotrons also have quadrupole magnets that focus the electrons so they
stay in their orbit and sextupole magnets that reduce energy dispersion by slowing down the fast electrons and accelerating the slow ones so that they all travel
at the same speed. Other magnetic systems have other specific missions.
93
One of the most important characteristics of modern
synchrotron light sources is that the length of the
straight sections between the bending magnets is
increased by several metres to install insertion
devices (ID, wigglers and undulators), which are
instruments that produce higher quality light than
bending magnets
18
.
A wiggler generates a high intensity of photons by
adding the radiation emitted by each of its poles.
Moreover, it has a higher magnetic field than bending
magnets
19
so the energy range of the photons can be
increased. An undulator has a lower magnetic field so
that the angular excursion of the electrons is lower
than the natural cone angle of emission of synchro-
tron light. This produces constructive interference
that redistributes the soft spectrum of the synchrotron
light into a series of intense high harmonics com-
pressed into a cone angle of just a few microradians.
In other words, an undulator increases both the inten-
sity of the photon beam (although at lower energies
than a wiggler) and the degree of collimation and,
therefore, its brilliance.
4. Uses of synchrotron light
Synchrotron light is currently being used more and
more in numerous fields of industrial research and
especially basic research. Up until the 1960s, the
main and almost sole users of synchrotron light were
physicists who made what could almost be qualified
as parasitic collateral use of light emitted by synchro-
trons in nuclear and particle physics laboratories.
Since then, however, the situation has changed;
numerous synchrotron light sources have been built
specifically for this purpose and many new applica-
tions based on a wide variety of techniques have
been made and while it is scientists in certain fields of
biology who are today becoming one of the main
group of users around the world, easy access to a
synchrotron light source is now highly important in
many fields of competitive research in both the public
and private sectors.
Important industrial users of synchrotron light include
the pharmaceutical industry, which uses it to design
new medicines; the food industries, which use it to
improve the properties of their products; cosmetics
manufacturers interested in product effectiveness and
eliminating counter-productive side-effects; different
sectors in the textile industry interested in producing
new synthetic fibres; enterprises interested in cata-
lysts and pollution problems; etc. Other uses include
the traditional use of lithographic techniques used in
microelectronics and nowadays micromechanics,
where innovative LIGA techniques have led to the
ANKA source being put into operation in Karlsrhue,
which is used mainly for the micromanufacturing of
devices used in a wide range of fields including med-
ical implants and microsurgery. The list is almost end-
less and the number of applications continues to
grow; companies that actually benefit from all of this,
however, are those that make large investments in
R+D to ensure their competitiveness.
A description is given below of several areas in which
synchrotron light is applied in fundamental and
applied research in fields as diverse as physics,
chemistry, materials science, structural biology, geo-
physics, environmental physics, etc.
There are many important fields in physics that
require synchrotron light. These include the study of
18
See note 9, p. 86.
19
Superconducting electromagnets are sometimes used.
magnetic phenomena at the microscopic level, with
important applications in the development of data
storage products; the spatial determination and vari-
ation of the atomic and electronic structures of many
materials and analysis of the effects of high pressure
and temperatures on structure; high resolution deter-
mination of the structure of superconducting materi-
als; the study of the behaviour of materials at critical
interfaces between gaseous, liquid and solid phases.
Synchrotron light has been crucial in many advances
made in surface science techniques and it continues
to be so from the applied perspective, for example, in
the study of surface phenomena involving corrosion,
surface doping, the surface engineering of disposable
products, electrochemical alterations, hydrophobic
coatings, adhesives, etc.
There are many substances in materials science that
are totally or partially non-crystalline. In certain cases,
their properties are connected with the presence of
nanocrystals or chemical impurities. One area in
which particular success has been achieved with syn-
chrotron light has been the progress made in deter-
mining the local atomic structure of disordered mate-
rials, from glass to semiconductor impurities. Many
advances have been made in magnetism, such as
soft X-ray magnetic circular dichroism techniques
exclusive to synchrotron light that offer unique possi-
bilities, the field of sensors, which is an increasingly
important market, the detection of in situ magnetic
microstructures, etc.
The use and applications of synchrotron light in the
fields of the life sciences and biochemistry have
increased even more. For example, synchrotron light
permits the study of conformational changes in dis-
solved biological macromolecules through the use of
temporary resolution X-ray dispersion techniques,
given the unique temporary structure of synchrotron
light. The techniques are similar to conventional spec-
troscopic techniques with the fundamental difference
that they can also provide direct structural information
at the molecular level at the same time. As the inten-
sity of the dispersed signal is very weak and high res-
olution is necessary, these methods can only be
applied by using synchrotron light sources.
Temporary resolutions above a millisecond open up
the possibility of systematically studying the structur-
al dynamics of, for example, the structural cynetics of
protein folding. Another field that is opening up is that
of biological complexes that form bi-dimensional
structures such as membranes; low angle X-ray dif-
fraction experiments provide direct information on the
structural dynamics of how these complexes work,
for example, when they transport ions or small mole-
cules through a membrane. This is also the case with
the study of the structural dynamics of other fibrous
molecules, such as DNA and muscle tissue.
One spectacular example of the power of synchrotron
light is how the study methods of the atomic structure
of biological systems using biological macromolecule
crystals have been transformed. The resolution of a
structure used to require years of work whereas syn-
chrotron light techniques enable this to be done in an
almost routine way in a question of hours. Now that
the Human Genome Project has been completed, this
important advance enables the next great scientific
challenge to be realistically handled, namely deter-
mining the structure of the tens of thousands of pro-
94
One spectacular example of the power of
synchrotron light is how the study methods
of the atomic structure of biological systems
using biological macromolecule crystals
have been transformed.
teins coded by the genome. This discipline, which is
now known as proteomics, may well become one of
the great breakthroughs of the Twentieth-first century
and synchrotron light is one of the central tools that
will be essential for its success.
Another example is the progress made in determin-
ing the immediate environment of metallic centres in
biological macromolecules made possible through
the use of spectroscopic X-ray techniques that can
only be applied in synchrotron light sources. Metals
are involved in reactions as diverse as DNA tran-
scription, photosynthesis and many enzymatic mech-
anisms. These techniques enable the structure
around a metal centre to be determined down to a
precision of around 0.002nm and in principle these
methods can also be used to determine changes in
the local chemistry of metal centres during a bio-
chemical reaction.
There is a certain number of emerging techniques,
such as magnetic circular dichroism (with or without
temporary resolution), confocal microscopy, point
spectroscopy, or experi ments on temporary and
spatial correlation using coherent X-ray dispersion,
that have enormous potential in the study of the
structure and function of biological systems. While
some of these techniques are at the incipient level, it
is probable that they will soon become routine appli-
cations.
Certain applications of synchrotron light in medicine
are also under consideration, such as the field of
coronary angiographies, and new fields of application
are constantly arising in highly diverse sectors. A
recent application of infrared synchrotron light at the
Advanced Light Source in Berkeley, for example,
enables samples smaller than 10 microns to be non-
destructively analysed in order to detect, amongst
other things, whether a document or bank note is
false or has been tampered with.
Table 3 gives a summary of the main characterisation
techniques that use synchrotron light sources, the
areas of application and the fields of science and
industries where they are used. Techniques that alter
the state of samples are given in table 4.
The wide diversity of fields of application and analyti-
cal techniques made available by synchrotron light, of
which a mere brief summary is given here, is undeni-
able proof of the importance of synchrotron light
sources in a great variety of fundamental and multi-
disciplinary scientific fields.
5. The impact of a synchrotron light
facility
A synchrotron light source, as with any large scientif-
ic-technical facility, has a big impact on its surround-
ings, both in scientific and technical as well as eco-
nomic and social terms. The scientific and technical
impacts are the direct consequence of the wide pos-
sibilities opened up by synchrotron light sources for
the scientific community and enterprises that use
them to carry out research and innovation. Aside from
this intrinsic interest, however, large facilities are also
tools that stimulate the technological development of
a region and it is in the surrounding area where a
process of cross-fertilisation between research, devel-
opment and industrial innovation takes place, resulting
in the actual transfer of knowledge to enterprise.
Technological enterprises frequently locate around
large facilities and jointly participate in the design and
manufacture of prototypes together with personnel
from the facility, partly to cater for their own needs for
instrumentation and equipment that are not available
on the market. In the process, they acquire technolo-
gy that can then be applied to other commercial prod-
ucts and thereby optimise the investment made in
constructing the prototypes. Such collaborations are
not just limited to the time of the initial investment due
95
to the fact that large facilities always have mainte-
nance and updating programmes that often last their
entire lifespan, which in the case of a synchrotron light
source is at least more than thirty years.
During the initial stage, large facilities also lead to the
development of construction technologies as the
result of non-standard building characteristics that
are required of construction firms. In the case of a
synchrotron light facility, for example, highly demand-
ing requirements are made of the building with regard
to ground stability, the insulation of a wide range of
vibration frequencies (all frequencies exceeding
amplitudes of a few micrometers in the band between
1 and 100 Hz), the insulation of electromagnetic
fields, highly stable temperature conditions, etc.
96
Table 3
Main characterisation techniques and the areas of science and technology where they are applied
Techniques Applications Fields of science and industries
Absorption spectroscopy Density, atomic environment, chemical Petrochemicals, environmental control,
composition, presence of low concentrations catalysis, pharmacy, new materials
(< 10 ppm), study of metallo-organic compounds
Diffractometry Low concentrations and small monocrystals, polymeric Pharmacy, analytical chemistry,
and protein structures, fine crystalline structures, nutrition, metallurgy, aerospace
minority phase studies, stress and strain, iindustry, plastics
amorphous and vitreous materials
Fluorescence and photoelectron Electronic levels, bond energy, trace Surfaces, solutions, fine
spectroscopy analysis, catalysis, corrosion chemistry, metallurgy
Protein crystallography Polymorphism distinction, viral structures Medicine, pharmacy
Dispersion Ordered materials, interfaces, Pharmacy, fine chemistry,
structures in homogeneous media paint, food, polymer
processing, electrochemistry, cosmetics
Chemical topography, tomography Tests for quality Electronics
Radiography Strain, textures, morphology and defects in Medicine, aeronautics, metallurgy
materials, angiography, mammography
Confocal microscopy Drug specificity and their action on living cells Pharmacy, cosmetics
Infrared Optical properties and chemical analysis Chemical analysis
Source: Abela Report
Table 4
Main techniques that alter the state of samples and the fields of science and industries where they are applied
Techniques Applications Fields of science and industries
Hard X-ray lithography Microcomponent manufacture using LIGA technique Micromechanics
Soft X-ray and VUV lithography Chip manufacture Microelectronics
Monochromatic illumination Photon-activated processes Catalysis, chemical synthesis
Source: Abela Report
Apart from civil engineering companies, the types of
enterprise that benefit in this way from synchrotron
light sources mainly include manufacturers of high
precision (usually one part in 10,000), permanent and
non-permanent magnetic systems; manufacturers of
high output and highly stable power supplies (hun-
dreds of kW); specialist firms producing ultrahigh vac-
uum systems (of the order of 10
-10
millibar), precision
mechanics and cooling systems; manufacturers of
electronic systems and radiofrequency power sys-
tems (of the order of MW to frequencies of 100 MHz);
numerous manufacturers of instruments for the accel-
erators, beamlines and insertion devices, diagnosis
systems, optical systems of different wavelengths
from visible to X-rays, etc. Extremely high demands
are also made on computer firms (software and hard-
ware) and those dealing with data acquisition and
management.
One of the objectives of the synchrotron light source
is to stimulate enterprises in the surrounding area.
Studies that have been carried out indicate that,
while Catalan and Spanish enterprises are still lack-
ing certain technologies that are necessary in order
to participate in the construction of the light source,
these technol ogi es can be obtai ned wi thout too
much effort and it is anticipated that around 70% of
the suppl y and i nvestment wi l l be covered by
Spanish enterprises. As explained below, this type of
cross-fertilisation has already occurred in the case of
enterprises that have participated in developing pro-
totypes built during the design stage of the facility, to
the point that all of them have been built by Spanish
enterprises.
This scientific-technical impact ultimately results in a
series of economic impacts, of which the most direct
ones can be quantified. In the first place, there is an
initial investment of around EUR 163 million and oper-
ating expenses that usually come to around 10% of
the investment in the case of large facilities. Over one
hundred jobs are created directly, most of which are
for qualified personnel in different fields, to which one
must add jobs that are indirectly created during con-
struction and others that become included as the
facility increases its capacity through the addition of
new beamlines required by new users. The other main
economic factor, which derives from a large facility as
a centre of attraction for enterprises and new techno-
logical investment, is more difficult to quantify but is
undoubtedly important.
Aside from the importance of the economic impact
that the investment and job creation represent, syn-
chrotron light sources are facilities that fundamen-
tally specialise in providing a service to users. In the
case of a synchrotron light source with the charac-
teristics of the one being constructed in Catalonia,
the annual figure just for the number of users of the
five working beamlines initially programmed
20
would
al ready be around a thousand. Thi s fi gure wi l l
increase as the facility is completed and increased.
The majority of users will not reside in the local area,
which will generate a certain volume of business in
the environs. Furthermore, the fact that researchers
have a working instrument in synchrotron light will
encourage the best researchers to stay and
work here.
The presence of permanent and temporary qualified
personnel in the facility itself and in enterprises that
set up around it result in a positive social impact on
the area surrounding a large facility, which in the
case of El Valls will make an important contribution
to the social and urban environment, the core of
whi ch consi sts of the Uni versi tat Autnoma de
97
20
See below, table 8.
Barcelona and the Parc Tecnolgic del Valls (Valls
Technology Park), which is served by the A-6 (from
Barcelona to Madrid, and La Junquera on the
French border) and C-58 national motorways (from
Barcelona to France via Puigcerd) and the B-30
highway, which runs parallel to the A-6, together
with the new, recently approved Centre Direccional
(development plan).
A large facility like this is also extremely important as
far as personnel training is concerned. Due to its
characteristics, a synchrotron light source requires a
large number of personnel to be trained at the post-
graduate and post-doctorate levels. Work in a cen-
tre that is characterised by the massive use of lead-
ing-edge technologies is one of the best places
where professionals-to-be can acquire the training
that will enable them to become qualified to work in
a very wide variety of different environments in the
future.
6. The Synchrotron Light Source
project and its current situation
As mentioned above, one of the main objectives of
the synchrotron l i ght source proj ect i s to have a
large accelerator facility, which in Catalonia has cer-
tai nl y been l acki ng. Whi l e Spai n i s a member of
CERN and the ESRF, both of which are accelerator-
based l aboratori es, and there are teams of hi gh
energy physi ci sts i n Catal oni a and other
Autonomous Regi onal Communi ti es who are
experts in elementary particle detectors as well as
synchrotron light users, there is an insufficient num-
ber of experts working in a field as wide as that of
accelerators. The project therefore has the funda-
mental objective of adding Catalonia and Spain to
the list of countries that are most advanced in the
use of synchrotron light and associated technolo-
gi es and of maki ng a synchrotron l i ght source
di rectl y avai l abl e to the sci enti fi c communi ty i n
Catalonia and Spain. The purpose is also to have a
large laboratory of excellence of international scope
that serves as a personnel-training centre and to
attract technological enterprises. A further objective
i s to establ i sh a centre where the academi c and
industrial worlds can collaborate together and that
also facilitates relations between basic research and
development.
