The Interaction Between Information and Communication Technologies and the Network Society Manuel...

CONEIXEMENT I SOCIETATKnowledge and Society. Journal of Universities, Research and the Information Society

Number 1. January - April 2003

#01

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 Vallès (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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CONEIXEMENT I SOCIETATJournal of Universities, Research and the Information Society.

Number 1. January - April 2003

CONEIXEMENT I SOCIETAT

#01

Knowledge and Society. Journal of Universities, Research and the Information Society

Number 1 . January - April 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 today’s 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 d’Universitats,

Recerca i Societat de la Informació (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-ColellMinister for Universities, Research and the Information Society

PRESENTATION 02 ARTICLES 06 The 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

Xab ier Goenaga and I f igene ia Pot tak i 2 2 Law on the un ivers i t ies in Cata lon ia .

A specific regulatory framework for the universities in the Catalan university system

Roser Martí i Torres 36 The syncrotron light source project in El Vallès (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 CATALÀ / RESÚMENES EN

CASTELLANO 134

The interaction betweeninformation andcommunication technologiesand the network society: aprocess of historical change Manuel Castells

08

a

The Sixth FrameworkProgramme for RTD:Opportunities and challengesfor CataloniaXabier Goenaga and Ifigeneia Pottaki

Law on the universities inCatalonia. A specific regulatoryframework for the universitiesin the Catalan universitysystem Roser Martí i Torres

The syncrotron light sourceproject in El Vallès(Catalonia) Ramon Pascual

22

r t i c l e s36 80

CONEIXEMENT I SOCIETAT 01 I ARTICLES

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* Manuel Castells. Research supervisor at the Universitat Oberta de Catalunya (UOC)

THE INTERACTION BETWEEN INFORMATION AND COMMU-NICATION TECHNOLOGIES AND THE NETWORK SOCIETY: APROCESS OF HISTORICAL CHANGEManuel 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 Programon Science, Technology and Society, writes: Forhistorians of technology, technological determin-ism is the unthinkable thought. It is a non-issuebecause there are no technological forces sepa-rate from social ones. Of course, technology issocially constructed! The real question to ask,then, is “What are the historical forces shaping theconstruction of the technological world?”1

Societies evolve and transform themselvesthrough a complex interaction of cultural, eco-nomic, political, and technological factors.Technology, however, has its own dynamics andtechnologies that develop and diffuse to decisive-ly shape the material structure of society that theyimpinge upon. Technological systems evolvegradually to the point where a major qualitativechange or technological revolution occurs, usher-ing in a new technological paradigm that inte-grates discoveries into a coherent system of rela-tionships characterised by synergy. Atechnological paradigm organises the availablerange of technologies around a nucleus thatenhances the performance of each individual one.

The Industrial Revolution was thus organisedaround industrialism, a paradigm characterisedby the capacity to generate and distribute energyby human-made artefacts, irrespective of the nat-ural environment. As energy is a primary resourcefor all kinds of activities, societies were able toexponentially increase their control over nature

and the conditions of their own existence bytransforming the production and distribution ofenergy. Moreover, the technological revolutioncreated a nucleus around which technologies inother fields were able to cluster and converge.The revolution in energy technology (first withsteam power, then later with electricity) estab-lished the basis for other associated revolutionsin mechanical engineering, metallurgy, chemistry,biology, medicine, means of transport, and awide variety of other technological fields thatcame together to form the new technological par-adigm.

This technological infrastructure made possiblethe emergence of new forms of production, con-sumption, and spatial and social organisationthat, as a whole, came to form the urban indus-trial society. Key features of the industrial societywere industrial factories, large corporations,rationalised bureaucracy, the gradual phasing outof agricultural labour, the process of large scaleurbanisation, centralised systems for the deliveryof public services, the rise of mass media com-munication, the construction of national andinternational transportation systems, and thedevelopment of weapons of mass destruction.

Industrialism existed in a variety of cultural andinstitutional forms. Industrial capitalism andindustrial statism were antagonistic forms ofsocial organisation yet shared fundamental simi-larities in their material foundations. History, cul-ture, institutions, and evolving patterns of politi-cal domination created a diverse array of

1 Williams, 2002, p. 116-118.

industrial societies as different as Japan and theUnited States, Germany and the Soviet Union.These were all however historical variations of thesame socio-technological species, namely indus-trialism.

2. Informationalism as a new techno-logical paradigm

This analogy may help explain the meaning, andthe importance, of the new technological para-digm currently replacing industrialism as thedominant matrix of 21st century societies. I con-ceptualise it as informationalism, which is consti-tuted around the strategic importance of informa-tion and communication technologies.Nevertheless, industrialism does not disappearjust like that and the process of historical transi-tion proceeds through the absorption of preced-ing social forms by new, emerging ones so thatreal societies are considerably more disorganisedthan the ideal types constructed for analyticalpurposes. How do we know that a given para-digm, e.g. informationalism, is dominant vis-à-visothers, e.g. industrialism? Quite simply becauseof its superior performance in the accumulation ofwealth and power. Historical transitions areshaped by the winners in the world. We do notreally know if producing more or more efficientlyembodies a higher value in terms of humanitybecause the idea of progress is an ideology2.How good, bad, or indifferent a new paradigm isdepends on whose perspective, whose values,and whose standards are considered. We knowthat it is dominant, however, because when it isimplemented it eliminates any competition. In this

sense, informationalism is the dominant para-digm replacing and subsuming industrialism inpresent-day societies. However, what exactly isinformationalism?

Informationalism is a technological paradigm; itrefers to technology and not social organisationor institutions. Informationalism provides thebasis for a certain type of social structure that Icall the network society. Without informational-ism, the network society could not exist yet thisnew social structure is not produced by informa-tionalism but by a broader pattern of social evo-lution3. 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 technologicalparadigm.

The characteristic aspect of informationalism isnot the central role of knowledge and informationin generating wealth, power, and meaningbecause these have played a central role in many,if not all, known societies throughout history4.Many different forms of knowledge have certainlyexisted but knowledge, including scientific knowl-edge, is always historically relative; somethingthat is considered to be true today may well becatalogued as an error in the future. Over the lasttwo centuries, there has clearly been closer inter-action between science, technology, wealth,power, and communication than previously butone cannot get a true understanding of theRoman Empire without considering the engineer-ing technology of its vast public works and com-munication patterns, the logical codification ofgovernment and economic activities according to

10


2 Kumar, 1995.3 Castells, 2000.4 Chandler & Cortada, 2000.


11

Roman Law, and the processing of informationand communication made possible by its devel-oped language (Latin). Throughout history, knowl-edge and information, together with their techno-logical underpinning, have been closelyassociated with political/military domination, eco-nomic prosperity, and cultural hegemony. In asense, therefore, all economies are knowledge-based economies and all societies are essentiallyinformation societies5. What is distinctive of ourhistorical period is a new technological paradigmushered in by the Information TechnologyRevolution and centred around a cluster of infor-mation technologies. The thing that is new is theinformation processing technology and theimpact of this technology on the generation andapplication of knowledge.