Large facilities like this need to be built preferably in
areas that have good communications and are well
connected and, if possible, that already have a cer-
tain scientific and industrial potential like that men-
ti oned above. In thi s respect, a l ocati on near to
Barcelona would appear to be an ideal location and
El Valls, with its extensive communications net-
work, a short distance from and with good connec-
tions to Barcelona airport, is difficult to improve on.
Furthermore, the recently approved new develop-
ment plan (Centre Direccional), with a surface area
of 340 hectares, will result in an investment of EUR
176 million as well as creating thousands of jobs. All
of this forms the ideal location for the synchrotron
light source facility.
The characteristics of this synchrotron light source
will be similar to those of other recently constructed
European sources or that are currently being built,
as can be seen from table 5. It consists of an elec-
tron accelerator with conventional magnets forming
a ri ng of approxi matel y 250 metres i n ci rcumfer-
ence. Electrons are brought to an energy level of
several hundred MeV usi ng a commerci al l i near
accel erator. A synchrotron then accel erates the
bunches of electrons to a nominal energy level of
2.5 GeV and they are then injected into the main
ring where they circulate at a velocity close to the
speed of light. Electrons emit synchrotron light in
this ring where radio frequency cavities are used to
accelerate the particles and restore energy loss.
98
The main characteristics of the El Valls synchrotron
light source are given in table 6.
The present design of the ring has a dodecagonal
shape and certain minimal final touches are being
made to optimise it. Each of the twelve cells will
have an array of three bending magnets (the struc-
ture known as triple bent achromat [TBA]) that act
as l i ght sources. Al together, i t wi l l have twel ve
strai ght secti ons (around 7 metres l ong), one of
which will be used to inject the beams and another
wi l l contai n accel erator cavi ti es, wi th the ten
remaining sections being available to install inser-
tion devices. The three bending magnets in each
cell of the ring generate a dipole magnetic field that
bends the hi gh-energy el ectrons, as wel l as a
quadrupole component that, together with a series
of other quadrupole and sextupole magnets, opti-
mises the optics of the ring as an aid to improving
the quality of the light produced. Currents of at least
200mA circulate around the ring. It is thereby calcu-
lated that the ring will need to be reinjected once a
day unless it is decided to be refilled periodically, a
possibility which is under study. This ring will be
capabl e of suppl yi ng usabl e l i ght wi th a cri ti cal
energy of the order of 5 keV.
While the ring will be able to accommodate up to thir-
ty independent beamlines, the approved project only
envisages the funding of five at the present time.
Throughout the estimated lifespan of the facility and
according to the particular needs of the scientific
community in Catalonia, Spain and other countries,
the full utility of the ring's capabilities will be increas-
ingly used, as has occurred in similar facilities in other
countries.
The anticipated initial technical characteristics of the
light emitted by the bending magnets and insertion
devices are given in table 7.
99
Table 5
Characteristics of recently built and planned European synchrotron light sources
Name and location Energy Number of cells Circumference Emittance
ANKA (Karlsruhe, Germany) 2,5 GeV 8 110,4 m 80 nmrad
SLS (Villengen, Zuric, Switzerland) 2,4 GeV 12 288,0 m 5 nmrad
DIAMOND (Chilton, United Kingdom) 3,0 GeV 24 561,6 m 2,7 nmrad
SOLEIL (Saint-Aubain, France) 2,5 GeV 24 354,0 m 3 nmrad
LLS (Cerdanyola del Valls, Catalonia) 2,5 GeV 12 251,8 m 8,5 nmrad
Table 6
Key parameters of the El Valls synchrotron light source
Cell type TBA units
Electron beam energy 2,5 [GeV]
Number of cells 12 -
Cell length 20.987 [m]
Circumference 251.844 [m]
Electron beam current 250 [mA]
Length of straight sections 8,1 [m]
Natural emittance 8,48 [nm]
Emittance coupling 5% -
Horizontal emittance 8,08 [nm]
Vertical emittance 0,4 [nm]
Energy dispersion 8,6110
-4
-
Energy loss per orbit 0,42 [MeV]
Critical energy 4,20 [keV]
Table 8 shows the proposed characteristics for the
first five planned beamlines
21
.
The light source has been designed so that it has the
necessary potential to incorporate developments that
occur in forthcoming years. In particular, it will be possi-
ble to increase the energy of the light source to 3 GeV
and it is also envisaged that certain superconductor
bending magnets capable of providing high intensities at
relatively high energies will be incorporated. The inclu-
sion of superconductor wigglers may also improve its
future performance qualities, enabling the entire volume
of users to be catered for and providing optimised, very
high intensity beams that are complementary to the
ERSF in Grenoble. For more on the technical and scien-
tific details of the project, refer to http://www.lls.ifae.es
The technology transfer deriving from this type of proj-
ect already began to occur during the process of build-
ing the prototypes, which have enabled the viability of
the project to be verified, as well as testing the capaci-
ty of Spanish enterprises to take on the construction of
the fundamental parts of the facility (as mentioned
above). The most important of these have been the
development of the dipole magnet prototypes, a high
stability power source, a magnetic measurements bank
and the design for a section of the vacuum chamber. In
these cases, Spanish enterprises have developed prod-
ucts that have enabled them to acquire knowledge that
has opened up new markets for them. One company
built the prototypes for a dipole magnet with a quadru-
pole component and a field intensity of 1.2 Tesla, which
weighs around seven tons and has a precision of 1 in
10,000. It was designed by the group in charge of the
project with funding from CDTI. As a result of the expe-
rience acquired from this, the company has been able
to successfully participate in invitations to tender from
other laboratories abroad. A similar thing has happened
to the company that made the necessary 1,500
amperes power supply for the electromagnet with a
precision of 100 ppm, which is the most precise power
source ever built in Spain. Another precision instrument
company built a magnetic measurements bank to cali-
brate the magnet, the quality of which has led to the El
Valls Synchrotron Light Facility being contracted to
calibrate and monitor the quality of the entire series of
100
Table 7
Anticipated characteristics of the light emitted by the El Valls synchrotron light source
Emittance device Shape Angular spread Energy Brilliance
Dipole magnets Elliptical (0.8 and 1st axis: 0.6 mrad 0.05 2 keV Between 10
14
and 10
15
photons per
0.14 mm axes) 2nd axis: 0.4 mrad (UV and soft X-rays) second, per mm
2
and per mrad
2
, in
a bandwidth between 0.999 and 1.001
according to selected wavelength
Undulators Elliptical (1.8 and 1st axis: 0,1 mrad 0,1 4 keV Between 10
18
and 1019 photons per
0.24 mm axes) 2nd axis: 0,4 mrad (soft X-rays) second, per mm
2
and per mrad
2
, in a
bandwidth between 0.999 and 1.001
according to selected wavelength
Wigglers Elliptical (1.8 and 1st axis: 0,4 mrad 2 26 keV Approx. 10
16
photons per second,
0.2 mm axes) 2nd axis: 7 mrad (soft and hard X-rays) per mm
2
and per mrad
2
, in a bandwidth
between 0.999 and 1.001 according
to selected wavelength
21
According to a study in 1997, although the decision on the actual beamlines to be built will be made later on in accordance with the needs of the majority of
users, which may change, and the technological advances that have taken place.
magnets, each weighing seven tons, built by a British
firm for the ANKA synchrotron light facility that has just
been put in operation in Karlsruhe. The same process
has occurred with the more complex (both dipole and
quadrupole) 7.5-ton magnets being built for a synchro-
tron light source in Canada.
Although the main partners in the new synchrotron
light source are the Spanish and Catalan govern-
ments, the project has been designed so that it can
serve the entire south-west of Europe, especially the
south of France, Portugal and later on the countries of
the Maghrib. Users in South America should not be
ruled out either, given that there is only one low ener-
gy synchrotron light facility in Campinas, Brazil.
It is clear that a project of this scale can only come to
fruition on the basis of a good proposal plan and a
detailed analysis of its viability and usefulness. In this
particular case, in somewhat more time than was possi-
bly desirable, a good proposal plan has been made, the
usefulness of which has been extensively debated.
Despite the fact that it involves a considerable invest-
ment by both the Spanish and Catalan governments
over the coming years, the benefit and usefulness of
building a synchrotron light facility with its enormous and
extensive cross-disciplinary scientific nature, together
with the innumerable applications in numerous fields is
endorsed by similar actions in other countries. Unlike
many other scientific projects, justification for the build-
ing of such a facility lies in the combined needs of many
of its potential users, some of which have opposing
objectives. Within the context of increasing R+D endeav-
ours, the go-ahead for this project will undoubtedly con-
tribute to an important step forward in the development
of the scientific community in Catalonia and Spain.
101
Table 8
Anticipated details and use of the initial five planned synchrotron light beamlines
Line Energy Resolution Other characteristics Uses
1 0,05-0,63 keV <2,510
-4
over the Transmission of second order Absorption, reflection and photoemmision
entire range harmonics < 10% in the entire spectroscopies of solids, gases,
spectrum surfaces and interfaces
2 0,2-1,6 keV <410
-4
over the X-ray spectroscopies, used in many
entire range experiments in surface sciences
3 7-26 keV 210
-4
over the Transmission of second order X-ray spectroscopies, protein
entire range harmonics < 1% crystallography, anomalous
Luminous flux on the sample of diffraction or pole diffraction
10
13
photons per second and
per bandwidth of 0.1%
4 4-12 keV 510
-4
over the Spectroscopies: absorbtion reflection,
entire range fluorescence, luminescence, EXAFS,
pole diffraction and
macromolecule crystallography
5 8,4-13,8 keV 10
-2
over the Transmission of second order Diffraction of non-crystalline samples
entire range harmonics < 1% and crystalline samples with
Luminous flux on the sample of very large unit cells that require a
510
13
photons per second and per wavelength of 1 and a luminous
bandwidth of 0.1% flux as high as possible
Very high collimation
(2,3 mrad x 0,3 mrad)
Very small beam size at the
focal point (2 mm x 0,2 mm)
The funding distribution model
for the catalan public
universities
Esther Pallarols, Santiago Lacruz and
Josep Ribas
The 2003 budget for the
Department of Universities,
Research and the Information
Society and dependent bodies
Anna Tarrach Colls
State grant awards for setting
up and developing biomedical
research networks
Robert Tomas Johnston
n o t e s
104 114 126
CONEIXEMENT I SOCIETAT 01 I NOTES
104
* *Esther Pallarols is a member of the team of technical advisors to the Secretaria General (General Secretariat) of the Departament dUniversitats, Recerca i Societat
de la Informaci (Ministry of Universities, Research and the Information Society) of the Generalitat de Catalunya (Government of Catalonia).
** Santiago Lacruz is a budgeteer in the rea de Prospectiva Universitria i de Qualitat (University Outlook and Quality Section) of the Direcci General dUniversitats
(Directorate General for Universities). Departament dUniversitats, Recerca i Societat de la Informaci (Ministry of Universities, Research and the Information Society)
of the Generalitat de Catalunya (Government of Catalonia).
*** Josep Ribas is head of the rea de Prospectiva Universitria i de Qualitat (University Outlook and Quality Section) of the Direcci General dUniversitats
(Directorate General for Universities). Departament dUniversitats, Recerca i Societat de la Informaci (Ministry of Universities, Research and the Information Society)
of the Generalitat de Catalunya (Government of Catalonia).
THE FUNDING DISTRIBUTION MODEL OF THE CATALAN
PUBLIC UNIVERSITIES
Esther Pallarols *, Santiago Lacruz **and Josep Ribas ***
An indicator and formula-based distribution model for public university funding has been in use in Catalonia since 2002. The pur-
pose of this model, various types of which are used in most developed countries, is to establish objective criteria for the appor-
tionment of budget allocations set by the government for the seven Catalan public universities. Based on the equal weighting
of university students in the system, the model guides the financing of operational spending incurred by the universities.
The structure of the model is based on five different subvencions (grants), namely a fixed grant, which is for minimum struc-
tural expenditure and is the same for all universities; a basic grant to fund ordinary university academic activities established
by means of a distribution formula that evaluates four different weighted indicators; a derivative grant that finances spending
on university teaching and research recruitment; a strategic grant, which is connected with quality assurance objectives and
strategic approaches to university policy (programme contracts); and a concurrent grant that finances actions affecting all uni-
versities simultaneously (public calls for proposals and inter-university programmes).
Contents
1. Introduction
2. General features of funding distribution models
3. Features of the funding distribution model for the Catalan public universities
4. Model structure
5. Model application
6. Conclusions
THE FUNDING DISTRIBUTION MODEL
OF THE CATALAN PUBLIC UNIVERSITIES
105
1 Introduction
Extensive use is made of objective models for univer-
sity funding in the European Union and other advanced
countries. Valencia was the first Autonomous Regional
Community in Spain to apply such a model and an
objective system of resource distribution has in use
there since 1993.
The Departament d'Universitats, Recerca i Societat de
la Informaci (DURSI, Ministry of Universities, Research
and the Information Society) of the Generalitat de
Catalunya (Government of Catalonia) has been using a
funding distribution model based on objective indica-
tors and formulae to distribute funding to the Catalan
public universities since 2002.
Prior to this, funding of the Catalan public universities
was assigned basically according to incremental crite-
ria. With the transfer of competence over university
education from the Spanish State to the Generalitat de
Catalunya in 1986, the Departament d'Ensenyament
(Department of Education) set the grant for the three
universities that were in existence at that time accord-
ing to the situation of the number of personnel in teach-
ing, administration and services, together with an esti-
mate of the current operating expenses of each one.
Two financial instruments, which are still in force today,
were subsequently introduced to provide for trans-
parency and objectivity in the allocation of funds to the
universities and were the forerunners of the present
university funding model. An objective and common-
to-all system for funding new fields of education was
introduced on authorisation of the Govern (Executive
Council) in 1992 and programme contracts were pro-
gressively introduced from 1997 onwards as a way of
improving the quality of the universities.
The main criteria of the model for funding new studies
take into account the number and changing trend of
students that annually take up studies, the cyclical
nature of studies and the degree of experimentation of
studies.
Quality programme contracts set quality improvement
objectives for university teaching, research, services
and management by means of an annual assessment
using pre-established quantitative and qualitative indi-
cators agreed by both DURSI and each university,
which leads to additional government funding and is
directly linked in each case to the objectives that have
been achieved by each university. In addition to being
financial instruments, programme contracts have also
become strategic instruments and a medium for ma-
nagement that provide for the modernisation of univer-
sity institutions and social transparency and the pro-
tection of public interest by promoting university policy
and activity accountability.
The Departament dUniversitats, Recerca i
Societat de la Informaci (DURSI, Ministry
of Universities, Research and the
Information Society) of the Generalitat de
Catalunya (Government of Catalonia) has
been using a funding distribution model
based on objective indicators and formulae
to distribute funding to the Catalan public
universities since 2002.
2 General features of funding distribu-
tion models
The process of decision-making concerning university
funding is carried out in two stages in most countries.
The first stage involves the mechanisms of political
decision-making that determine the overall figure set
aside for higher education funding whereas in the se-
cond stage a calculation is made of the percentage of
these funds that corresponds to each university
through the use of a specific formula based on objec-
tive indicators. One exception is the model used in
Denmark (taximeter model) where the overall volume of
funding is determined by the trend of certain indicators.
The main problem with this type of mechanism is
uncertainty in funding forecasting.
The general objectives of the distribution mechanisms
based on formulae and indicators are:
- To establish a stable multi-annual financial frame-
work for each institution that provides for its financial
autonomy and the attainment of its institutional
objectives.
- To implement a simple, equitable, transparent and
automatic system that avoids constant renegotia-
tion, pressure and a policy of fait accompli.
- Discretion in the allocation of funds is reduced to a
minimum, as these are a function of objective
parameters.
- To improve the quality of higher education.
- To promote quality competitiveness between institu-
tions of higher education on the basis of a system of
positive incentives that are common to all.
- To promote efficiency in the allocation of funding.
As for the scope of the model, funding for teaching,
research and investment in infrastructure for both is
based on independent models in most countries.
Certain exceptions are Germany, France and Flanders
where the funding formula includes teaching and
research (as in Australia and New Zealand). The model
for funding distribution in Catalonia guides the funding
of recurrent expenditure incurred by the universities.
The implementation of a funding model usually envi-
sages a period of transition to enable the model to be
gradually introduced without there being a real
decrease in the funding that universities receive. The
period of transition in Catalonia is based on the pre-
mise that no university is to lose funding.
3 Features of the funding distribution
model for the Catalan public univer-
sities
The funding model for the Catalan public universities is
a funding model. It is not a model for establishing the
overall amount of public university funding, which is a
key element and depends on the political process. Set
every year in the Llei de Pressupostos (Finance Law or
Budget), the amount has to do with macroeconomic
and strategic considerations and it accrues first of all
from the priorities of the government and ultimately
those of Catalan society, which is represented in
Parlament (the Catalan Parliament).
The object of the model is to establish criteria in the
apportionment of budget allocations for the seven
Catalan public universities. The model is based on the
equal weighting of university students in the public sys-
106
The model is under the constraint that no
university shall lose funding in relation to
the amount received in 2001.
107
tem and seeks to be an objective system that is calcu-
lated on the basis of general parameters that are easi-
ly determined.
The model introduces the criteria of efficiency and
quality of university institutions as the distribution of
public finance for university funding is directly related
to student progress, efficiency in the process of pro-
ducing graduates and the achievement of quality
improvement objectives. The model gives support to
the financial and budgetary autonomy of the universi-
ties in that it provides them with an approximate idea
of the public grant that they will receive in forthcom-
ing fiscal years, at least as far as the main part of the
total grant is concerned. It also fosters the prioritisa-
tion of objectives and reinforces their strategic plan-
ning. In overall terms, the model is orientated towards
improving the economic and strategic planning of the
universities.
The funding model applied to the Catalan public uni-
versities is not a costs model of the type that sets out
to establish a unified concept of university organisation
which evaluates the costs and then determines an
overall figure for the capital requirements. As in most
public services, the limit to the volume of desirable
spending is the limit set by the funds that are available
and what needs to be ensured is that the amount of
available funding, albeit a larger or smaller amount, is
used appropriately and that value for money is deli-
vered. The model thus determines the grant for each
university and once this has been established, it is the
job of each university to make efficient use of the allo-
cated funds in order to obtain the best teaching and
researcher product possible with the available funds on
the basis of the requirements and teaching and
research policy of each university.
The funding model only refers to operating expenditure
and does not include public finance for university
investment nor university R+D actions, which are co-
vered by the current Pla d'Inversions Universitries
(University Investment Plan) 2001-2006 and the Pla de
Recerca de Catalunya (3rd Research Plan for
Catalonia) 2001-2004.
The model is subject to the constraint that no univer-
sity (irrespective of its history or possible future devel-
opment in size such as the number of student places)
will receive an inferior amount of funding from that
received in 2001. Unrestricted application of the fund-
ing model does formulate a new situation where the
universities may demonstrate differing degrees of
funding requirement, resulting in the model allocating
more funding than in 2001 for some universities and
less for others. A transition stage is therefore pro-
posed through which the grant is gradually increased
for those universities receiving increased funding
(according to the model) and, at the same time, uni-
versities that are to receive less funding (according to
the model) are given the guarantee that funding will
not be reduced. The idea is for all of the universities
to receive their corresponding level of funding through
the direct application of the model within a relatively
short period of four to five years.
Aside from the annual financing of the grants for cur-
rent expenditure of the different universities public,
DURSI also meets expenditure associated with inter-
university programmes and actions, most of which
are carried out by institutions other than the universi-
ties themselves that receive the corresponding grants
from DURSI. An accounts analysis of the DURSI
budgets discloses finance set aside for institutions
other than the individual universities, which also need
to be accounted for in any analysis of public universi-
ty funding.
These institutions include the Consell Interuniversitari
de Catalunya (Inter-University Council of Catalonia), the
Agncia de Gesti d'Ajuts Universitaris i de Recerca
(University and Research Awards Agency), the Agncia
per a la Qualitat del Sistema Universitari (University
Quality Assurance Agency), the Consorci de
Biblioteques Universitries de Catalunya (CBUC -
Consortium of University Libraries in Catalonia), the
programme of the Universitat Digital (Digital University),
the Centre de Supercomputaci de Catalunya (the
Supercomputation Centre of Catalonia), and others
such as the Jaume Vicens Vives distinction for univer-
sity teaching quality.
4 Model structure
Funding for the recurrent or operating expenditure of
the Catalan public universities is constituted by way of
this funding model, which is made up of five main
components or grants. The model anticipates a fixed
grant (FG), which is the same for each university; a
basic grant (BG) that depends on the size of each uni-
versity; a derivative grant (DG) that finances spending
on university teaching staff and research personnel
recruitment; a strategic grant (SG), which is linked
with university policy objectives established between
DURSI and each university and a concurrent grant
(CG) for actions established by DURSI that simultane-
ously affect all of the universities.
The total grant transferred to each university (TGT
i
) is
determined by the following formula:
TGT
i
= FG
i
+ BG
i
+ DG
i
+ SG
i
+ CG
i
a) The fixed grant (FG)
This component of the model determines an equal
grant for all of the universities. It contributes to the mi-
nimum structural expenditure for the normal running of
the universities and is not connected with the scale of
their academic activities, nor their size or specific
nature. This expenditure includes spending directly
related with the governing and management of the uni-
versities through the rectory, management and the
main structures for services, administration and the
running of the universities. Funding for the social coun-
cils is also included in the fixed grant.
b) The basic grant (BG)
The basic grant provides funding for ordinary university
academic activities and the resulting operating expen-
diture that is incurred. It constitutes the main part of the
contribution made by the Generalitat de Catalunya to
public university funding. DURSI determines the overall
annual amount of finance set aside for this type of
grant, which is known as the basic aggregate grant.
Once the overall amount of the basic aggregate grant
has been established, the basic grant of each universi-
ty is determined using a finance distribution formula
that evaluates the following weighted variables: 1) the
number of credit enrolments
1
, 2) the number of new
student admissions, 3) the number of graduates and 4)
the bricks-and-mortar surface area of each university.
1
One enrolled credit is the equivalent of 10 hours of study.
2
For each degree course, the coefficient of academic structure is calculated by means of the following formula: coefficient of structure = (one theory group x frac-
tion of theoretical credits in the study programme) + (two groups of classroom practice x fraction of class-given credits) + (four groups of laboratory practice x frac-
tion of laboratory credits) + (eight groups of clinical practice x fraction of clinical practice credits).
In order to calculate the coefficient of academic structure, it is firstly assumed that two classroom practice groups, four laboratory practice groups and eight clini-
cal practice groups result from one theory group. On presentation of the study programmes at each university where a degree course is given, the average per-
centage of the theoretical credits and practical credits in the degree course is calculated. As study programmes do not differentiate the type of practical credits, a
criterion is adopted for each type of degree course. In general terms, the practical credits of degrees in the humanities and social sciences are taken as being
classroom-based, those of experimental science and technical degrees are 50% classroom-based and 50% laboratory, and the practical credits of health science
degrees have been divided equally between the classroom, laboratory and clinical practice.
108
109
1) The number of credit enrolments in the different
disciplines and universities is weighted by the coef-
ficients of academic structure
2
and repetition
3
. The
coefficient of academic structure recognises the
differential of the academic requirements for disci-
plines in relation to each other and at the same
time establishes the same level for the same disci-
pline, which is possibly offered in more than one
university in the system. The coefficient of repeti-
tion progressively penalises credits that are repeat-
ed. The indicator for each university gives the total
of the equivalent credit enrolments (TCME). This
indicator is associated with the size of the universi-
ty and the cost of teaching activities, and priority is
given to improving the academic performance of
the system.
2) The number of new student admissions is weighted
by the number of theoretical study credits and the
coefficient of academic structure. The indicator for
each university gives the total number of equivalent
new admission credits (TCNAE). This indicator is a
measurement of the inflow of students into the uni-
versity and affects the immediate future of teaching
activities and certain specific costs arising from the
process of new student entry.
3) The number of graduates is weighted by the number
of theoretical study credits and the coefficient of
academic structure. The indicator gives the total
number of equivalent degree credits (TCTE). This
indicator is a measurement of the outflow of stu-
dents and of the system's efficiency.
4) The number of square metres of bricks-and-mortar
(university facilities) (m2) is an indicator that is direct-
ly related to the operational expenditure associated
with the maintenance of building infrastructures that
house basic academic activities.
In order to obtain greater variable homogeneity over
time and to prevent the occurrence of a significant
annual variability that could give lead to important
modifications in the annual budgetary allocation
between the different universities, the model uses data
that refer to the moving average of the previous three
academic years (except for the square metres variable,
which refers to the previous year's allowance).
The weighting of the above-mentioned four variables is
as follows: 45% of the basic aggregate grant is distri-
buted according to the equivalent enrolment credits,
15% according to the equivalent new admission enrol-
ment credits, 30% according to the equivalent degree
credits and 10% according to the square metres of uni-
versity buildings.
The basic grant of each university, according to the
model, is determined by means of the following formula:
SB
i
= P
i
aggregateBG
where,
P
i
= 45%
TCME
i
+ 15%
TCNAE
i
+ 30%
TCTE
i
+ 10%
m
2
i
TCME
t
TCNAE
t
TCTE
t
m
2
t
Sub-index i refers to the university and sub-index t refers
to the public universities as a whole.
The established formula is distributive in that it deter-
mines the percentage of the basic grant that cor-
responds to each university. It is objective in that the
criteria are the same for all the universities and the
3
The coefficient of repetition has a value of 1, 0.7, 0.5 or 0.2 according to whether it is a first-time credit enrolment, second-time, third-time or fourth-time or more.
grant is calculable. It is dynamic in that the formula
enables modifications and effects resulting from
changes in the academic programme and the system
structure to be incorporated every year. It stimulates
efficiency and improvements in the quality of the uni-
versity system. The model distributes the basic grant
on the basis of indicators related directly with the whole
university education process. It does not penalise the
length of studies. The model allows each university to
establish the rate of teaching progression that best
suits the needs of its students.
The criteria established by the formula for distributing
the basic aggregate grant amongst the universities
does not seek to be a directive for the internal distribu-
tion of finance in each university. In overall terms, the
formula introduces a high level of stability in that the
substantial numbers of the university system are hard-
ly affected by changes in the variables or coefficients;
when applied at the level of university centres and
departments, however, small changes may lead to
excessive variability in the allocation of funds.
c) The derivative grant (DG)
With the derivative grant, DURSI aims to contribute to
the rationalising of the teaching staff policy being car-
ried out by the universities to facilitate the taking on
and promotion of academic personnel with merit, and
to guarantee that with a given overall volume of recruit-
ment the sole basis for the selection criteria is the me-
rits of the candidates.
Following on from this objective, the derivative grant
includes:
- The employer's National Insurance contribution for
teachers contracted by each university. The objective
of this contribution is, from the university's point of
view, to equate the conditions of tenured teaching
staff with those of non-tenured teaching personnel.
- Research activity productivity bonuses (trams de
recerca) for tenured teaching and research person-
nel. The objective of this payment is to enable the
universities to incorporate candidates with the most
appropriate merit, without this being an additional
expense for the university.
- The teaching and research merit bonus programme
for teaching and research personnel, which has
been running since 2002, with the same objectives
as the previous point.
- The promotion programme for tenured university
personnel, which started in 2001. The programme
stimulates the promotion of university associate pro-
fessors and university school associate deans to full
university professor and university school associate
professors to university school deans and university
associate professors. The aim is to promote good
candidates without the prior need of creating the
corresponding vacancy.
In order to take account of variations in the Catalan
government's policy for higher education, other similar
items of university spending may be included in this
grant each year.
d) The strategic grant (SE)
The strategic grant is the component in the model that
provides additional university funding linked to objec-
tives. It stems from quality and, more generally, strate-
110
The established formula is objective in
that the cri teri a are the same for all
the uni versi ti es and the grant i s cal-
culable.
111
gic objectives of university policy, which may require
specific agreements between DURSI and the different
universities in order to be carried out.
The strategic grant consists of two main parts, name-
ly funding for new studies (or new groups in existing
studies) and the programme contracts (contractes-
programa).
In relation to new studies and new groups in existing
studies and aside from the basic grant, DURSI may
decide on additional funding for the university during
the period in which a particular studies course is
being introduced. This mechanism provides the uni-
versities with additional funding during the first few
years of new study courses or groups for initial
expenses and to compensate for the lack of gradu-
ates in the basic grant figures. When the introductory
period comes to an end, the new study courses or
groups are then funded solely through the basic grant
(as all other studies).
Not all new studies (or new groups of studies) receive
funding through the strategic grant. The degree of
additional funding is determined according to the con-
vertibility of existing university funding.
The strategic grant also incorporates funding linked
with the attainment of quality improvement objectives,
which are dealt with through the programme contracts.
The programme contracts are characterised by the
setting of medium-term, multi-annual improvement
objectives that are set between DURSI and each uni-
versity. The degree of attainment is assessed annually
on the basis of a series of pre-established indicators
and funding is determined accordingly.
Objective-based funding seeks to stimulate continuous
improvement in the university system by putting the
accent on effectiveness and the internal and external
efficiency of the system in order to better respond to
the demands and social requirements of teaching and
research activities and university services, together
with the better running of the universities. The pro-
gramme contracts have also been reinforced as an
effective, accountable tool in that both the use being
made of public funds and the results that have been
achieved with them are made explicit to society.
In the initial stages of implementation of the model, the
strategic grant also incorporates funding earmarked for
the universities so that there is a progressive budgetary
levelling out to the corresponding basic grant deter-
mined for each university by the model, in accordance
with the two situations described above.
e) The concurrent grant (CG)
This component of the model deals with funding for
actions established by DURSI and affects all of the uni-
versities simultaneously.
This grant includes all of the university actions set by
DURSI for public calls for proposals and other aca-
demic and specific quality improvement programmes
open to all universities, with the same criteria of parti-
cipation for all and where funds are distributed
between the universities according to the quality of the
projects and actions presented within the framework of
the corresponding calls.
The programme contracts have also been
reinforced as an effective, accountable tool
in that both the use being made of public
funds and the results that have been achieved
with them are made explicit to society.