This is the reason why the concept of informa-tionalism is used here and not the notions ofknowledge-economy or information society toexplain the technological paradigm based on theincrease of human ability in information process-ing around the twofold revolutions in microelec-tronics and genetic engineering. What is actuallyrevolutionary in these technologies vis-à-vis pre-vious information technology revolutions in histo-ry, for example the invention of the printingpress?6. Printing was indeed a major technologi-cal discovery that had wide-reaching conse-quences in all areas of society although thechanges that it brought about were much greaterin the context of Europe in the early Modern Agethan in China when it was first invented. The newpresent-day information technologies have aneven greater historical relevance in that they areushering in a new technological paradigm on thebasis of three major, distinctive features: a) their

self-expanding processing capacity in terms ofvolume, complexity, and speed; b) their recom-bining ability; and, c) their flexibility in terms ofdistribution.

These features, which constitute the essence ofthe informational paradigm, are described indetail below. The two fundamental fields of tech-nology (microelectronics and genetic engineering)are first considered separately, which is followedby the interactions between the two.

The microelectronics-based revolution includesthe microchip, computers, telecommunications,and networking. Software development is thecritical technology that operates the whole sys-tem although the true power of processing is tobe found in the design of the integrated circuit.These technologies allow for an extraordinaryincrease in man's capacity to process informationin terms of the volume of information, operationcomplexity and processing speed although howmuch is “much more” compared with previousinformation processing technologies? How do weknow that there is a revolution going on thatinvolving an unprecedented leap forward in pro-cessing capacity? An outer layer of the answerlies in what is purely empirical. The last 30 yearshave seen a sustained exponential increase in

5 Lyon, 1988.6 Mokyr, 1990.

The process of historical transition pro-ceeds through the absorption of precedingsocial forms by new, emerging ones.

information processing power and capacity interms of bits, feedback loops and speed, cou-pled with an equally dramatic decrease in costper operation. However, I venture the hypothesisthat there is something that is not merely quanti-tative but also qualitative, namely the ability ofthese technologies to self-expand their process-ing power as a result of feedback from the tech-nological development of knowledge generatedon the basis of the technology itself7. This is abold hypothesis as there may be physical limits tothe further integration of circuits in microchipsand the expansion of processing capacity. So far,however, every doomsday prediction in this fieldhas been belied by new manufacturing break-throughs. On-going research into new materials(including biological materials and chemically-based information processing on biological DNA)may well extend the level of integration to anextraordinary degree while parallel processingand 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-sis is as follows: in the first 25 years of theInformation Technology Revolution, we haveobserved a self-generated, expansive capacity oftechnologies to process information; current lim-its are likely to be superseded by new waves ofinnovation in the making; and (this is critical)when and if limits to processing power on thebasis of these technologies are reached, a newtechnological paradigm will emerge in forms andtechnologies that are unimaginable today exceptin science fiction scenarios .

Microelectronics-based technologies are alsocharacterised by their ability to recombine infor-mation in any possible way. This is what I callhypertext (following the tradition from Nelson toBerners-Lee) and what most people call theWorld Wide Web. The real value of the Internet isits ability to link up everything from everywhere,and to recombine it. This will be even moreexplicit when the original design of Berners-Lee'sWorld 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.mail system8. While Nelson'sXanadu was clearly a visionary utopia, the realpotential of the Internet, as Nelson wanted, is inthe recombining of all existing information andcommunication on the basis of specific purposesdecided in real time by each user/producer ofhypertext9. Recombination is the source of inno-vation, particularly if the products of recombina-tion themselves become supports for furtherinteraction, in a spiral of increasingly meaningfulinformation. While the generation of new knowl-edge will always require the application of theoryto recombined information, the ability to experi-ment with this recombining from a multiplicity ofsources considerably extends the realm of knowl-edge, as well as the connections that can bemade between different fields10.

The third feature of new information technologiesis their flexibility in allowing the distribution ofprocessing power in various contexts and appli-cations. The explosion of networking technolo-gies (along the lines of Java and Jini languages inthe 1990s), the staggering growth of cell phones,and the development of the mobile Internet from

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7 Walsham, 2002.8 Berners-Lee, 1999.9 Packer and Jordan (eds), 2001.10 De Kerckhove, 1997.


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a wide array of portable appliances are key devel-opments that point to the growing capacity tohave processing power, including the power ofnetworked communication, everywhere there isthe technological infrastructure and the knowl-edge to use it.

The second component of the InformationTechnology Revolution is genetic engineering,which is often considered as an entirely inde-pendent process vis-à-vis microelectronicsalthough this is not the case. Firstly, in analyticalterms, these technologies are obviously bothinformation technologies since they focus on thedecoding, and eventual reprogramming, of DNA,which is the information code of living matter.Secondly, there is a much closer relationshipbetween microelectronics and genetic engineer-ing than people seem to realise. Without mas-sive computing power and the simulationcapacity provided by advanced software, theHuman Genome project would not have beencompleted, nor would scientists be able to iden-tify specific functions and the location of specif-ic genes. Biochips and DNA chemically-basedmicrochips are no longer a thing of science fic-tion. Third, there is theoretical convergencebetween the two technological fields around theanalytical paradigm based on networking, self-organisation and emergent properties, as shownby the revolutionary theoretical work of FritjofCapra11.

Genetic engineering technologies, the transfor-mative power of which is just being unleashed inthe early 21st century, are also characterised bytheir self-expanding processing capacity, their

ability to recombine and their distributing power.Firstly, the existence of a Map of the HumanGenome and, increasingly, of genetic maps ofspecies and subspecies, creates the possibility ofconnecting knowledge about biological processin a cumulative way, leading to a qualitative trans-formation of the understanding of processes thatwere previously beyond the realm of observation.Secondly, the recombining ability concerningDNA codes is exactly what genetic engineering isabout and what sets it apart from any previousform of biological experimentation.

There is another more subtle innovation, howev-er. The first generation of genetic engineeringlargely failed because cells were reprogrammedas isolated entities without the understandingthat context is everything in both biology andinformation processing in general. Cells onlyexist in their relationship to others. Interactingnetworks of cells, communicating throughcodes rather than isolated instructions, are theobject of scientif ic recombination strategies.This kind of recombination is far too complex to

11 Capra, 2002.

In the first 25 years of the Informa-tion Technology Revolution, we haveobserved a self-generated, expansivecapacity of technologies to processinformation; current limits are likely to besuperseded by new waves of innovationin the making.

be identified in linear terms. It requires simula-tion techniques with massive computer parallelprocessing facilities for emergent properties tobe associated with gene networks, as in someof the models proposed by researchers at theSanta Fe Institute. Thirdly, the promise of genet-ic engineering is precisely its ability to repro-gramme different codes and their communica-tion protocols in different areas of differentbodies (or systems) of different species.Transgenic research and self-regenerativeprocesses in living organisms are the frontier ofgenetic engineering, with genetic drugs intend-ed to induce capabilities of self-programming byliving organisms, the ultimate expression of dis-tributed information processing power.

Incidentally, genetic engineering shows quitevividly how mistaken it would be to assign posi-

tive meaning to exceptional technological revolu-tions regardless of their social context, socialuse, and social outcome. I cannot imagine amore fundamental technological revolution thatthe capacity to manipulate the codes of livingorganisms. Neither can I think of a more danger-ous and potentially destructive technology if itbecomes uncoupled from our collective capacityto control technological development in cultural,ethical, and institutional terms.

3. The network society

The network society has built up from the foun-dations of informationalism and expandedthroughout the planet to become the dominantform of social organisation in our time. It is asocial structure that consists of information net-works powered by the information technologiesthat characterise the informational paradigm.

A social structure can be defined as the organisa-tional arrangement of humans in relationships ofproduction, consumption, experience, and power,as expressed in meaningful interaction framed byculture. A network is a series of interconnectednodes and a node is the point where the curvecrosses itself. Social networks are as old ashumankind. Under informationalism, however,they have taken on new life because new tech-nologies enhance the flexibility that is inherent tonetworks while solving the co-ordination andsteering problems that, throughout history, havehindered networks in their competition with hier-archical organisations. Networks distribute per-formance and share decision-making along thenodes 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 ofvarying relevance, they are all necessary to thenetwork. When nodes become redundant, net-works tend to reconfigure themselves, deletingnodes and adding new, productive ones. Nodesincrease their importance for the network byabsorbing more information and processing itmore efficiently. The relative importance of a nodedoes not stem from its specific features but fromits ability to contribute to the network with valu-able information. In this sense, the main nodesare not centres but switches and protocols of

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The network society has built up from thefoundations of informationalism and expand-ed throughout the planet to become the dom-inant form of social organisation in our time.


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communication, following a networking logicrather than a command logic in their perform-ance12.

Networks work on a binary logic: inclusion/exclu-sion. As social forms, they are value-free. Theresults depend on the goals of a given networkand on the elegance, economy and self-repro-ductivity of the forms designed to perform thesegoals. In this sense, the network is an automaton.In a social structure, social actors and institutionsprogramme the networks. Once programmed,however, information networks powered by infor-mation technology impose their structural logiconto their human components, until their pro-gramme is changed, usually at a high social andeconomic cost.

In order to apply this formal analysis to the actu-al workings of society, a brief characterisation ofthe 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 byinformation turbulence from different sources.The outcome of these signals, and of their pro-cessing in the electronic networks of the financialmarkets, is the actual value assigned to all assetsin every economy. The global economy is builtaround collaborative networks of production andmanagement, with multinational corporations andtheir ancillary networks accounting for over 40%

of GGP (Gross Global Product) and about 70% ofinternational trade. Companies themselves workin and by networks. Large firms are decentralisedin internal networks while SMEs form networks ofco-operation, thus maintaining their flexibilitywhile pulling resources together. Large firms workon the basis of strategic alliances that varyaccording to products, processes, markets orperiods 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 inside of networks. Furthermore, what Icall the network enterprise often links up cus-tomers and suppliers through a proprietary net-work, as in the business models spearheaded byCisco Systems in the electronics industry or Zarain the garment industry. The actual operationalunit in the economy is the business project oper-ated by ad hoc business networks. And all of thiscomplexity can only be managed through the useof the tools of informationalism.

Productivity and competitiveness become vastlyenhanced through this networked form of pro-duction, distribution and management and as thenetworks of the new economy expand throughcompetition and the global phasing out of lessefficient forms of organisation, the new, net-worked economy becomes the dominant econo-my everywhere13. Economic units, territories andpeople that do not perform well in this economyor offer any potential interest to these dominantnetworks are discarded. On the other hand,whatever source of potential value that arises,and from wherever, is connected and pro-grammed into the productive networks of thenew economy.

12 Watts, 1999.13 Lucas, 1999.

Under such conditions, work becomes individu-alised. Management-labour relationships aredefined in individual arrangements and work isvalued according to the ability of workers andmanagers to reprogramme themselves to performnew tasks and new goals, with the system beingdriven by technological innovation and entrepre-neurial versatility. Not everything is bad in thisnew working arrangement. It is a world of winnersand losers, although more often than not ofuncertain winners and losers of no return14. It isalso a world of creativity and destruction, a worldcharacterised, simultaneously, by creativedestruction and destructive creation.

Cultural expression becomes patterned aroundthe kaleidoscope of a global, electronic hyper-text. Around the Internet and multimedia, mani-festations of human communication and creationare hyperlinked. The flexibility of this media sys-tem facilitates the absorption of the most diverseforms and the customisation of the delivery ofmessages. While individual experiences may existoutside the hypertext, collective experiences,shared messages, that is, culture as a socialmedium, by and large get captured in this hyper-text. It constitutes the source of real virtuality asthe semantic framework of our lives. Virtual, inthat it is based on electronic circuits andephemeral audio-visual messages. Real, becausethis is our reality, since the global hypertext pro-vides most of the sounds, images, words,shapes, and connotations that we use to con-struct our meaning in all domains of experience15.

Politics is itself becoming increasingly taken overby the media world, either by adapting to itscodes and rules or by attempting to change therules of the game by creating and imposing newcultural codes. In both cases, politics becomesan application of the hypertext, since the textsimply reconfigures itself to the new codes16.

Networking logic, which is rooted in information-alism, has also transformed our experience ofspace and time. The space of flows, which ischaracteristic of the network society, links up dis-tant locales around shared functions and mean-ings on the basis of electronic circuits and fasttransportation corridors while isolating and sub-duing the logic of experience embodied in thespace of places17. A new form of time, which I calltimeless time, emerges out of systemic trends tocompress chronological time to its smallest pos-sible expression (as in split second financialtransactions), as well as blurring time sequences.This can be observed in the turning of profes-sional career patterns away from the predictableprogression of the organisational man, who hasnow been replaced by the flexible woman18.

Sucked in by this whirlwind and bypassed byglobal networks of capital, technology and infor-mation, nation states are not sinking as predictedby the prophets of globalisation. They are adapt-ing in structure and performance and are them-selves becoming networks19. 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 orNAFTA; 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, politicalsovereignty becomes shared among various gov-ernments and organisations. On the other hand,a process of political decentralisation is takingplace in most of the world, with resources shiftingfrom national governments to regional and localgovernments, and even to non-governmentalorganisations, in a concerted effort to rebuildlegitimacy and increase flexibility in the conductof public affairs. These simultaneous trendstowards supranationality and towards localityinduce a new form of state, namely the networkstate, that appears to be the most resilient insti-tutional form for managing global governance20.

4. The genesis of network society andinformationalism

Where did this network society originate? Whatwas its historical genesis? It emerged as a resultof the accidental coincidence of three independ-ent phenomena in the last quarter of the 20thcentury.

The first of these was the Information TechnologyRevolution, the key components of which cametogether as a new technological paradigm in the1970s (ARPANET, 1969; USENET News, 1979;the invention of the integrated circuit, 1971; thepersonal computer, 1974-76; the software revo-

lution: UNIX codes designed in the late 1960sand released in 1974; TCP/IP protocols designedin 1973-78; recombinant DNA, 1973)21.

The second trend was the process of the socio-economic restructuring of the two competingsystems of capitalism and statism that experi-enced major crises resulting from internal contra-dictions in 1973-75 (capitalism) and 1975-80(statism). These crises were dealt with by newgovernment policies and new corporate strate-gies. The perestroika of the capitalist systemworked whereas the restructuring of statismresulted in failure because of the inherent limita-tions of statism to internalise and use the infor-mation technology revolution, as is argued in ourstudy with Kiselyova on the collapse of the SovietUnion22. Capitalism was able to overcome astructural trend towards rampant destructiveinflation through informational productivity,deregulation, liberalisation, denationalisation,globalisation and networking, to ultimately pro-vide the economic foundations of the networksociety.