Allocations that come out of this grant include:
- Financial support that public universities receive in
calls for proposals for normalisation projects and
activities to do with the Catalan language.
calls for proposals to improve the quality of teaching
in Catalan universities.
calls for proposals for funding activities of the ERAS-
MUS European mobility programme in Catalan uni-
versities.
- Financial support to the Catalan universities to par-
ticipate within the framework of the International
Graduate School of Catalonia (IGSOC).
calls for PhD programmes in the social sciences and
humanities, being made for the first time in 2003.
The various allocations in this grant may vary each year
according to university policy strategies and require-
ments of the Catalan university system.
5 Model application
The overall amount of funding to be set aside for teach-
ing activities in Catalan public universities is determined
in the Annual Budget of the Generalitat de Catalunya,
which is approved by the Parlament de Catalunya
(Catalan Parliament). This amount is the total quantity
to be distributed by the model.
In applying the funding model, DURSI first determines
the overall amount for each component or type of grant
in the funding model, which involves setting the overall
amount for the five different types of grant (fixed grants,
strategic grants, derivative grants, concurrent grants
and basic aggregate grant).
The next step involves the calculation of the theoreti-
cal grant for each university according to the funding
model. The fixed grant is the same for each university.
The basic aggregate grant is distributed according to
the distribution formula and the indicators of each uni-
versity. As for the overall amount of the strategic and
derivative grants, only the amount that has been for-
mally agreed is distributed to each university, with any
remainder being used to meet the costs of new obli-
gations acquired throughout the academic year and
obligations deriving from the application of the model
during the transitional stage. Concurrent grants are
distributed throughout the year through different public
calls for proposals.
The theoretical grant for each university (TGi) that is set
by the model is determined by the following formula:
TG
i
= FG
i
+ BG
i
+ formally agreed SG
i
+
formally agreed DG
i
Application of the funding model formulates the new
situation where universities may demonstrate differing
degrees of funding requirement, resulting in the model
allocating more funding than previously for some uni-
versities and less for others. A transition stage is there-
fore envisaged in the model, as mentioned above, prior
to full application
The transition mechanism during the first year of
application provides for a comparison between the
theoretical grant of each university and the grant
received the previous year, which gives the differen-
tial for each university in relation to the previous year.
For universities with a negative differential, which
would correspondingly receive a lower theoretical
grant than the year before, the model envisages
compensation in the strategic grant to the value of
the differential. The total grant assigned to the uni-
versity will thereby be equal to the grant received the
year before (in real terms). For universities with a po-
112
sitive differential, which according to the model will
be assigned a higher theoretical grant than that
received the year before, the transition mechanism
provides for an adjustment: whereby the entire value
of the differential is first discounted from the basic
grant assigned by the model (the resulting amount is
the actual basic grant to be transferred) and then the
strategic grant is increased by the percentage of the
differential. The total grant transferred to these uni-
versities is therefore equal to the grant received the
year before (in real terms) plus the aforementioned
percentage for the differential.
In subsequent years, the transition mechanism com-
pares the basic grant assigned by the model with
the actual basic grant transferred the year before,
plus the part of the strategic grant assigned tem-
porarily the year before, where applicable. In the
same way as in the first year where the differential
between these two amounts is negative, the univer-
sity receives compensation through the strategic
grant to the total value of the differential; when the
differential is positive, this differential is discounted
from the basic grant assigned by the model and the
strategic grant is increased by the percentage of the
differential
4
.
Bear in mind that the overall amount being distri-
buted gradually increases. The Llei d'Universitats de
Catalunya
5
(LUC, Catalan Universities Law), which
was recently passed, in fact lays down that the
budget of the Generalitat de Catalunya must gradu-
ally increase the amount assigned to funding the
public universities in the period from 2003-2010 to a
real minimum increase of 30% of the amount bud-
geted in 2002.
All of the universities thereby receive the theoretical
grant forecasted by the model in just a few years and
without the need for compensation or adjustment.
6 Conclusions
The Departament d'Universitats Recerca i Societat de
la Informaci has been using a funding distribution
model for spending on teaching activities in the
Catalan public universities since 2002. The model
establishes parameters that are objective and com-
mon to all Catalan public universities, at the same time
that the specific features of each university are
accounted for. A transition period is envisaged in the
application of the model that guarantees that all uni-
versities receive at least the same funding as in 2001.
The model is transparent, objective and equitable with
regard to the allocation of funds between the universi-
ties. It enables the universities to be financially inde-
pendent and facilitates economic planning; it provides
incentive to improve quality as well as efficiency in the
management of funds within each university; and it
protects the public interest by promoting university
activity accountability.
All of the universities thereby receive the
theoretical grant forecasted by the model in
just a few years and without the need for
compensation or adjustment.
4
DURSI annually determines the percentage of the differential assigned by way of the strategic grant on the basis of available funding. This percentage was set at
20% in 2002.
5
Llei 1/2003 dUniversitats de Catalunya (Catalan Universities Law 1/2003).
113
114
* Anna Tarrach i Colls is head of Anlisi i Programaci (Analysis and Planning) of the team of technical advisors to the Secretaria General (General Secretariat) of
the Departament dUniversitats, Recerca i Societat de la Informaci (Ministry of Universities, Research and the Information Society) of the Generalitat de Catalunya
(Government of Catalonia).
THE 2003 BUDGET FOR THE DEPARTAMENT DUNIVERSI-
TATS, RECERCA I SOCIETAT DE LA INFORMACI (DURSI)
AND DEPENDENT BODIES
Anna Tarrach i Colls *
The budget of an organisation is the quantifiable expression of its objectives during a particular budgetary period and reflects
the priority lines of policy. A series of goals have been established for the Departament dUniversitats, Recerca i Societat for 2003
aimed at improving the quality of the university system through measures that affect the funding of public universities; stimulat-
ing the Catalan R+D system through increased research infrastructure and human resources; and promoting the use of new tech-
nologies in the population as a whole via development of the telecommunications infrastructure throughout Catalonia and enact-
ment of the Administraci Oberta de Catalunya (an on-line access scheme to public authorities), amongst other actions.
Summary
1. Introduction
2. Objectives of the DURSI budget for 2003
3. The consolidated budget of DURSI and dependent bodies
4. The DURSI budget
5. The budgets of dependent bodies
THE 2003 BUDGET FOR THE DEPARTAMENT DUNIVERSITATS, RECERCA I SOCIETAT
DE LA INFORMACI (DURSI) AND DEPENDENT BODIES
115
1. Introduction
The Departament d'Universitats, Recerca i Societat de la
Informaci (DURSI, Ministry for Universities, Research
and Information Society Technologies) was established
in April 2000 fundamentally as the result of the amalga-
mation of the Comissionat per a Universitats i Recerca
and the Comissionat per a la Societat de la Informaci.
It is the governmental body entrusted with the planning,
regulation, management and enforcement of the com-
petence of the Generalitat de Catalunya (Autonomous
Government of Catalonia) with regard to the universities,
research, new information and communication technolo-
gies, and the information society.
Different forms of management are used to most effi-
ciently and effectively administer and manage the duties
assigned to DURSI. Its basic structure for direct man-
agement consists of a Secretaria General (SG, General
Secretariat), a Secretaria de Telecomunicacions i Societat
de la Informaci (STSI, Secretariat for Telecommunica-
tions and Information Society Technologies), a Direcci
General d'Universitats (DGU, Directorate General for
Universities) and a Direcci General de Recerca (DGR,
Directorate General for Research). The Comissi
Interdepartamental de Recerca i Innovaci Tecnolgica
(CIRIT, Interdepartmental Commission for Research and
Technological Innovation) and the Secretaria del Consell
Interuniversitari de Catalunya (CIC, Secretariat of the
Inter-University Council of Catalonia) also come under the
jurisdiction of DURSI.
Two public corporations also come under DURSI, name-
ly the Agncia de Gesti d'Ajuts Universitaris i de
Recerca (AGAUR, University and Research Awards
Agency), which was set up at the end of 2001, and the
Centre de Telecomunicacions i Tecnologies de la
Informaci (CTTI, Telecommunications and Information
Society Technologies Centre), which is run by DURSI as
of 2003
1
. The public enterprise Portal Salut i Qualitat de
Vida, SA, of which CTTI has a majority interest
2
, is also
included in the DURSI budget.
Figure 1
The budget for DURSI and the entities dependent on DURSI
1
Decree 355/2001 of 24 December, whereby various ministries and departments of the Administration of the Generalitat de Catalunya were partially restructured
(DOGC 3544 of 2 January 2002), led to an important development in the Secretaria de Telecomunicacions i Societat de la Informaci (STSI) with adjudication of
the areas of the Generalitat de Catalunyas competence with regard to telecommunications. Furthermore, CTTI now comes under DURSI through the Secretaria
de Telecomunicacions i Societat de la Informaci whereas before it was under the Departament de la Presidncia.
2
By way of the Agreement of the Executive Council of 11 June 2002 authorising acquisition by CTTI.
SG
STSI
DGU
DGR
DURSI
CIRIT
CTTI AGAUR
CIC Secretariat
PSQV, SA
2. Objectives of the DURSI budget for
2003
In line with the areas that DURSI has been entrusted
with, the Ministry's actions are grouped into the three
main areas of universities, research and the information
society.
The universities
Budgetary allocations for the universities for 2003 are
aimed at stimulating the growth and improving the
quality of the Catalan university system. Special men-
tion is made of the funding distribution model of the
Catalan public universities, the application of which will
help improve the objectives of transparency, objectivity
and fairness in the allocation of public funds to the uni-
versities. The model was introduced in 2002 although
in budgetary terms this structure for funding distribu-
tion is being used for the first time this year (2003).
Mention is also made of the incentive schemes for
quality doctoral programmes and to adapt studies to
the new European area of higher education that is
being created. Other noteworthy measures during this
financial year are the promotion of the Catalan
University System beyond what is strictly the university
world in Catalonia and the foreign language pro-
gramme (programa de terceres llenges) run by the
Consell Interuniversitari de Catalunya. Actions promot-
ing the advancement of university teaching staff are
also being implemented, including the setting up of a
teaching assessment system.
Research
The 2003 budget reflects the continuing attention given
to stimulating measures within the field of research
3
.
The general objective of DURSI is to foster the growth
and quality of the Catalan university system by increas-
ing human resources and developing new infrastruc-
ture and research centres as a way of contributing to
development in Catalonia and the creation of the
European Research Area in line with the III Pla de
Recerca de Catalunya 2001-2004 (3rd Research Plan
for Catalonia 2001-2004).
In the area of human resources, the training, support
for and recruitment of research personnel is to be pro-
moted and encouraged fundamentally through the
grants programme for researcher training and the
ICREA programme for the recruitment of top-level
researchers to placements in universities and research
centres. The research group support programme and
the programme to provide these research groups with
technical assistants also stand out. Part of this
research policy is being managed by the Agncia de
Gesti d'Ajuts Universitaris i de Recerca (AGAUR) dur-
ing this budgetary period.
Of particular note in the upgrading of research infra-
structure is provision for the anticipated start-up of a
synchrotron light source facilities in El Valls, a joint
project carried out together with the Spanish
116
3
DURSI is the Catalan government ministry/department with the highest level of R+D expenditure although it is not the only one that funds research. Other depart-
ments also set aside large amounts of funding, particularly the departments of Sanitat i Seguretat Social (Health and Social Security), Agricultura, Ramaderia i Pesca
(Agriculture and Fishing) and Treball, Indstria, Comer i Turisme (Labour, Industry, Commerce and Tourism).
The general objective of DURSI in the area
of research is to foster the growth and qual-
ity of the Catalan university system by
increasing human resources and develop-
ing new infrastructure and research centres
117
Government which will take an estimated 6 years to
complete. This project, which will be of outstanding
importance to research as a whole in Catalonia,
implies an additional commitment and complements
other actions carried out by the Generalitat de
Catalunya in R+D.
Mention must also be made of actions in research
centres and in different scientific disciplines promoted
by DURSI. These include the Institut Catal
d'Investigaci Qumica (ICIQ, Catalan Institute of
Chemical Research); Centre Tecnolgic de
Telecomunicacions de Catalunya (CTTC, Catalan
Telecommunications Technology Centre); Internet
Interdisciplinari Institute (IN3, Interdisciplinary Internet
Institute); Institut de Cincies Fotniques (ICFO,
Institute of Photon Science); Institut Catal
d'Arqueologia Clssica (ICAC, Catalan Institute of
Classical Archaeology); Institut Catal de Cincies
Cardiovasculars (ICCC, Catalan Institute of
Cardiovascular Science); Institut d'Investigacions
Biomdiques August Pi i Sunyer (IDIBAPS, August Pi
i Sunyer Institute of Biomedical Research); Centre de
Regulaci Genmica (CRG, Genome Regulation
Centre); Centre de Recerca en Sanitat Animal (CreSA,
Centre for Animal Health Research); Centre de
Recerca en Economia Internacional (CREI,
International Economics Research Centre) and the
Institut Catal de Nanotecnologies (Catalan
Nanotechnology Institute), which has just recently
been established.
The impact of the setting up of these centres will
become evident in just a few years and will give great
impetus to scientific activities in Catalonia.
Telecommunications and the information society
The general objective of the scope of measures associ-
ated with the information society accounted for in the
2003 budget is to continue the training of citizens as a
whole and to foster the use of new technologies as a
means of providing an essential basis for the geo-territo-
rial structure and of promoting economic activity.
Particular mention is made of actions carried out in
different projects including the NODAT project, the
aim of which is to prevent fracturing digital and
social divides in Catalonia and to provide citizen
access to the Internet through public networks.
Another project along similar lines is the so-called
Territoris Digitals, which consists of demonstration
projects that show citizens the potential of informa-
tion and communications technologies (ICT).
Another important project is the Infraestructura
Nacional de Dades Espacials de Catalunya (IDEC),
the objective of which is to set up the infrastructure
for developing and upgrading services associated
with geographical and regional information.
Actions in the area of telecommunications networks
and services include the setting up of one sole GIS-sup-
ported data base with the possibility of web access,
which will provide graphic information of the telecom-
munications infrastructure throughout Catalonia and of
the different services provided.
The general objective of the scope of meas-
ures associated with the information socie-
ty accounted for in the 2003 budget is to
continue the training of citizens as a whole
and to foster the use of new technologies as
a means of providing an essential basis for
the geo-territorial structure and of promot-
ing economic activity.
118
With regard to telecommunications infrastructure, the
MICROCOM Plan project for the regional coverage of
infrastructure is to be extended so that citizens and
enterprises can gain access to a more complete
telecommunications service (with access to voice and
data services in both landline and cell-phone infra-
structures). Support is also to be given to the dissem-
ination of emerging technologies such as DAB (digital
audio broadcasting) and digital terrestrial TV. The
application of new technologies in the field of security
and emergencies is also envisaged.
3. The consolidated budget for DURSI
and dependent bodies
The 2003 budget for DURSI and the entities that are
dependent on DURSI was approved in Law 30/2002
of 30 December on the Generalitat de Catalunya
budget for 2003.
In line with the organic structure established for the run-
ning of DURSI, the consolidated DURSI budget for
2003 includes the budget for the Ministry itself as well
4
The preliminary budget for expenditure by the Agency in the 2002 financial year was EUR330,055.65.