The third trend that gave rise to this new societyconsisted of the cultural and political values pro-

Networking logic, which is rooted in infor-mationalism, has also transformed ourexperience 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 1960sand early 1970s in Europe and America, alongwith certain sui generis signs in Japan and China.These movements were fundamentally libertarianalthough the feminist movement and the environ-mental movement extended the notion of free-dom to a fundamental challenge to the institu-tions and ideologies of patriarchalism andproductivism. These movements were cultural inthat their focus was not on the seizing of statepower (unlike most of their predecessors in thecentury) or on the redistribution of wealth but oncategories of experience; established institutionswere rejected, the call was made for new mean-ings of life and, consequently, for the redrafting ofthe social contract between the individual and thestate, and between the individual and the corpo-rate world23.

These three phenomena emerged independentlyfrom each other and their historical coincidencewas serendipitous, as was their specific combi-nation in different societies. This is why thespeed and form of the process of transition tothe network society has been different in theUnited States, Western Europe and the rest of

the world. The more entrenched the institutionsand rules of the industrial society, or of pre-industrial societies, the slower and more difficultthe process of transformation. No value judge-ment is implied in this differential path towardsthe network society -- the network society is notthe promised land of the Information Age. It isquite simply a new, specific social structure andits effects on the well-being of humankind areundetermined. It all depends on context andprocess.

One of the key components of this historicalaccident that has given rise to our 21st centuryworld is the new technological paradigm of infor-mationalism. Where did this originate? War, ofboth hot and Cold types, has been an essentialingredient in this process of technological inno-vation, as it has been throughout history24. WorldWar II was the matrix of most of the discoveriesthat led to the Information TechnologyRevolution, while the Cold War was the meltingpot for their development25. Arpanet, the ances-tor of the Internet, was not military technology inthe true sense, even if its key technologies(packet switching and distributed networkingpower) were developed by Paul Baran at RandCorporation in a proposal to the DefenceDepartment to build a communications systemable to survive nuclear war. The proposal wasnever approved and the DOD-based scientistsdesigning Arpanet only found out about Baran'swork when they were already building the com-puter network. However, without the support ofthe 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 InformationTechnology Revolution, while the Cold Warwas the melting pot for their development.

at the Pentagon, computer science in the UnitedStates would not have developed at the pace itdid, Arpanet would not have been built, andcomputer networking would be very differenttoday. Likewise, while the microelectronics revo-lution has been largely independent from militaryapplications for the last 20 years, during the1950s and early 1960s, in the critical, formativestage, Silicon Valley and the other major techno-logical centres were highly dependent on militarymarkets and their generous research funding.

Research universities were also essentialseedbeds of the technological revolution. Infact, it can be argued that academic computerscientists captured the resources of the DefenceDepartment to develop computer science ingeneral and computing networking in particularfor the sake of scientific discovery and techno-logical innovation, without much direct militaryapplication. Actual mil itary design was doneunder conditions of extreme security in theNational Laboratories and there has been verylittle innovation from these laboratories, in spiteof their extraordinary scientific potential. Theywere the mirror of the Soviet system, and sowas their fate, as they became monumentaltombs of ingenuity.

Universities and research centres of major hospi-tals and public health centres were the crucialsources of the biology revolution. Crick andWatson worked out of Cambridge University in1953, and the key research leading to recombi-nant DNA took place in 1973-75 at StanfordUniversity and the University of California at SanFrancisco.

Business did play a role but not established cor-porations. ATT traded its proprietary rights formicroelectronics against its telecommunicationsmonopoly in the 1950s and later passed up theopportunity to operate Arpanet in the 1970s26.IBM failed to anticipate the PC and only jumpedon the bandwagon later, under such confusedconditions that it licensed the operating systemto Microsoft and left the door open for the PCclones that would end up pushing IBM to surviveas a services company. As soon as Microsoftitself became a quasi-monopoly, it made similarblunders, such as missing out on the Internetuntil 1995, when it introduced its InternetExplorer, a browser that was not originally creat-ed by Microsoft but based on the reworking of abrowser designed by Spyglass, a company thatlicensed Mosaic software from the NationalCenter for Supercomputer Applications. RankXerox designed many of the key technologies ofthe PC age at its PARC research unit but it onlyhalf understood the wonders its researchers weredoing, to the point that they were commercialisedby other companies, particularly AppleComputers. The business component at thesource of informationalism was therefore, by andlarge, a new breed of business -- start ups thatquickly became giant corporations (Cisco, Dell,


19

26 Abbate, 1999.

Business did play a role in the origin ofinformationalism, but just corporations thatreinvented themselves, not establishedones.

Oracle, Sun Microsystems, Apple, etc.) or corpo-rations that reinvented themselves (such as Nokiashifting from consumer electronics to cell teleph-ony, then to the mobile Internet)27. Capable oftransiting from their entrepreneurial origins toinnovation-driven, large-scale organisations,these new businesses built on another funda-mental component of informationalism, namelythe cultural source of technological innovationrepresented by the hackers culture28.

There are no technological revolutions withoutcultural transformation. Revolutionary technolo-gies have to be thought of. This is not an incre-

mental process, it is a vision, an act of belief, agesture of rebellion. Finance, manufacturing andmarketing will surely and ultimately decide whichtechnologies survive in the market place.However, they will not necessarily decide whichtechnologies develop because the market place,as important as it is, is not the only place on theplanet. Informationalism was partly invented anddecisively shaped by a new culture that was

essential in the development of computer net-working, the distribution of processing capacity,and the augmentation of innovation potential byco-operation and sharing, following the logic ofopen source and horizontal networking29.

5. In a virtuous circle

In short, technology and society come together inthe same process of historical change.Technological change is discontinuous and ush-ers in new periods of structural transformationaround new technological paradigms, the logic ofwhich is similar to that discovered by Khun forthe scientific revolutions30.

Informationalism is the technological paradigmunderlying the formation of the social structurethat characterises our world, the network society,although the process of integration of societiesand people around the world in this globally dif-fused network society is extremely uneven. Theunderstanding of how certain institutional envi-ronments are conducive to innovation and toadvanced technological change, while others arenot, is essential for identifying the sources ofwealth, power, and well-being in the world.Innovation, in both its cultural and technologicalmanifestation, is the source of informationaldevelopment and it essentially depends on theexistence of free, high quality university andresearch institutions in the framework of a freesociety. It is under informationalism that freedom,science, and power all become inter-related inwhat 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 technologicalchange, while others are not, is essential foridentifying 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) What´s 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 d´Analyse Economique.

Raymond, Eric S. (1999) The cathedral & the bazaar. Musings on Linux and open source by an accidental revolutionary, Sebastopol, CA: O’Reilly.

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 CATALONIAXabier 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 activitieshas been open for proposals since the end of lastyear. Catalonia has an important opportunity of tak-ing part in large and ambitious technological projectsthat will shape the European Research Area andaffect both the European economy and society as awhole in the future, as well as exploiting smaller ini-tiatives with a large potential impact on economicgrowth and technological advance.

The Sixth Framework Programme (FP6) includesresearch activities and instruments that will involvethe participation of large corporations and SMEs,universities and research institutions, researchers,regional organisations and all stakeholders interestedin playing an essential role in supporting Catalonia tosuccessfully respond to the challenges of the emerg-ing knowledge-intensive economic environment.Moreover, it provides funding that can greatlyimprove the region's technological capacity and leadto increased competitiveness on the global market.In short, it enables a regional economy to improve itslocal potential, materialise existing capabilities, learn,innovate, develop local networks of economic co-operation in order to successfully compete on theEuropean and global levels, and also to co-operate inthe sharing of knowledge, resources and benefits ininter-regional networks.

The resources and opportunities offered by the sixthFramework programme address the needs ofEuropean regions and support their continuousdynamic performance through co-ordinated actionsand investments in knowledge and innovation. At thesame time they encourage and promote collabora-

tion initiatives at the European and global scale thatoffer enormous opportunities for economic and tech-nological development. The FP6 provides significantmeans to respond to the needs of the Europeanregions and the environment in Europe as a whole inorder for there to be stronger links between theeconomy, 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 technologicalcapacity of business enterprise, with particular atten-tion to SMEs. Particular attention is given to theneeds of SMEs and their role in regional competitiveadvantage through specific actions involving SMEs,and also through measures encouraging their partic-ipation in European research projects of high impactand critical mass. These projects will enable SMEs toupgrade 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 theCatalan economy have also received special atten-tion under the specific programmes of FP6. A briefoverview of the Sixth Framework Programme is given

The sixth Framework Programme providessignificant means to respond to the needs ofthe European regions and the environmentin Europe as a whole in order for there to bestronger links between the economy, sci-ence and society.

below, with particular mention made of certain areaswith a significant potential impact for Catalonia.While not an exhaustive presentation of the activitiesand instruments of FP6, this description should pro-vide an overview of the whole Programme and enableinterested parties to identify the main areas wherethey could participate, together with the appropriateinstruments for their proposed projects from thosethat are available.

2. The European Research Area (ERA)and the Sixth Framework Programme(FP6)

The European Research Area embodies the objectiveof the European Union and the Member States ofachieving the best possible use of Europe's scientificcapabilities and material resources1. This requires thecoherent implementation of European and nationalpolicies as well as the free movement of knowledgeand human potential in the European Union. The ERAseeks to provide an environment that attracts the bestresearchers, supports and encourages research andtechnological development activities and results in anincrease in the level of research and knowledge to thehighest international levels2. The plan for the estab-lishment of the ERA was adopted by the EuropeanCouncil in Lisbon (23-24 March 2000). It is a centralcomponent in the development of the knowledge-based economy and society in Europe and a numberof developments have followed that have furtherspecified and promoted this objective3.

The Sixth Framework Programme (2002-2006) isexpected to make a major contribution to the cre-

ation of the European Research Area. It aims to facil-itate the free movement of researchers, promoteresearch activities and the production and use ofknowledge, and support innovation4. It consists of anintegrated approach to put in place the conditions forstrengthening the scientific and technological basesof Community economic activities and improving itscompetitiveness at the international level.

In the current era of globalisation and as EuropeanUnion grows and integrates more states, regionsand citizens, the production and use of knowledgeare recognised as playing an increasingly importantrole in the main European economic and socialobjectives. These include economic growth, qualityof life and the environment, employment and thecreation of new and better jobs, and citizens'awareness of the scientific and technological devel-opments that shape the conditions for current andfuture generations and participate in the futuredevelopment of society. It is estimated that researchand technology account for up to 50% of economicgrowth. An area's technological base and researchand innovation potential, together with its learningpotential used for the purpose of further develop-ment, undoubtedly plays an essential role in thebuilding of a competitive economy that is capable ofsupporting the social objectives and principles thatare characteristic of the process of European inte-gration.

3. The regional dimension

In the era of globalisation, the local economic andsocial 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.



25

role in economic development. Regions are todayrecognised as the locus of economic activity, inter-acting on the national, European and global scales.Furthermore, there is a particularly strong linkbetween the technological and organisationalchanges characteristic of post-Fordist productionsystems and the empowerment of the region as aneconomic unit. This can be clearly understood whenconsidering that, at a time when economic relationsare becoming increasingly globalised, specialisedknow-how and technological capability are out ofnecessity linked to a local social context.

Dynamic regional economies are commonly flexibleand highly specialised. One of their main characteris-tics is the horizontal co-operation between enterpris-es, and between enterprises and institutions, thatenables these economies to build and sustain strongcompetitive advantages. Successful networks oflocal collaboration enable a region to compete effec-tively in the global market, as well as permitting thecreation of partnerships and networks with otherinstitutions and enterprises from different regionswith resulting benefits for all partners.

This means that economic competitiveness todayincreasingly involves partnership and interactiveinnovation. Networks of collaboration in researchactivities allow regions to improve their local techno-logical capacities, including the pool of humanresources, while being part of a dynamic environmentof learning and innovation. Achievements in scienceand technology thereby promote further research insitu as well as elsewhere and benefit all Europeanresearchers, producers and citizens that form part ofthis free area of research and innovation.

In summary, the European Research Area is basedon an approach that aims at integrating research anddevelopment activities at the regional, the nationaland European levels and creating a new type of inter-action between the Union's research and regionalpolicies5.

Apart from the research and technological develop-ment policy, the EC supports R&D activities in theEuropean regions through the Structural Funds. TheStructural Funds make a major contribution to sup-porting regional economic performance, increasingthe potential of regions for research and innovation,closing the gap between the most dynamic regions inthe European economy and those lagging behind ineconomic development, and enhancing Europeancompetitiveness and social cohesion. Catalonia isreceiving 1 235 million € under the structural fundsand particularly the current objective 2 programme,which includes a priority for research, innovation andthe information society.

Catalonia is an example of an area with importantresearch and innovation activities, demonstrating thedynamic of European regions for research, techno-

5 See Mitsos A, 2001, The Territorial Dimension of Research and Development Policy: Regions in the European Research Areahttp://europa.eu.int/comm/resaerch/area/regions.html.

Catalonia is an example of an area withimportant research and innovation activities,demonstrating the dynamic of Europeanregions for research, technological develop-ment and economic advance.

logical development and economic advance. It is oneof the four partners in the network of “motor-regions”together with Baden-Württemberg, Rhône-Alpes andLombardia. Participation in the Sixth FrameworkProgramme can further enhance the research andinnovation potential of the region, improve its tech-nological capacities and help create stronger linksbetween the academic and industrial communities. Itis a great opportunity to build successful collabora-tions for investment, research, learning and econom-ic competitiveness and to co-operate effectively atthe regional, European and international level forimproved competitiveness in the global market.

4. The Sixth Framework Programme forRTD

The Sixth Framework Programme as a basic compo-nent in the creation of the ERA is a major steptowards the realisation of the objectives decided atthe European Council in Lisbon for sustainablegrowth, more employment and social cohesion. Theultimate goal of these efforts is to make the Europeaneconomy the most competitive and dynamic knowl-edge-based economy in the world by 2010. Toachieve this, it is necessary to put into effect thestructural changes on research and development inmember states and associated and candidate coun-tries, working not just at the European level but at theregional and national ones as well.