Table 1
The budget of DURSI and dependent entities for 2003 (figures in euros)
2003 2002 % variation 03/02
Departament d'Universitats Recerca i Societat de la Informaci (DURSI) 702.031.514,74 647.632.754,08 8,4
Agncia de Gesti d'Ajuts Universitaris i de Recerca (AGAUR) 23.001.243,32 330.055,65 6.868,9
Centre de Telecomunicacions i Tecnologies de la Informaci (CTTI) 206.665.825,45 (1) -
Portal Salut i Qualitat de Vida, SA (PSQV, SA) 6.096.457,00 - -
NON-CONSOLIDATED TOTAL 937.795.040,51 647.962.809,73 44,7
Transferncia DURSI-AGAUR 23.000.287,32 330.055,65 6.868,6
Transferncia DURSI-CTTI 9.950.572,30 (1) -
Transferncia DURSI-PSQV,SA 0,00 - -
INTERNAL TRANSFERS TOTAL 32.950.859,62 330.055,65 9.883,4
CONSOLIDATED TOTAL 904.844.180,89 647.632.754,08 39,7
(1) The CTTI was under the Dept. de Presidncia in the initial budget for 2002. DURSI fund transfers to CTTI (EUR 14,945,782.89) were therefore not consolidated
within the context of DURSI.
119
as the budgets for the entities that are dependent on
DURSI, namely the Agncia de Gesti d'Ajuts
Universitaris i de Recerca (AGAUR), the Centre de
Telecomunicacions i Tecnologies de la Informaci (CTTI)
and the Portal Salut i Qualitat de Vida, SA (PSQV, SA),
excluding internal transfers between these bodies.
On making comparisons with the preliminary budget
for 2002, the following should be born in mind: AGAUR
is now fully up and running (as of 2003)
4
; CTTI is now
under DURSI whereas before it was under the
Departament de la Presidncia (as mentioned above);
and the budget for Portal Salut i Qualitat de Vida, SA,
a public enterprise in which CTTI has a majority inter-
est, is also included for the first time.
The volume of the consolidated budget managed direct-
ly and indirectly by DURSI increased from EUR 648 mil-
lion in 2002 to around EUR 905 million in 2003. This rep-
resents an increase of approximately 40% although this
considerable increase is mostly due to the inclusion of
the aforementioned bodies. Whilst the DURSI budget
increased by 8.4%, the AGAUR budget underwent a
very large increase in what was the first full year of it
being in full operation. The CTTI budget also underwent
an important increase (22.5%) compared to the prelimi-
nary budget for 2002 (when it was still under the
Departament de la Presidncia). The figure for the con-
solidated DURSI budget and its growth in part refers to
the volume that is now managed by DURSI (and not just
the increase in available funding to carry out the same
responsibilities). For a more homogenous comparison, if
the figure for the CTTI budget for 2002 is taken as a
DURSI enterprise, then the increase in the total consoli-
dated budget is of the order of 12.9% instead of 39.7%.
4. The DURSI budget
The budget allocated to DURSI has undergone a
notable increase in nominal terms since it was set up
in 2000, with a 28.1% increase between 2000 and
750,00
700,00
650,00
600,00
550,00
500,00
450,00
400,00
2000 2001 2002 2003
548,06
589,78
647,63
702,03
m
i
l
l
i
o
n

E
U
R
DGR
10,3%
SG
1,9%
STSI
3,1%
DGU
84,7%
Graph 2
Growth of the DURSI budget
Graph 3
Organic structure of the DURSI budget for 2003 (% s/ total)
2003 from a total of EUR 548.1 million to EUR 702 mil-
lion, which represents 4.4% of the budget of the
Generalitat de Catalunya.
Compared to 2002, the DURSI budget has increased
in relative terms by 8.4% whereas in absolute terms
the interannual increase is EUR 54.4 million.
With regard to the organic structure (who makes the
spending), most of the increase is accounted for by
the Direcci General d'Universitats, with an increase of
EUR 37.5 million equivalent to a relative increase of a
6.7%. An additional EUR 12.5 million, equivalent to an
increase of 20.8%, were allocated to the Direcci
General de Recerca, while the Secretaria de
120
Table 2
DURSI budget for 2003. Organic classification (figures in euros)
Variation 03/02
Executive units 2003 2002 en en %
Secretaria General (SG) 13.413.583,84 13.136.860,99 276.722,85 2,1
Secretaria de Telecomunicacions i SI (STSI) 21.500.000,00 17.405.500,00 4.094.500,00 23,5
Direcci General d'Universitats (DGU) 594.463.383,90 556.958.982,02 37.504.401,88 6,7
Direcci General de Recerca (DGR) 72.654.448,00 60.131.411,07 12.523.036,93 20,8
TOTAL 702.031.415,74 647.632.754,08 54.398.661,66 8,4
Table 3
DURSI budget for 2003. Economic classification (figures in euros)
Variation 03/02
Budget item 2003 2002 en en %
1. Staff salaries 8.344.883,84 7.350.932,81 993.951,03 13,5
2. Procurement of goods and services 6.819.478,77 5.270.875,95 1.548.602,82 29,4
4. Current transfers 612.940.079,37 563.121.653,43 49.818.425,94 8,8
6. Real investment 7.345.276,09 11.388.841,11 -4.043.565,02 -35,5
7. Capital transfer 66.480.435,86 60.494.340,78 5.986.095,08 9,9
8. Variation in financial assets 101.261,81 6.110,00 95.151,81 1.557,3
Current expenditure (Items 1-4) 628.104.441,98 575.743.462,19 52.360.979,79 9,1
Capital expenditure (Items 6 and 7) 73.825.711,95 71.883.181,89 1.942.530,06 2,7
Financing expenses (Item 8) 101.261,81 6.110,00 95.151,81 1.557,3
TOTAL 702.031.415,74 647.632.754,08 54.398.661,66 8,4
121
Telecomunicacions i Societat de la Informaci received
an additional EUR 4.1 million, a 23.5% increase in rel-
ative terms.
As can be seen from graph 2, the main part of the
DURSI budget goes to the Direcci General
d'Universitats, which accounts for 84.7% of the total.
Funding for the Direcci General de Recerca
accounts for 10.3% of the total budget, while the
Secretaria de Telecomunicacions i Societat de la
Informaci accounts for 3.1% of the total. 1.9% of the
DURSI budget is fundamentally set aside for structur-
al costs (personnel, procurement of goods and serv-
ices, etc.) which are concentrated in the Ministry's
Secretaria General.
In terms of the economic structure of the budget (what
the spending is on), a large part of the work of DURSI
is involved with the allocation of funding. As is clear
from graph 3, 87.3% of the DURSI expense budget is
accounted for by budget item 4 (current transfers) and
9.5% by budget item 7 (capital transfers). 96.8% of
spending allocated to DURSI is thus transferred to
other agents, with the rest going fundamentally to
expenditure on direct investment, staff and the pro-
curement of goods and services.
In relation to 2002, there has been a notable increase
in relative terms in the budget items of staff and pro-
curement of goods and services. In comparison with
the 2002 budget however, the accounts for 2003 take
in the restructuring that has occurred in the area of
telecommunications in DURSI. Part of the personnel
from the former Direcci General de Radiodifusi i
Televisi, which came under the Departament de la
Presidncia prior to Decree 355/2001, has been incor-
porated into the Secretaria de Telecomunicacions i
Societat de la Informaci, the premises and facilities of
which are also being renovated and adapted.
In absolute terms, the most important increase is in
current transfers (EUR 49.8 million), followed by capi-
tal transfers (around EUR 6 million). As for real invest-
ment, the new Pla d'Inversions Universitries 2001-
2006 (University Investment Plan 2001-2006) is
fundamentally implemented by the universities that
finance this by borrowing, whereas DURSI takes
charge of returning the loans.
Grfic 4
Economic structure of the DURSI budget for 2003
(% s/total)
The main part of the DURSI budget goes to
the Direcci General dUniversitats, which
accounts for 84.7% of the total.
Capital
transf.
Staff
Procurement
Current
transf.
Real invest.
Table 4 shows the distribution of the budget for the
2003 financial year with the information for each exec-
utive unit being cross-referenced with the type of
anticipated spending. This shows that the main part of
current transfers made by DURSI go to the Direcci
General d'Universitats (90.7% of the total), which are
allocated mainly to funding the Catalan public univer-
sities. As mentioned above, the distribution model was
introduced in 2002 although in terms of the budget
this structure for funding distribution for the public uni-
versities is being used for the first time in the 2003
financial year. The most substantial difference in rela-
tion to previous budgetary periods is that funding for
the public universities will now result from the sum of
four grant transfers, namely a fixed grant, a basic
grant, a derivative grant and a strategic grant, aside
from funding obtained through concurrent calls for
grant funding. As such, and unlike previous years, no
express mention is therefore made in the budget of
amounts ultimately allocated to each university.
Nevertheless, these quantities are calculated on the
basis of changes in a series of variables
5
.
122
Table 4
DURSI budget for 2003. Organic and economic classification (figures in euros)
SG STSI DGU DGR TOTAL
Budget item
%
%
s/total s/total s/total s/total s/total
1. Staff salaries 8.344.883,84 62,2 0,00 0,0 0,00 0,0 0,00 0,0 8.344.883,84 1,2
2. Procurement of goods and services 3.357.600,00 25,0 105.126,00 0,5 3.009.668,28 0,5 347.084,49 0,5 6.819.478,77 1,0
4. Current transfers 0,00 0,0 9.950.572,30 46,3 555.931.602,48 93,5 47.057.904,59 64,8 612.940.079,37 87,3
6. Real investment 1.700.000,00 12,7 4.510.183,83 21,0 1.085.082,26 0,2 50.010,00 0,1 7.345.276,09 1,0
7. Capital transfer 0,00 0,0 6.843.966,06 31,8 34.437.030,88 5,8 25.199.438,92 34,7 66.480.435,86 9,5
8. Variation in financial assets 11.100,00 0,1 90.151,81 0,4 0,00 0,0 10,00 0,0 101.261,81 0,0
Total Current Expenditure 11.702.483,84 87,2 10.055.698,30 46,8 558.941.270,76 94,0 47.404.989,08 65,2 628.104.441,98 89,5
Total Capital Expenditure 1.700.000,00 12,7 11.354.149,89 52,8 35.522.113,14 6,0 25.249.448,92 34,8 73.825.711,95 10,5
Total Financial Expenses 11.100,00 0,1 90.151,81 0,4 0,00 0,0 10,00 0,0 101.261,81 0,0
TOTAL 13.413.583,84 100,0 21.500.000,00 100,0 594.463.383,90 100,0 72.654.448,00 100,0 702.031.415,74 100,0
5
For more information on the features of the new university funding distribution model, see the corresponding article on this subject in this edition of the e-journal.
Most of the current transfers to the Direcci General
de Recerca (7.7% of the total transfers made by
DURSI) is earmarked for grants for research, research
centres and for the Agncia de Gesti d'Ajuts
Universitaris i de Recerca (AGAUR) to carry out the
work it is entrusted with. The current transfers to the
Secretaria de Telecomunicacions i Societat de la
Informaci are set aside for the Centre de
Telecomunicacions i Tecnologies de la Informaci in
order to carry out measures connected with the infor-
mation society and its dissemination in society and
geographically.
The second largest area of spending in quantitative
terms is capital transfers. Under this budget item, the
Direcci General d'Universitats sets aside most of the
university funding to finance measures included in the
university investment plans (1995-2000 and 2001-
2006). The Direcci General de Recerca transfers
funding to the research centres for measures that
involve investment within the framework of the policy
to give impetus to new research centres. As men-
tioned above, provision for the synchrotron light
source in El Valls is of particular note. A series of cap-
ital transfers to AGAUR is also anticipated.
5. Budgets of dependent bodies
Agncia de Gesti d'Ajuts Universitaris i de
Recerca (AGAUR)
As mentioned above, AGAUR will have its own prelim-
inary budget for the first time in the 2003 financial year
to carry out the work it is entrusted with. The budget
is EUR 23 million that basically comes from transfers
from DURSI. Of this total, EUR 15 million are for cur-
rent expenditure and EUR 8 million form part of the
capital budget.
During the 2003 financial year, AGAUR is to manage a
series of programmes that have the following objec-
tives, in accordance with the mandates of DURSI:
- Provide support to institutions of higher education
to improve both teaching and scientific and techni-
cal facilities.
- Consolidate and build up scientific and technologi-
cal research, and research groups.
- Grant awards, loans and grants to university stu-
dents to encourage entry to first, second and third
cycle (foundation, undergraduate and post-gradu-
ate) studies, and for preparing doctoral theses
- Increase international co-operation with centres of
higher education.
Centre de Telecomunicacions i Tecnologies de la
Informaci (CTTI)
CTTI was under the Departament de la Presidncia dur-
ing the 2002 financial year whereas in 2003 it figures as
an entity that is dependent on DURSI.
123
100%
90%
80%
70%
60%
50%
40%
30%
20%
10%
0%
Staff
%

s
/
t
o
t
a
l
Procurement Current
transf.
Real invest. Capital
transf.
Variat. finan.
assets
DGR DGU STSI SG
Graph 5
The Executive Units and the economic structure of the DURSI
budget for 2003
124
Table 5
Overhead budget of the entities dependent on DURSI for 2003 (figures in euros)
Budget item AGAUR CTTI PSQV, SA
1. Staff salaries 1.028.710,60 6.288.569,11 0,00
2. Procurement of goods and services 553.452,22 107.068.017,88 2.970.069,00
3. Financial expenses 40,00 1.890.412,34 36.080,00
4. Current grants given by the public enterprise 13.485.525,09 1.625.386,00 0,00
5. Depreciation and current surplus 20,00 11.878.806,07 1.545.154,00
6. Real investment 311.656,63 52.684.344,09 0,00
7. Capital grants given by the public enterprise 7.621.698,68 0,00 0,00
8. Variation in financial assets 80,10 11.611.355,68 0,00
9. Variation in financial liabilities 60,00 13.618.934,28 1.545.154,00
TOTAL OPERATING BUDGET (Items 1-5) 15.067.747,91 128.751.191,40 4.551.303,00
TOTAL CAPITAL BUDGET (Items 6-9) 7.933.495,41 77.914.634,05 1.545.154,00
OVERALL TOTAL 23.001.243,32 206.665.825,45 6.096.457,00
Table 6
Estimated income of the entities dependent on DURSI for 2003 (figures in euros)
Budget item AGAUR CTTI PSQV, SA
3. Revenue of the enterprise itself 20,00 118.235.667,72 4.027.100,00
4. Current grants received by the enterprise 15.066.871,91 9.950.572,30 0,00
5. Patrimonial revenue and operating deficit 856,00 564.951,38 524.203,00
5. Patrimonial revenue and operating deficit (art 56)* 0,00 11.878.806,70 1.545.154,00
6. Transfer of real investment 0,00 0,00 0,00
7. Current grants received by the enterprise 7.933.415,41 0,00 0,00
8. Variation in financial assets 20,00 13.618.934,28 0,00
9. Variation in financial liabilities 60,00 52.416.893,70 0,00
TOTAL OPERATING BUDGET (Items 1-5 except art. 56) 15.067.747,91 128.751.191,40 4.551.303,00
TOTAL CAPITAL BUDGET (Item 5 [art. 56] + Items 6-9) 7.933.495,41 77.914.634,68 1.545.154,00
OVERALL TOTAL 23.001.243,32 206.665.826,08 6.096.457,00
* article 56: Finance generated by transactions
125
The CTTI budget for 2003 is EUR 206.6 million, which
represents an increase of 22.5% (EUR 38 million in
absolute terms) in relation to the previous budgetary
period.