The Sixth Framework Programme attaches greatimportance to the needs of SMEs in line with theEuropean Charter for small enterprises endorsed bythe Feira European Council (June 2000) that aims tostrengthen the technological capacity of small enter-

prises and facilitate their access to the best researchand technology. SMEs are encouraged to participatein all areas and instruments of FP6, especially theactivities carried out by the thematic priorities (seebelow). FP6 aims to involve all partners from smalland big business, dynamic and less dynamic regions,basic research activities, institutions and appliedresearch in the creation of the ERA and the strength-ening of the European economy. It also addressesthe international and global dimension in researchthrough encouragement given to co-operation withcountries outside of Europe. It is open to the partici-pation of all countries that have concluded associa-tion agreements with the Community, while thirdcountries can participate under bilateral agreements.Another area of great significance under the SixthFramework Programme is human resources and pro-motion given to the mobility of researchers. An actionplan is also being implemented to promote the roleand place of women in science and research.

The total Community financial contribution to FP6 isEUR 17,500 million. Excluding Euratom, EUR 16,270million of this is assigned to the three headings underwhich the programme is structured; 'Focusing andIntegrating Community Research', 'Structuring theEuropean Research Area' and 'Strengthening theFoundations 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 budgetdeployed in the FP6 and are intended to integrateresearch efforts and activities on a European scale.They are focussed primarily on seven clearly definedthematic 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 specificprogramme “Structuring the European Research Area”. See also http://europa.eu.int/comm/research/fp6.



27

ures will be undertaken across a wider field of scien-tific and technological research. This area is brokendown into three main subgroups, namely the seventhematic priorities, specific activities covering a widerfield of research and the non-nuclear activities of theJoint Research Centre (JRC).

Priority thematic areas

The seven priority thematic areas respond to mainchallenges in the creation of the ERA and thestrengthening of European competitiveness and theknowledge-based economy in particular. They aim tobring about European added value by assembling acritical mass of resources. Special attention is givento innovation and the initial development of highlyinnovative enterprises in areas of vital interest toEuropean competitiveness, as well as exploratoryresearch 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 Europeexploit breakthroughs achieved in the decoding ofgenomes of living organisms, particularly for the ben-efit of public health and citizens and to increase thecompetitiveness of the European biotechnologyindustry. It is intended to facilitate the integration ofpublic and private research capacities acrossEurope, increase coherence and achieve criticalmass. Research can be multidisciplinary, taking intoaccount the interactions between technology andbiology and enabling practical applications from thescientific knowledge in this area. An important objec-tive in the implementation of this activity is theinvolvement of all stakeholders including those in dif-ferent industrial sectors, the health sector, policy-making institutions, patients and experts in a varietyof issues, including ethics, that criss-cross. Theactivities will enhance the European biotechnologyindustry, foster the development of the Europeanstrategy for health and improve the framework condi-tions for innovation.

The area includes two distinct research priorities,namely advanced genomics and its applications forhealth, and activities to combat major diseases, suchas cardiovascular diseases, diabetes and rare dis-eases, cancer and major poverty-linked infectiousdiseases. It also includes activities to acquire a bet-ter understanding of the functions of the brain andthe nervous system.

Information society technologies

IST has become Europe's second most importantsector of the economy with an annual market of EUR2,000 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 ischanging life and work patterns and is central to theliving standards of European citizens. Moreover, it isan essential area of investment and progress for anyregion 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 thedevelopment in Europe of both hardware and soft-ware technologies. On the one hand, they aim toincrease the competitiveness of the European ISCindustry and on the other to allow citizens in allregions the possibility of fully benefiting from thedevelopment of the knowledge-based society.Successes such as in mobile communications as aresult of the global system for mobile communica-tions (GSM), which is now facing the development ofthe next generation of systems, can place Europe ina leading position in global competition. Importantinvestments are directed in this area through co-ordi-nated efforts by public and private sectors. The focusis placed on technologies where computers and net-works are part of the everyday environment andinvolve a wide variety of applications and services.This describes the vision of ambient intelligence, ofan interactive intelligent environment where humanbeings are driving the knowledge-based economyand society.

In short, the actions involved in this area aim at inte-grating research into the technological areas that arethe main interests of citizens and the business com-munity, including the main challenges of IST for thefuture shape of work and the workplace. Such areasare the all-digital world and the need to assert therights of citizens; access to IS for all; electronic andmobile commerce; e-learning; e-government andsystems for knowledge and corporate management;as well as distributed systems and platforms includ-ing systems based on global resource informationdatabase (GRID) for complex problems in modernsociety. Furthermore, a large area of effort will focuson communication technologies and computing,especially mobile wires and optical and broadbandcommunication infrastructures, such as the new gen-erations of communication systems and networksand the development of the next Internet generation,and distributed and embedded computer systems. Aspecial area of attention is components andMicrosystems, including nanoelectronics and micro-technologies, as well as quantum devices and newcomputing models and concepts. Research will alsofocus on information management tools and inter-faces, including cognitive systems and systemsbased on semantics and the processing of digitalinformation and multisectors capable of understand-ing human expression, such as language.

Nanotechnologies and nanosciences, knowledge-based multifunctional materials and new productionprocesses and devices

Manufacturing currently contributes a turnover ofaround EUR 4,000 billion to the European economybut needs important investments in research activi-ties in order to increase its competitive position at theinternational scale and at the same time promote theobjectives of sustainable development. This activityfacilitates the transition of the European productionindustry to a more knowledge-based and environ-

28


It is intended to facilitate the integration ofpublic and private research capacitiesacross Europe, increase coherence andachieve critical mass.



29

mentally friendly organisation, linked with new organ-isation paradigms, products and services, with abroad focus on quality and value-added characteris-tics. New materials and nanotechnologies play a cru-cial role in successful technological solutions and theapplications of research and innovation in this areaaffect a broad range of production activities.

Europe has considerable expertise is areas such asnanomanufacturing and nanochemistry and there arepotential markets of tens of billions of Euro in areasrelated 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 commercialpotential and represents a future market of EUR1,000 billion. The activities are aimed at strengthen-ing the aeronautics and space industries and pro-moting their global competitiveness, as well asimproving safety and environmental protection.

Food quality and safety

This area in Europe accounts for approximately 2.6million jobs with an annual turnover of around EUR600 million. SMEs are particularly important as theyrepresent 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 inparticular in biotechnology and taking into accountthe results of post-genomic research, as well as tocontrol health risks related to environmentalchanges. 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 'fromfork to farm' approach or, in other words, of makingconsumer protection the main driver in food researchactivities. A number of research priorities have beenidentified in this thematic area, such as the epidemi-ology of food-related disease, the impact of food onhealth, 'traceability' processes in the food productionchain, new production methods and technologies,and environmental health risks.

Sustainable development, global change andecosystems

Actions in this area are intended to further sustain-able development as emphasised in the GöteborgEuropean Council, particularly in areas of renewableenergy, transport, the sustainable management ofEurope's land and marine resources and preservingthe equilibrium of ecosystems. Activities aim in par-ticular to promote changes in energy consumptionbehaviour leading to an energy-intelligent Europe.New approaches to mobility with less waste andemissions 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 areresponsible for the great majority of the EuropeUnion's emissions that, under the 1997 Kyoto proto-col and in line with Europe's sixth environment actionprogramme, are to be reduced by 8% compared withthe 1990 levels in the period 2008 to 2012. Theactions 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 toreduce greenhouse emissions while ensuring the

security of energy supply, and to increase the use ofrenewable 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 growingproblem of additional traffic to already congestedtransport networks. This requires research activitiesand innovations to improve the European system at

the same time that these will lead to an enhancementof the competitive position of Europe in the produc-tion and operation of transport means and systems.'Global change and ecosystems' comprises researchactivities in the area of the complex changes in thephysical, chemical and biological components of theEarth system and especially the effect of humanactivities on global change, as well as activities topromote the sustainable use of natural resources,preserve ecosystems and protect biodiversity.

Citizens and governance in a knowledge-basedsociety

The activities carried out in this area are intended tomobilise and co-ordinate the necessary Europeanresearch 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 itscitizens, on the one hand and between its citizensand institutions, on the other. Actions will focus on

the study and development of the knowledge-basedsociety and Europe's transition towards this, as wellas the issue of social cohesion, especially withrespect to the Lisbon objectives of Europe becomingthe most competitive and dynamic knowledge-basedeconomy in the world, capable, of sustained eco-nomic growth providing more and better jobs andgreater social cohesion. Questions of citizenship,democracy and new forms of governance are partic-ularly relevant in this context.

Specific activities covering a wider field ofresearch

Include three main categories of action: - Supporting policies and anticipating scientific and

technological needs, which refers to activities insupport of Community policies and research thatresponds 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 westernBalkans, and Russia and the new independentstates (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 activitiesto stimulate technological innovation, utilisation ofresearch results and transfer of knowledge and thesetting up of technology businesses. These activi-ties complement the activities relating to innovationunder the specific 'Focusing and integratingCommunity research' Programme. They aim topromote networking and co-operation and encour-

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New approaches to mobility with less wasteand emissions and a reduction in the impactof economic activities on the environmentare encouraged.



31

age learning, to experiment with new approachesand tools on research and innovation, for exampleinnovation clusters, and to put in place services forthe support of research activities and entrepre-neurial innovation. Especially important in this con-text is the encouragement of regional innovationpolicies and transregional co-operation that aimsto provide a European platform for mutual learningamong regions and stimulate regional policy-mak-ing with respect to innovation. These activities will

complement the activities carried out under theStructural Funds and will include the networking ofregions and the funding of experimental projectsfor new approaches to regional innovation policies.

- Human resources and mobility, which includesactivities that promote transitional mobility for train-ing expertise and the transfer of knowledge. Theaim is on the one hand to build scientific excellencein Europe and on the other to help Europe becomemore attractive to world class researchers.

- Research infrastructures, which includes activitiesto promote the optimum use of, including accessto, research infrastructures and to support theidentification and, in duly justified cases, the set-ting up of advanced research facilities of Europeaninterest.

- Science and society, which includes activities toencourage harmonious relations between scienceand society, the awareness of society in respect to science and informed dialogue betweenresearchers, industrialists, political decision-mak-ers and citizens.

Strengthening the foundations of the EuropeanResearch Area

The 'Strengthening the foundations of the EuropeanResearch Area' activity comprises measures to stepup the co-ordination and support for the develop-ment of RTD policies in Europe, including measuressuch as the opening up of national programmes. Thetotal activity budget is EUR 320 million and is allo-cated to two types of activities, namely support forthe co-ordination of activities (EUR 270 million) andsupport for the coherent development of policies(EUR 50 million).

The ERA-NET scheme is the principal means underthe 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 2Focusing and Integrating Community Research ProgrammeBudget

AmountTypes of activities(Milions d’€)

Priority Thematic Areas of research

Life sciences, genomics and biotechnology for healthAdvanced 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 productionprocesses 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-ordinationacross Europe. ERA-NET will facilitate the exchangeof information and good practices and the develop-ment of complementarities through the networking ofresearch 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 thedifferences in the organisation of research in differentstates and regions and allowing the partners to learnfrom 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 isimplemented through co-ordination actions of a fewyears duration and Community funding of up to 3 mil-lion € and specific support actions for projects with amore limited scope and timescale (one year, withCommunity funding up to 200 000 €). The researchactivities that can be funded for the additional costsof co-operation and co-ordination must be strategi-cally planned and executed at regional or nationallevel and financed or managed by national or region-al public bodies or structures closely related to ormandated by public authorities.

5. The Instruments of the SixthFramework Programme

The various activities under the specific pro-grammes are to be implemented through a range ofinstruments, referred to as 'indirect RTD actions', towhich the Community will contribute financially. Inaddition, the Community will undertake activitiesimplemented by the Joint Research Centre, referredto as 'direct actions'. The JRC will generally provideindependent customer-driven support within itsareas of specific competence, such as activitiesrelated to food and chemical products, health, envi-ronment and sustainability.

Two main new instruments (networks of excellenceand integrated projects) have been introducedunder FP6 that aim to attract the largest and mostambitious projects with the highest financial contri-bution from the Community in actual term.

Networks of excellence (NoE) aim to strengthen anddevelop Community scientific and technologicalexcellence by means of the integration at theEuropean level of research capacities currentlyexisting or emerging at both national and regionallevel. Each network will also aim at advancingknowledge in a particular area by assembling a crit-ical mass of expertise. This instrument will also fos-ter co-operation between universities, research

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Table 4Strengthening the foundations of the European Research AreaProgramme Budget


Support for the co-ordination of activities 270

Support for the coherent development of policies 50

Total 320

Table 3Structuring 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



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centres, enterprises (including SMEs) and scienceand technology organisations. The activities con-cerned will generally have long-term (the durableintegration of research activities) and multidiscipli-nary objectives. A network of excellence will beimplemented by a joint programme of activitiesinvolving some or all of the research capacities ofthe 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 impacton the spreading of knowledge and excellence anddissemination of the results of research activitiesoutside the network.

Integrated Projects (IP) are designed to mobilise acritical mass of research and technological develop-ment capacities and competencies in order to pro-mote Europe's economic competitiveness and toaddress major societal needs. Integrated projectsaim at specific results in terms of products,processes, services etc. Like 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 isimplemented through a joint programme of action,integrated projects comprise a coherent set of com-ponent actions. The activities include research,technological development and/or demonstrationas well as management co-ordination and activitiesfor the use of knowledge and promotion of innova-tion, depending on the objectives of the project.

Besides the new instruments, more traditional onesare also used under FP6 including specific targetedresearch or innovation projects, specific researchprojects for SMEs (the co-operative researchscheme that is an evolution of the CRAFT scheme in

previous framework programmes, and the new col-lective research scheme initiative that follows a pilotaction in FP5, which involves large communities ofSMEs7 through their associations or groupings),actions for human resources and mobility, and inte-grated infrastructure initiatives. In addition, co-ordi-nation actions, specific support actions and theparticipation of the Community in programmesundertaken by several member states pursuant toarticle 169 of the Treaty (see also diagram) may beapplied throughout the programme. The appropri-ate instrument depends on the scope, objective andsize of the action. The instruments generally involveuniversities or institutions of higher education,research organisations and enterprises, includingSMEs. The activities include research, dissemina-tion, transfer and exploitation of knowledge as wellas analysis and evaluation of the economic andsocial impact of the technologies concerned andthe factors involved in their implementation. Actionsare 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-ticular, the importance of the new instruments isrecognised as being an overall priority means toattain 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 ofthe calls for proposals and through inde-pendent peer review.

simplification and European added value, namelyadditional impact and results in relation to what isalready undertaken at national level. While the newinstruments generally apply to very large and ambi-tious projects, size is not a criterion for exclusionand access to them is ensured for SMEs and othersmall entities.