The functions of CTTI include the direct and indirect
handling of the implementation, management and run-
ning of the telecommunications and telematic (data
transmission) services, systems and networks that are
necessary for the running of the Generalitat de
Catalunya and the entities, bodies and corporations
that depend on it. In carrying out these functions, the
Centre bills the services that it provides and charges
the complete cost. This means that the centre's oper-
ating expenditure will mostly (a total of 91.8%) come
from the sale and provision of services to the
Generalitat de Catalunya itself (ministries and depart-
ments, bodies and other dependent entities). Transfer
payments from DURSI only account for 7.7% of the
total overhead budget.
The Centre's capital budget (approximately EUR 77.9
EUR) is mostly set aside for investment in the
Administraci Oberta de Catalunya (AOC) project and
is financed to a large degree by the financial market.
The budgetary priorities of CTTI for 2003 can be sum-
marised in the following points:
- Consolidate the role of CTTI as an information and
communications technologies (ICT) consultancy
body for the Generalitat de Catalunya.
- Supervise and implement the AOC project.
- Develop and supervise the requirements of the
mossos d'esquadra (police corps of the
Autonomous Regional Community of Catalonia)
with regard to new technologies.
- Promote the use of new technologies in Catalan
society.
Portal Salut i Qualitat de Vida, SA
This is a public enterprise in which CTTI has a majori-
ty interest; 77% of the capital is in the hands of the
Centre de Telecomunicacions.
The objective of the Portal is to promote the world of
health and well being through the use of new tech-
nologies in the information society, along with promot-
ing the information society itself in the area of health
and medicine. This objective complements the mana-
gerial nature of the AOC project (within the field of
health) with an explanatory and informative approach
to health aimed at prevention.
The Portal budget for the 2003 financial year is EUR
6.1 million (EUR 4.6 million for operating expenses and
EUR 1.5 million for capital expenses). Operating
income comes mostly from the sale and provision of
services. No funding is anticipated in the budget from
DURSI (directly or indirectly through CTTI).
The CTTI budget for 2003 is EUR 206.6 mil-
lion, to carry out its objectives for this
budgetary period, which can be sum-
marised as follows: became consolidated
as an ICT consultancy body for the
Generalitat de Catalunya, implement the
AOC project, and promote the use of new
technologies in Catalan society
126
STATE GRANT AWARDS FOR SETTING UP AND DEVELOPING
BIOMEDICAL RESEARCH NETWORKS
Robert Tomas Johnston *
The results of a call for applications for grant awards to set up and develop biomedical research networks were made known
by the Instituto de Salud Carlos III in December 2002 in what was the first round of grants of this type to be awarded in Spain.
The grants are financed by the fund set up by an agreement reached between the Spanish Ministerio de Sanidad y Consumo
and Farmaindstria (the pharmaceutical industry association). The total amount of the awards provided in the first year is EUR
55 million. The outcome for Catalonia in this first round of grant awards has been highly positive in that it is the Autonomous
Regional Community that has been allocated the most funding. Furthermore, the research centres and groups in Catalonia are
to play a leading role in co-ordinating the networks funded in this first year of grant funding.
* This article was written by Robert Tomas Johnston as part of his practical work with the team of technical advisors to the Secretaria General (General Secretariat)
of the Departament dUniversitats, Recerca i Societat de la Informaci (Ministry of Universities, Research and the Information Society) of the Generalitat de
Catalunya (Government of Catalonia), within the framework of the Empresa, Universitat i Societat programme (EUS) promoted by the Facultat de Cincies
Econmiques i Empresarials (University of Barcelona Faculty of Economic Science and Business Studies), the Fundaci Bosch Gimpera and the Fundaci Cercle
dEconomia.
Summary
1. Introduction
2. Distribution of approved funding between the Autonomous Regional Communities
3. The distribution of funding allocated to Catalonia for research centres
4. The leadership of research networks that received funding
5. Concluding comments
127
1. Introduction
The results
1
of the selection process for funding through
competitive awards made available
2
by the Instituto de
Salud Carlos III to set up and develop co-operative
research networks covering the biomedical sciences
were made known on 30 December 2002. This action
fits into the framework of the priorities of the National
RDI Plan (Research, Development and Innovation, 2000-
2003) for the field of healthcare,.
These grant awards were made available as a result of
an agreement between the Spanish Ministerio de
Sanidad y Consumo and Farmaindstria
3
signed on 31
October 2001
4
, the objectives of which were to cut
down public pharmaceutical expenditure and set up a
fund to finance health research projects of general
interest. According to the agreement, Farmaindstria
formally agreed to create and maintain this fund which
will have a maximum endowment of EUR 300 million,
EUR 150 million of which are the minimum endowment,
the rest being a function of the growth in sales of medi-
cine and drugs. Farmaindstria also undertook to
increase investment in specific fields of research (car-
diovascular science, oncology, genomics and certain
emerging illnesses) at a higher rate than the growth in
GNP. The figure of EUR 1,352.3 million was established
for investment in these areas during the period 2002-
2004. Funding is to be channelled through the Instituto
de Salud Carlos III, (a public research body with a self-
governing corporate status that comes under the
Ministerio de Sanidad y Consumo), which is in charge of
handling the awards and supervising research projects.
The 2002 rounds of grants is the first of its type, the
objective being to promote and fund co-operative
research networks covering the biomedical sciences
through networks of research centres and research
groups. A research network is defined as an association
of centres or groups with common interests with regard
to objectives and lines of research. The intention is to pro-
mote research in the group of cardiovascular, neoplastic,
neuro-degenerative and infectious diseases, amongst
others, which have high sickness and mortality rates and
where there is a low critical mass of researchers and joint
research. The organisation of research networks provides
for the complementary nature of actions implemented by
participants, financial resources are optimised and best
use can be made of economies of scale
5
. This should
bring about greater efficiency and effectiveness in actions
and a decrease in the time lag between when knowledge
is generated and its transfer and application.
1
http://www.iscii.es/fis i http://www.msc.es/notas/2003-01-30-2.htm and appendix.
2
Order SCO/709/2002 of 22 March, published in the BOE on 3 April 2002.
3
The Spanish pharmaceutical industry association.
4
http://www.msc.es/notas/2001-10-31-1.htm
5
This endeavour to promote research networks fits into the framework of the current objectives of the European Unions 6th Framework Programme (2002-2006),
where the development of networks of scientific excellence is defined.
The organisation of research networks pro-
vides for the complementary nature of
actions implemented by participants, finan-
cial resources are optimised and best use
can be made of economies of scale.
128
Grant funding was made available to centres and groups
involved in biomedical research at universities, public
research entities, in the Sistema Nacional de Salud
(SNS, Spanish National Health System) and companies
in the sector. In order to receive funding, each network
of groups or centres had to present a 3-year co-opera-
tive research project within the priority areas of the
National RDI Plan (2002-2003). The awards come in the
form of a grant that can be used both for the research
project and the network operating expenses. Networks
must consist of at least five centres (each centre must be
made up of at least three groups) or five groups, with the
participation of groups or centres from at least 4
Autonomous Regional Communities. At least one
emerging research centre or group must participate in
the network
6
. Each centre or group constitutes a node
and networks are co-ordinated by a network co-ordina-
tor. This co-ordinator must be an institution in the SNS
and a node participating in the network.
The technical assessment of the applications was carried
out by a committee of international specialists and their
conclusions were analysed by a scientific and technical
committee from the Consejo Interterritorial (Inter-regional
Council) of the SNS, a body of the Ministerio de Sanidad
y Consumo which acted as the selection committee.
The assessment standards specified in the announce-
ment of grant funding were as follows:
- The viability and opportuneness of the proposed
strategic research plan, appropriateness and capa-
city of the research centres and groups to carry out
the activities envisaged in the projects, the quality of
their scientific nature, the rigour with which the pro-
posed activities are formulated and appropriate
planning in time.
- The scientific and technical quality of the record of
activities carried out by the research centres and
groups, measured in terms of original scientific arti-
cles published over the past five years in scientific
journals and patents.
- The scientific and technical quality of the record of
activities carried out by the research centres and
groups, calibrated in terms of research projects
assessed and approved by external national and
international agencies over the past five years.
- The degree and quality of training activity within the
areas of action of the research centres and groups.
- The presence of more than one emerging centre or
group, provided there is guarantee of its full gui-
dance.
The announcement for grant funding also stated that the
selection committee would take into account the follow-
ing criteria:
- The suitability of the proposals with regard to the
objectives and requirements laid down in the call for
grant applications.
6
The concept of emerging centre or group is not defined in the announcement of grant funding. Nevertheless, in an article in the El Pas newspaper on
18/02/2003, Antonio Campos, director of the Instituto de Salud Carlos III, defines them as centres or groups that have performed well in peripheral regions.
The intention of this round of grants is to
promote research in the group of cardio-
vascular, neoplastic, neuro-degenerative
and infectious diseases, amongst others,
with high sickness and mortality rates and
where there is a low critical mass of
researchers and joint research.
129
- Applicability and interest of the proposals for the
SNS.
- Inter-regional impartiality and balance, provided that
guarantee is given of the fulfilment of the aforemen-
tioned objectives.
The amount of each grant was determined for each case
in the selection process and according to the budget
availability for the year. Grant awards for funding subse-
quent to 2002 will be conditioned by the availability of
budgetary appropriation and the presentation and
approval of an annual financial report.
In accordance with the adjudication of grants by the
selection committee for 2002, 13 centre networks
and 56 group networks were successful, out of a
total of 14 centre networks and 212 group networks
that applied. Total funding for 2002 was EUR 55.8
million (50.03% of the total requested by centres
being funded during this first year), of which EUR
28.62 million went to centre networks and EUR
27.18 million to group networks. The total amount of
fundi ng was di stri buted between 290 i nsti tuti ons
and 11,331 researchers.
Table 1
Funding distribution between the Autonomous Regional Communities in 2002.
Centre networks Group networks TOTAL
Autonomous % of the
Regional
N. N.
Allocated % of the Allocated % of the Allocated
national
Community
nodes researchers
funding national funding national funding
total (EUR million) total (EUR million) total (EUR million)
Andalusia 152 1.369 1.986,7 6,94 2.435,9 8,96 4.422,6 7,93
Arag 50 349 564,1 1,97 798,9 2,94 1.363,0 2,44
Astries 24 195 501,3 1,75 99,1 0,36 600,4 1,08
Balearic Islands 24 176 428,8 1,50 450,8 1,66 879,6 1,58
Canary Islands 39 311 670,8 2,34 259,7 0,96 930,5 1,67
Cantbria 33 166 397,4 1,39 433,1 1,59 830,5 1,49
Castella-Lle 19 140 1.498,9 5,24 1.131,4 4,16 2.630,3 4,71
Castella-La Manxa 59 413 155,8 0,54 666,1 2,45 821,9 1,47
Catalonia 435 3.444 10.566,8 36,92 8.009,1 29,47 18.575,9 33,29
Valencia 126 807 1.531,7 5,35 2.167,9 7,98 3.699,6 6,63
Extremadura 8 41 0,0 0,00 239,9 0,88 239,9 0,43
Galcia 54 381 615,6 2,15 1.211,1 4,46 1.826,7 3,27
Madrid 423 2.495 7.699,5 26,90 7.305,4 26,88 15.004,9 26,89
Mrcia 33 229 520,9 1,82 445,6 1,64 966,5 1,73
Navarra 46 252 1.047,9 3,66 460,7 1,69 1.508,6 2,70
Basque Country 63 548 432,5 1,51 993,6 3,66 1.426,1 2,56
La Rioja 3 15 0,0 0,00 72,9 0,27 72,9 0,13
TOTAL 1.591 11.331 28.618,8 100,00 27.181,1 100,00 55.799,9 100,00
130
2. Distribution of approved funding
between the Autonomous Regional
Communities
Table 1 shows the distribution of funding allocated to
centre networks, group networks, and as a whole for
2002 (the first year of grant awards) between the dif-
ferent Autonomous Regional Communities (ARC).
Catalonia, with 435 nodes, is the ARC with the highest
number of centres and groups taking part in the
research networks that receive funding. It also has the
highest number of researchers (3,444) participating in
the research networks. It can also be seen from table
1 that Catalonia is the ARC that has received most
funding (EUR 18.5 million or 33.29% of the total), fol-
lowed by Madrid with EUR 15 million (26.89%).
Catalonia and Madrid together concentrate 60% of
allocated funding, a reflection of the concentration of
scientific activities in the biomedical sciences in these
two ARC. These are followed, with considerably lower
amounts, by Andalusia with EUR 4.4 million (7.93%),
Valencia with EUR 3.7 million (6.63%), and Castilla-
Len with EUR 2.6 million (4.71%).
Of the EUR 28.61 million of funding allocated to set up
research centre networks, Catalonia received EUR
10.5 million (36.92%) and Madrid EUR 7.7 million
(26.9%). Andalusia received EUR 1.9 million (6.94%),
Valencia EUR 1.5 million (5.35%) and Castilla-Len
EUR 1.5 million (5.24%).
Of the EUR 27.18 million EUR allocated for the fund-
ing of research group networks, Catalonia was again
the ARC that received the highest amount (EUR 8 mil-
lion, 29.47% of the total), followed by Madrid (EUR 7.3
million, 26.88%) and considerably less to Andalusia
(EUR 2.4 million, 8.96%), Valencia (EUR 2.1 million,
7.98%), Galicia (EUR 1.2 million, 4.46%) and Castilla-
Len (EUR 1.1 million, 4.16%).
3 The distribution of funding allocated
to Catalonia for research centres
Table 2 shows the number of research networks in
which each centre in Catalonia participates and the
number of networks in which research groups belong-
ing to each centre participate. The funding allocated
to each centre is also given, for projects carried out
both in research centre networks and by groups
based at a centre and which participate in group net-
works.
Funding was allocated to 51 biomedical research
centres in Catalonia. The centres that received the
highest amount of funding were the Institut
d'Investigacions Biomdiques August Pi i Sunyer
(IDIBAPS) with EUR 4 million EUR (21.75% of the total
amount granted in Catalonia), the Hospital Vall
Hebrn with EUR 2.6 million (14.26%), the Hospital
de la Santa Creu i Sant Pau with EUR 2 million
(11.28%) and the Institut Municipal d'Investigaci
Mdica de Barcelona (IMIM) with EUR 1.3 million
(7.41%). These four centres accounted for 54% of the
total funding allocated to centres in Catalonia in the
first year, including grants to both centre networks
and group networks.
Each research network has a network co-
ordinator which has the function of co-
ordinating the actions of the different
nodes that make up the network so as to
maximise the complementarity of the indi-
vidual actions at each node.
131
Table 2
Distribution of projects and funding amongst research centres and groups in Catalonia. 2002
N. projects N projects as leader Funding (EUR)
Institutions City Centres Groups Centres Groups Centres Groups Total % Total
Agncia dAvaluaci de Tecnologia i Recerca Mdiques Barcelona 1 1 107.587,74 107.587,74 0,58
Centre de Biotecnologia Animal i Terpia Gnica (CBATEG) Bellaterra 1 2 126.264,76 82.153,74 208.418,50 1,12
Centre de Visi per Computador (CVC) Cerdanyola del Valls 1 14.075,31 14.075,31 0,08
Centre dAnlisi i Programes Sanitaris (CAPS) Barcelona 1 16.960,12 16.960,12 0,09
Centre de Regulaci Genmica (CRG) Barcelona 2 1 470.647,37 470.647,37 2,53
Corporaci Sanitria Parc Taul Sabadell 2 5 109.276,25 198.700,19 307.976,44 1,66
Dept. de Sanitat i Seguretat Social Barcelona 1 2 103.273,65 36.302,99 139.576,64 0,75
Escola Universitria dInfermeria (UdG) Girona 3 22.481,35 22.481,35 0,12
Facultat de Biologia (UB) Barcelona 2 79.405,18 79.405,18 0,43
Facultat de Cincies (UAB) Bellaterra 3 76.651,55 76.651,55 0,41
Facultat de Cincies de la Salut (UIC) Sant Cugat del Valls 4 25.806,76 25.806,76 0,14
Facultat de Cincies de la Salut i la Vida (UPF) Barcelona 3 103.246,86 103.246,86 0,56
Facultat de Farmcia (UB) Barcelona 6 269.791,33 269.791,33 1,45
Facultat de Fsica (UB) Barcelona 1 11.677,04 11.677,04 0,06
Facultat dInformtica (UPC) Barcelona 3 45.259,92 45.259,92 0,24
Facultat de Medicina (UdL) Lleida 5 1 97.940,58 97.940,58 0,53
Facultat de Medicina (UAB) Bellaterra 2 101.011,66 101.011,66 0,54
Facultat de Medicina i Cincies de la Salut (URV) Reus 2 104.360,83 104.360,83 0,56
Facultat de Qumica (UB) Barcelona 1 9.744,26 9.744,26 0,05
Fundaci Parc de Recerca Biomdica de Barcelona Barcelona 3 1 651.209,91 651.209,91 3,51
Fundaci dOsona per a la Recerca i lEducaci Sanitries (FORES) Vic 1 15.857,36 15.857,36 0,09
Fundaci CETIR Esplugues de Llobregat 1 7.539,76 7.539,76 0,04
Fundaci Puigvert Barcelona 1 1 65.082,77 27.729,48 92.812,25 0,50
Fundaci Sard Farriol Barcelona 1 61.510,99 61.510,99 0,33
Hospital Universitari de Bellvitge Hospitalet de Llobregat 5 9 1 611.016,06 527.657,09 1.138.673,15 6,13
Hospital de la Santa Creu i Sant Pau Barcelona 8 10 3 1.428.272,05 667.563,21 2.095.835,26 11,28
Hospital de Terrassa Terrassa 1 35.313,05 35.313,05 0,19
Hospital del Mar (IMAS) Barcelona 1 4 0,00 144.114,59 144.114,59 0,78
Hospital Universitari de Girona Dr. Josep Trueta Girona 3 123.642,41 123.642,41 0,67
Hospital Universitari Germans Trias i Pujol Badalona 5 6 629.367,70 296.915,19 926.282,89 4,99
Hospital Universitari de Tarragona Joan XXIII Tarragona 2 3 175.647,02 64.040,19 239.687,21 1,29
Hospital Mtua de Terrassa Terrassa 1 29.780,20 29.780,20 0,16
Hospital Sant Joan de Du Esplugues de Llobregat 1 6 113.817,66 172.378,81 286.196,47 1,54
Hospital Sant Joan de Du (Salut Mental) Sant Boi de Llobregat 2 1 60.266,21 60.266,21 0,32
Hospital Vall dHebron Barcelona 8 14 1 2 2.054.648,71 594.701,81 2.649.350,52 14,26
Hospital Verge de la Cinta Tortosa 1 39.561,36 39.561,36 0,21
ICS - Divisi Hospitalria Barcelona 3 1 252.463,90 252.463,90 1,36
Institut Cincies Cardiovasculars de Catalunya (ICCC) Barcelona 2 113.281,85 113.281,85 0,61
Institut de Cincies Neurolgiques i Gerontolgiques (UIC) Barcelona 1 49.340,00 49.340,00 0,27
Institut dInvestigacions Biomdiques August Pi Sunyer (IDIBAPS) Barcelona 11 24 2 3 2.603.110,93 1.437.523,21 4.040.634,14 21,75
Institut dInvestigacions Qumiques i Ambientals de Barcelona Barcelona 1 92.012,52 92.012,52 0,50
Institut de Recerca Biomdica de Barcelona Barcelona 1 3 220.963,33 149.558,68 370.522,01 1,99
Institut de Recerca en Cincies de la Salut (IRCS) Reus 1 1 103.307,53 17.934,93 121.242,46 0,65
Institut Catal dOncologia (ICO) Hospitalet de Llobregat 2 703.221,27 703.221,27 3,79
Institut de Bioqumica Clnica Barcelona 1 100.590,02 100.590,02 0,54
Institut de Recerca Oncolgica (IRO) Hospitalet de Llobregat 1 1 115.258,03 18.105,47 133.363,50 0,72
Institut Municipal de Recerca Mdica (IMIM) Barcelona 3 9 1 3 651.755,89 724.229,27 1.375.985,16 7,41
Institut Municipal de la Salut (IMAS) Barcelona 1 2 101.365,57 48.755,38 150.120,95 0,81
Institut Pere Mata Reus 1 68.500,00 68.500,00 0,37
Institut Universitari Dexeus Barcelona 2 34.332,58 34.332,58 0,18
Universitat Pompeu Fabra Barcelona 2 160.115,21 160.115,21 0,86
TOTAL - - - 5 17 10.566.859,09 8.009.119,51 18.575.978,60 100,00
132
Table 3
Co-ordinating centres of centre networks and the area of biomedical science in Catalonia 2002
Centre Area of biomedical science
Fundaci Parc de Recerca Biomedica de Barcelona The integration of clinical, molecular and epidemiological
research in human genetics
Hospital Vall dHebron Cardiovascular
Institut dInvestigacions Biomdiques August Pi Sunyer (IDIBAPS) Physiopathology and new forms of treatment for hepatic,
gastroenterological and pancreatic diseases
Metabolism and nutritional diseases
Institut Municipal dInvestigaci Mdica (IMIM) Epidemiology and public health
Table 4
Co-ordinating groups of group networks and the area of biomedical science in Catalonia 2002
Centre Area of biomedical science
Agncia dAvaluaci de Tecnologia i Recerca Mdiques Research into health results and health services (IRYSS network)
Centre de Regulaci Genmica (CRG) Genotyping and genetic psychiatry
Facultat de Medicina (UdL) Neuro-oncology
Hospital Universitari de Bellvitge Clinical and molecular epidemiology of pneumococic disease in
Spain
Hospital de la Santa Creu i Sant Pau Hematological neoplasms
Sudden death
Study of the pathogenic and physiopatological bases of
of diseases of the exocrine pancreas and their applications
in diagnosis and treatment
Hospital Sant Joan de Du (Salut Mental) Research network on results applied to managing disability
and mental health
Hospital Vall dHebron Network involved in the study of transplant infection (RESITRA)
Molecular oncology in pediatrics
ICS - Divisi Hospitalria Prevention and promotion of health in primary health care
Institut dInvestigacions Biomdiques August Pi Sunyer (IDIBAPS) Nutrition and cardiovascular disease
HIV infection and its complications
Diabetis mellitus and its complications
Institut Municipal dInvestigaci Mdica (IMIM) Cardiovascular
Cancer of the urinary bladder
Prenatal and postnatal exposure to environmental pollutants, diet,
foetal growth and neuroimmunoendocrine development
133
The centres that participate in the highest number of
centre networks are IDIBAPS, which participates in
11 centre networks of the 13 that were successful,
and the Hospital Vall Hebrn and the Hospital de la
Santa Creu i Sant Pau, both of which participate in 8
networks.
The centres that participate via research groups in the
highest number of group networks is again IDIBAPS,
which participates in 24 group networks out of the 56
that were successful; the Hospital Vall Hebrn with 14
and the Hospital de la Santa Creu i Sant Pau with 10,
followed by the IMIM, which participates in 9 net-
works. All centres that participate in a group network
do so with one group per network.
4 The leadership of research networks
that received funding
As mentioned above, each research network has a
network co-ordinator which has the function of co-
ordinating the actions of the different nodes that make
up the network so as to maximise the complementa-
rity of the individual actions at each node.
Table 3 shows the centres in Catalonia that are net-
work co-ordinators in centre networks.
Table 4 shows the centres in Catalonia with groups
that are network co-ordinators in group networks.
5 (38.5%) out of the 13 centre networks are co-ordi-
nated by centres in Catalonia, and 17 (30%) out of the
56 group networks are co-ordinated by groups based
in centres in Catalonia.
5. Concluding comments
The experience of this first round of grants to set up
and develop biomedical research networks has been
extremely positive for Catalonia. Catalonia is the
Autonomous Regional Community that has the most
centres and groups as well as researchers that par-
ticipate in the research networks. Funding allocated
to centres and groups in Catalonia is the highest for
any Autonomous Regional Community in Spain.
Furthermore, the results in terms of the high number
of research networks co-ordinated by centres and
groups in Catalonia were also highly positive.
These figures reflect the high concentration of scien-
tific activities in the biomedical sciences in Catalonia.
Besides strengthening the position of Catalonia as a
leader in the area of biomedical research, the main-
taining of this endeavour will serve to promote the
quality of science in Catalonia and also increase the
quality of life of the population.
Catalonia is the Autonomous Regional
Community that has the most centres and
groups as well as researchers that partici-
pate in the research networks. Funding allo-
cated to centres and groups in Catalonia is
the highest for any Autonomous Regional
Community in Spain.
r e s u ms e n c a t a l
r e s me n e s e n c a s t e l l a n o
136
LA INTERACCI ENTRE LES
TECNOLOGES DE LA INFORMACI
I LA COMUNICACI I LA
SOCIETAT XARXA: UN PROCS DE
CANVI HISTRIC
Manuel Castells
Les societats evolucionen i es transformen
mitjanant la interacci complexa de factors
culturals, econmics, poltics i tecnolgics.
En qualsevol societat els paradigmes
tecnolgics organitzen la gamma disponible
de tecnologies al voltant dun nucli que
incrementa el rendiment de cadascuna.
LInformacionalisme s el paradigma
tecnolgic que actualment proporciona la
base per a un nou tipus destructura social: la
societat xarxa, una estructura social formada
per xarxes dinformaci fetes possible per les
tecnologies dinformaci. Aquesta s
actualment la forma dominant dorganitzaci
social. La innovaci, tant cultural com
tecnolgica, s lorigen del desenvolupament
informacional, i la innovaci depn
principalment de lexistncia, en el marc
duna societat lliure, duniversitats i centres
de recerca lliures i dalta qualitat. En la
llibertat de linformacionalisme, la cincia i el
poder es troben interrelacionats dins un
cercle virtus.
EL SIS PROGRAMA MARC PER A LA
RECERCA I EL DESENVOLUPAMENT
TECNOLGIC (RDT) DE LA UNI
EUROPEA: REPTES I OPORTUNITATS
PER A CATALUNYA
Xabier Goenaga i Ifigeneia Pottaki
El Sis Programa Marc per a la Recerca i el
Desenvolupament Tecnolgic (2002-2006)
ofereix a les regions excellents oportunitats
per millorar leficincia econmica i la
competitivitat internacional mitjanant la
millora de la capacitat tecnolgica del seu
sector empresarial, la inversi en capital
hum, la intensificaci dels vincles entre les
universitats i les empreses, incloses les
petites i mitjanes (PIME), lincrement de les
activitats dinnovaci i la promoci comercial
de les innovacions tecnolgiques, aix com la
collaboraci amb socis daltres regions
dEuropa i altres parts del mn, i la possibilitat
daccedir a les millors installacions de
recerca europees. La plena participaci en el
programa permetr a regions com Catalunya
fer front en millors condicions als principals
reptes econmics i tecnolgics de la prxima
dcada. Afavorir enormement el dinamisme
de leconomia local i tot el seu potencial,
inclosos els recursos humans. Tamb
comportar una atracci ms gran envers les
inversions procedents daltres rees
geogrfiques, i una millora de la competitivitat
i alhora de la capacitat de cooperar amb xit,
tant a escala europea com global.
LA LLEI DUNIVERSITATS DE
CATALUNYA. UN MARC JURDIC
PROPI PER A LES UNIVERSITATS DEL
SISTEMA UNIVERSITARI CATAL
Roser Mart i Torres
La Llei 1/2003, de 19 de febrer, duniversitats
de Catalunya, s la primera Llei aprovada pel
Parlament de Catalunya que duna manera
general integra els diferents aspectes que
conformen la matria universitaria. La autora
nestudia el contingut i explica com el
legislador ha procurat recollir el sentit de la
societat catalana i ms concretament el de la
comunitat acadmica per dissenyar un model
adequat a la realitat i a les necessitats de la
universitat catalana.
Larticle fa referncia al concepte de sistema
universitari, que aglutina les diferents
universitats establertes a Catalunya i les que
en el futur siguin creades o reconegudes pel
Parlament; explica la nova concepci de
comunitat universitria que sintegra
participativament a Europa, fent especial
esment al model catal de personal docent i
investigador contractat per les universitats, i
als instruments de mobilitat, cooperaci i
collaboraci interuniversitria; recorda la
importncia de lacci dels estudiants i dels
antics alumnes, i els espais de participaci
que la Llei crea per a tots ells, aix com els
seus drets i deures; fa referncia al catal
com a signe didentitat prpia de les
universitats de Catalunya; explica levoluci
seguida per lAgncia Catalana de Qualitat,
que assoleix per aquesta Llei importants
funcions sobre el professorat i la valoraci de
lactivitat acadmica universitria i, finalment,
assenyala les principals novetats en el Consell
Interuniversitari de Catalunya, principal rgan
de coordinaci universitria, i en la
composici dels consells socials, per tal que
puguin continuar exercint la important tasca
de representaci de la societat en la
universitat.
EL PROJECTE DE FONT DE LLUM DE
SINCROTR AL VALLS
Ramon Pascual
El 14 de mar de 2003 sha signat, entre el
Ministeri de Cincia i Tecnologia i el
Departament dUniversitats, Recerca i
Societat de la Informaci de la Generalitat de
Catalunya, el Conveni de Constituci del
Consorci per a la construcci, lequipament i
lexplotaci del Laboratori de Llum de
Sincrotr.
La llum de sincrotr, la radiaci emesa per les
partcules carregades quan descriuen una
trajectria accelerada com passa quan els
electrons circulen pels acceleradors circulars
i, ms concretament, pels sincrotrons o per
les anelles demmagatzematge, sha convertit
en una eina cada vegada ms til tant en la
recerca bsica com en laplicada. El seu s va
des del disseny de fibres sinttiques fins a
lestudi de les estructures de les protenes.
Actualment, al mn, hi ha ms de setanta
fonts de llum de sincrotr a disposici
dempreses (com ara les que fabriquen
CONEIXEMENT I SOCIETAT 01 I RESUMS EN CATAL
137
ordinadors), de comunitats nacionals de
pasos ms o menys avanats o de collectius
supranacionals. A Europa, al sud-oest de la
lnia que va de Pars a Trieste no hi ha cap font
de llum de sincrotr (llevat de Grenoble, on
lESRF dna servei a disset pasos dEuropa i
a Israel). Linters dun equipament cientfic
daquest tipus i labsncia de cap en una rea
tan extensa del sud-oest dEuropa va fer
decidir lany 1992 el govern de la Generalitat
a prendre la iniciativa de construir-ne un.
Sexposa lestat de la qesti i les principals
caracterstiques del projecte.
EL MODEL DE DISTRIBUCI DEL
FINANAMENT DE LES UNIVERSITATS
PBLIQUES CATALANES
Esther Pallarols, Santiago Lacruz
i Josep Ribas
Catalunya, com la majoria de pasos
avanats, ha comenat a aplicar den del
2002 un model de distribuci del finanament
de les universitats pbliques catalanes basat
en indicadors i frmules objectives. Lobjectiu
dun model daquest tipus s establir criteris
de repartiment de les disponibilitats
pressupostries que els poders pblics
estableixen per a les set universitats
pbliques catalanes. El model es basa en el
principi digualtat entre els estudiants del
sistema, i es refereix a les despeses de
funcionament de les universitats.
El model sestructura en cinc subvencions
diferents: la subvenci fixa, igual per a totes
les universitats, finana les despeses mnimes
destructura; la subvenci bsica finana
lactivitat acadmica ordinria de les
universitats i sestableix per mitj duna
frmula de distribuci que pondera quatre
indicadors; la subvenci derivada fa front a les
despeses generades per la contractaci del
personal docent i investigador de les
universitats; la subvenci estratgica lligada a
lassoliment dobjectius de qualitat i a
plantejaments estratgics de poltica
universitria (contractes-programa); i la
subvenci per concurrncia per a les
actuacions que afecten simultniament a
totes les universitats (convocatries pbliques
i programes interuniversitaris).
EL PRESSUPOST DEL DEPARTAMENT
DUNIVERSITATS, RECERCA I
SOCIETAT DE LA INFORMACI
I LES ENTITATS QUE EN DEPENEN
PER AL 2003
Anna Tarrach Colls
El pressupost duna organitzaci s
lexpressi quantificada dels seus objectius
en lexercici econmic de referncia i
reflecteix les lnies poltiques que es prioritzen.
Per a lany 2003, el Departament
dUniversitats, Recerca i Societat de la
Informaci es planteja unes fites que
sorienten cap a la millora de la qualitat del
sistema universitari amb actuacions que
incideixen en el finanament de les
universitats pbliques, cap a la potenciaci
del sistema catal dR+D promovent
laugment dinfraestructures de recerca i
potenciant els recursos humans i cap al
foment de ls de les noves tecnologies en el
conjunt de la poblaci a travs del
desenvolupament dinfraestructures de
telecomunicacions en el territori i del
desplegament del projecte Administraci
Oberta de Catalunya, entre daltres accions.
CONCESSI DAJUTS ESTATALS PER A
LA CREACI I DESENVOLUPAMENT
DE XARXES TEMTIQUES DE
RECERCA BIOMDICA
El desembre de lany 2002 va ser resolta la
convocatria realitzada per lInstituto de
Salud Carlos III, destinada a finanar la
creaci i desenvolupament de xarxes de
recerca en lrea biomdica. s la primera
convocatria daquest tipus que es porta a
terme a lestat espanyol. Lorigen del
finanament resolt s el fons creat arran del
pacte entre el Ministerio de Sanidad y
Consumo i Farmaindstria. Limport total de
les ajudes resoltes en la primera anualitat de
la convocatria s de 55 M. Els resultats de
Catalunya en aquesta primera anualitat de la
convocatria han estat fora positius,
Catalunya s la comunitat autnoma a la qual
shan assignat ms recursos. A ms els
centres i grups de recerca de Catalunya
juguen un paper destacat en la coordinaci
de les xarxes finanades en aquesta primera
convocatria.
138
LA INTERACCION ENTRE LAS
TECNOLOGIAS DE LA INFORMACION
Y LA COMUNICACION Y LA SOCIE-
DAD RED: UN PROCESO DE CAMBIO
HISTORICO
Manuel Castells
Las sociedades evolucionan y se transforman
mediante la interaccin compleja de factores
culturales, econmicos, polticos y tecnolgicos.
En cualquier sociedad los paradigmas tecno-
lgicos organizan la gama disponible de tec-
nologas en torno a un ncleo que incremen-
ta el rendimiento de cada una de ellas. El
informacionalismo es el paradigma tecnolgi-
co que actualmente proporciona la base para
un nuevo tipo de estructura social: la socie-
dad red, una estructura social formada por
redes de informacin que las tecnologas de
la informacin hacen posibles. Esta es actual-
mente la forma dominante de organizacin
social. La innovacin, tanto cultural como tec-
nolgica, es el origen del desarrollo informa-
cional, y la innovacin depende principalmen-
te de la existencia de universidades y centros
de investigacin libres y de alta calidad en el
marco de una sociedad libre. En la libertad del
informacionalismo, la ciencia y el poder inte-
ractan en el marco de un crculo virtuoso.
EL SEXTO PROGRAMA MARCO PARA
LA INVESTIGACION Y EL DESARRO-
LLO TECNOLOGICO DE LA UNION
EUROPEA: RETOS Y OPORTUNIDA-
DES PARA CATALUA
Xabier Goenaga y Ifigeneia Pottaki
El Sexto Programa Marco para la Investiga-
cin y el Desarrollo Tecnolgico (2002-2006)
ofrece a las regiones europeas excelentes
oportunidades para mejorar la eficiencia eco-
nmica y la competitividad internacional
mediante la mejora de la capacidad tecno-
lgica de su sector empresarial, la inversin
en capital humano, la intensificacin de los
vnculos entre universidades y empresas,
incluidas las pequeas y medianas (PYME), el
incremento de las actividades de innovacin y
la promocin comercial de las innovaciones
tecnolgicas, as como la colaboracin con
socios de otras regiones de Europa y otras
partes del mundo y la posibilidad de acceder
a las mejores instalaciones de investigacin
europeas. La plena participacin en el pro-
grama permitir a regiones como Catalua
hacer frente en mejores condiciones a los
principales retos econmicos y tecnolgicos
de la prxima dcada. Favorecer enorme-
mente el dinamismo de la economa local y
todo su potencial, incluidos los recursos
humanos. Tambin traer consigo un mayor
poder de atraccin para las inversiones pro-
cedentes de otras reas geogrficas, y una
mejora de la competitividad y al mismo tiem-
po de la capacidad de cooperar con xito,
tanto a escala europea como global.
LA LEY DE UNIVERSIDADES DE
CATALUA. UN MARCO JURIDICO
PROPIO PARA LAS UNIVERSIDA-
DES DEL SISTEMA UNIVERSITARIO
CATALAN
Roser Mart i Torres
La Ley 1/2003, de 19 de febrero, de universi-
dades de Catalua, es la primera Ley aproba-
da por el Parlamento de Catalua que de una
manera general integra los diferentes aspec-
tos que conforman la competencia en materia
de universidades. La autora estudia el conte-
nido de la Ley y explica cmo el legislador ha
procurado recoger el sentir de la sociedad
catalana y ms concretamente el de la comu-
nidad acadmica para disear un modelo ade-
cuado a la realidad y a las necesidades de la
universidad catalana.
El artculo hace referencia al concepto de sis-
tema universitario, que aglutina las diferentes
universidades establecidas en Catalua y las
que en el futuro sean creadas o reconocidas
por el Parlamento cataln; explica la nueva
concepcin de comunidad universitaria que
se integra participativamente en Europa, ha-
ciendo especial hincapi en el modelo cataln
de personal docente e investigador contrata-
do por las universidades y en los instrumen-
tos de movilidad, cooperacin y colaboracin
interuniversitaria; recuerda la importancia de
la accin de los estudiantes y de los antiguos
alumnos y los espacios de participacin que
la Ley crea para todos ellos, as como sus de-
rechos y deberes respectivos; hace referencia
a la lengua catalana como signo de identidad
propia de las universidades de Catalua; ex-
plica la evolucin seguida por la Agncia Ca-
talana de Qualitat del Sistema Universitari, que
alcanza, en virtud de esta Ley, importantes
funciones sobre el profesorado y la valoracin
de la actividad acadmica universitaria y, final-
mente, seala las principales novedades en el
Consell Interuniversitari de Catalua, principal
rgano de coordinacin universitaria, y en la
composicin de los consejos sociales, a fin
de que puedan continuar ejerciendo la impor-
tante tarea de representacin de la sociedad
en la universidad.
EL PROYECTO DE FUENTE DE LUZ DE
SINCROTRON EN EL VALLES
Ramn Pascual
El 14 de marzo de 2003 se ha firmado, entre el
Ministerio de Ciencia y Tecnologa y el Depar-
tamento de Universidades, Investigacin y
Sociedad de la Informacin de la Generalitat de
Catalunya, el convenio de constitucin del con-
sorcio para la construccin, equipamiento y
explotacin del Laboratorio de Luz de Sincrotrn.
La luz de sincrotrn, la radiacin emitida por
las partculas cargadas cuando describen una
trayectoria acelerada como pasa cuando los
electrones circulan por los aceleradores circu-
lares y, ms concretamente, por los sincrotro-
nes o por los anillos de almacenaje, se ha
convertido en una herramienta cada vez ms
til tanto en la investigacin bsica como en
la aplicada. Su uso va desde el diseo de
fibras sintticas al estudio de las estructuras
de las protenas.
CONEIXEMENT I SOCIETAT 01 I RESUMENES EN CASTELLANO
139
Actualmente, en el mundo, hay ms de seten-
ta fuentes de luz de sincrotrn a disposicin
de empresas (como las que fabrican ordena-
dores), de comunidades nacionales de pases
ms o menos avanzados o de colectivos su-
pranacionales. En Europa, al suroeste de la
lnea que va de Pars a Trieste no hay ningu-
na fuente de luz de sincrotrn (salvo la de
Grenoble, donde el ESRF da servicio a die-
cisiete pases de Europa y a Israel). El inters
de un equipamiento cientfico de este tipo y
la ausencia de ninguna en un rea tan exten-
sa del suroeste de Europa hizo decidir en el
ao 1992 al Gobierno de la Generalitat a
tomar la iniciativa de construir uno. Se expo-
ne el estado de la cuestin y las principales
caractersticas del proyecto.
EL MODELO DE DISTRIBUCION DE
LA FINANCIACION DE LAS UNIVERSI-
DADES PUBLICAS CATALANAS
Esther Pallarols, Santiago Lacruz y Josep Ribas
Catalua, como la mayora de pases avan-
zados, utiliza (desde el 2002) un modelo de
distribucin de la financiacin de las universi-
dades pblicas catalanas basado en indica-
dores y frmulas objetivas. El objetivo de
dicho modelo es establecer criterios de repar-
to de las disponibilidades presupuestarias
que los poderes pblicos establecen para las
siete universidades pblicas catalanas. El
modelo se basa en el principio de igualdad
entre los estudiantes del sistema, y se refiere
a los gastos de funcionamiento de las univer-
sidades.
El modelo se estructura en cinco subvencio-
nes diferentes: la subvencin fija, igual para
todas las universidades, para los gastos mni-
mos de estructura de stas; la subvencin
bsica para financiar la actividad acadmica
ordinaria de las universidades establecida por
medio de una frmula de distribucin que
pondera cuatro variables; la subvencin deri-
vada, que hace frente a los gastos generados
por la contratacin del personal docente y
investigador contratado de las universidades;
la subvencin estratgica vinculada a la con-
secucin de objetivos de calidad y a plantea-
mientos estratgicos de poltica universitaria
(contratos-programa), y la subvencin por con-
currencia para las actuaciones que afectan
simultneamente a todas las universidades
(convocatorias pblicas y programas abiertos
a todas las universidades).
EL PRESUPUESTO DEL DEPARTA-
MENTO DE UNIVERSIDADES, INVES-
TIGACION Y SOCIEDAD DE LA
INFORMACION Y SUS ENTIDADES
DEPENDIENTES PARA EL 2003
Anna Tarrach Colls
El presupuesto de una organizacin es la
expresin cuantificada de sus objetivos en el
ejercicio econmico de referencia y refleja las
lneas polticas priorizadas. Para el ao 2003,
el Departamento de Universidades, Investiga-
cin y Sociedad de la Informacin se plantea
unos objetivos orientados a la mejora de la
calidad del sistema universitario con actua-
ciones que inciden en la financiacin de las
universidades pblicas, a la potenciacin del
sistema cataln de I+D incidiendo en el au-
mento de infraestructuras de investigacin y
en la potenciacin de los recursos humanos y
al fomento del uso de las nuevas tecnologas
en el conjunto de la poblacin a travs del
desarrollo de infraestructuras de telecomuni-
caciones en el territorio y del despliegue del
proyecto Administracin Abierta de Cata-
lua, entre otras acciones.
CONCESION DE AYUDAS ESTATALES
PARA LA CREACION Y DESARROLLO
DE REDES TEMATICAS DE INVESTI-
GACION BIOMEDICA
En diciembre del ao 2002 se resolvi la con-
vocatoria del Instituto de Salud Carlos III,
destinada a financiar la creacin y desarrollo
de redes de investigacin en el rea biomdi-
ca. Es la primera convocatoria de este tipo
que se lleva a cabo en Espaa. El origen de la
financiacin de esta convocatoria es el fondo
creado a raz del pacto entre el Ministerio de
Sanidad y Consumo y Farmaindustria. El im-
porte total de las ayudas adjudicadas en el
primer ao de la convocatoria es de 55 mi-llo-
nes de euros. Los resultados de Catalua en
este primer ao de la convocatoria han sido
muy positivos, siendo esta la comunidad
autnoma a la que se han adjudicado ms
recursos. Adems varios centros y grupos de
investigacin de Catalua juegan un papel
destacado en la coordinacin de las redes
financiadas en esta primera convocatoria.
02
08
22
36
80
104
114
126
136
CONEIXEMENT I SOCIETAT | 01
SUMARI
PRESENTATION
ARTICLES
The interaction between information and communication technologies and the net-
work society: a process of historical change
Manuel Castells
The Sixth Framework Programme for RTD: Opportunities and challenges for
Catalonia
Xabier Goenaga and Ifigeneia Pottaki
Law on the universities in Catalonia. A specific regulatory framework for the universi-
ties in the Catalan university system
Roser Mart i Torres
The syncrotron light source project in El Valls (Catalonia)
Ramon Pascual
NOTES
The funding distribution model of the catalan public universities
Esther Pallarols, Santiago Lacruz and Josep Ribas
The 2003 budget for the Department dUniversitats, Recerca i Societat de la
Informaci (DURSI) and dependent bodies
Anna Tarrach Colls
State grant awards for setting up and developing biomedical research networks
RESUMS EN CATAL / RESMENES EN CASTELLANO

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