6. SMEs and the Sixth FrameworkProgramme

Small and medium-sized enterprises (SMEs) repre-sent the overwhelming majority of enterprises inEurope. They are the main creators of new jobs andsource of dynamism and change in new marketsand, as the largest business community, they alsoform a highly heterogeneous group. Despite theirdifferences, however, all SMEs are confronted withthe increasing competition resulting from the inte-gration of the European internal market and eco-nomic globalisation. In order to respond to thesepressures, constant innovation and adaptation toeconomic and technological developments are nec-essary, together with the need for relations of co-operation and partnership with business and otherinstitutions, expansion into new markets and thediscovery or creation of new business opportuni-

ties. In short, this requires innovation, relations ofco-operation within a competitive economic envi-ronment and effective strategies of internationalisa-tion.

The Sixth Framework Programme for Researchattaches great importance to the participation ofSMEs, which will participate mainly through theactivities implemented under the Priority ThematicAreas of research within Networks of Excellence(NoE), Integrated Projects (IP) and Specific TargetedResearch projects. At least 15% of the budget relat-ing to the seven thematic priorities FP6 has beenset aside for SMEs, corresponding to at least EUR1,700 million. Special efforts are made to facilitatethe the participation of SMEs in the new instru-ments.

The major part of the budget of the ThematicPriorities being allocated to SMEs is expected to bechannelled through Integrated Projects. IPs are wellsuited to include SMEs given their main character-istics, especially objective-driven research, knowl-edge deliverable and medium to large scale. Theoptimal participation of SMEs in an IntegratedProject can further its objectives of critical massand ambition, and SME involvement constitutes oneof the criteria for assessing the quality of the con-sortium of an Integrated Project Proposal. SMEscan participate in an Integrated Project at anystage, from its start through to a later stage ofimplementation. Technological development, take-up, demonstration and training activities, which aremain components of an Integrated Project, can allinvolve 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 formof actions on Collective Research and Co-operativeResearch are expected to have an important impacton the research capacities of SMEs. Theseschemes mainly address the large community ofSMEs in need of innovation but with limitedresearch capabilities of their own. A total budget ofEUR 430 million has been allocated to these 'hori-

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The Sixth Framework Programme for Researchattaches great importance to the participa-tion of SMEs.



35

zontal research activities involving SMEs'.Economic and Technological Intelligence activitiesare also funded under the Sixth FrameworkProgramme. These projects will be carried outmainly by intermediaries (e.g. SME National ContactPoints, industrial federations, networks and associ-ations of research performers, professional associa-tions, chambers of commerce), working with/for theinnovation players as well as organisations with theappropriate expertise.

7. Conclusions

The Sixth Framework Programme provides impor-tant means of support for the research and techno-logical development activities of businesses,research institutions and universities. It promotesimprovements in technological capacities, produc-tion of new knowledge, innovation, learning andmobility of human resources, and can play animportant role in helping regions and economies toachieve a higher degree of economic competitive-ness. To succeed in the aim of making Europe themost competitive knowledge-based economy in theworld, capable of providing a high quality of life forall of its citizens, important efforts are required notonly at the European and national level but also andin particular at the regional level, which is closest towhere production, research and innovation activitiesactually take place.

Some of the main points of this overview of the SixthFramework Programme are the following:

- The European Research Area requires the coher-ent implementation of European and national poli-cies and the free movement of knowledge andhuman potential in the European Union and aimsto provide an environment that attracts the bestresearchers, supports and encourages research

and technological development activities andresults in the increase of research and knowledgeto the highest international levels

- The Sixth Framework Programme (2002-2006) isexpected to make a major contribution to the cre-ation of the European Research Area. The totalamount for Community financial contribution toFP6 is EUR 17,500 million, of which (excludingthe nuclear activities of Euratom) EUR 16,270 mil-lion is arranged in three programmes, 'Focusingand integrating Community Research','Structuring the European Research Area' and'Strengthening the foundations of the ERA' (ortwo specific programmes).

- Regions play an important role in the constructionof the European Research Area, which requiresthe integration of research and developmentactivities at the regional, national and Europeanlevels.

- The Sixth Framework Programme for Researchattaches great importance to the participation ofSMEs, which will participate mainly through theactivities implemented under the Priority ThematicAreas of research within Networks of Excellence(NoE), Integrated Projects (IP) and SpecificTargeted Research projects. At least 15% of thebudget relating to the seven thematic priorities ofFP6, or at least EUR 1,700 million, has been setaside for SMEs,. Specific activities will allocate afurther EUR 430 million to SMEs.

- The Sixth Framework Programme introduces newinstruments for large scale and critical mass, andcontains seven priority thematic areas as well asother actions.

- The Sixth Framework programme seeks to involveall stakeholders. Businesses, universities,research centres and other institutions inCatalonia need to take account of the enormousopportunities that are opening up and participatein research activities under FP6, to promote thefuture competitiveness of the regional economy.


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* Roser Martí i Torres is legal advisor to the Generalitat de Catalunya (Government of Catalonia). As the head legal advisor to the Departament d’Universitats,Recerca i Societat de la Informació (Ministry of Universities, Research and the Information Society) of the Generalitat de Catalunya (Government of Catalonia) shetook part in the wording of the draft bill for this law.

LAW ON THE UNIVERSITIES IN CATALONIA. A SPECIFICREGULATORY FRAMEWORK FOR THE UNIVERSITIES IN THECATALAN UNIVERSITY SYSTEMRoser Martí i Torres *

Law 1/2003 of 19 February on the Universities in Catalonia (Llei d’Universitats 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 CATALONIAA 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 d’Universitats 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 Agència 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 theUniversities in Catalonia. The fullexercising of competence of theGeneralitat de Catalunya and Catalanuniversity autonomy.

Law 1/2003 of 19 February on the Universities inCatalonia (LUC) was adopted by the Plenary Assemblyof the Parliament of Catalonia and came into effect on 20February 2003 on publication in the Official Gazette ofthe Generalitat de Catalunya (DOGC no. 3826). The Lawconsists of a preamble, 165 articles, 12 supplementaryprovisions, 7 temporary provisions, 1 derogatory provi-sion and 3 end provisions.

Law 1/2003 is the first law to be adopted by theParliament of Catalonia that in general terms incorpo-rates the different aspects of competence as regards theuniversities. The capacity to legislate over the universitiesemanates from article 15 of the Estatut d'Autonomia deCatalunya (EAC) (Statute of Self-Government for

Catalonia), which recognises the full jurisdiction of theGeneralitat de Catalunya (Government of Catalonia) toregulate and administer education throughout Cataloniaon all levels and in all forms, means and areas within thescope of its competence, without prejudice to article 27of the Spanish Constitution and Constitutional Lawswhich, pursuant to the first section of article 81 of thesame, elaborate on this matter; the faculties attributed tothe Spanish State according to section 1, number 30 ofarticle 149 of the Spanish Constitution, and the highlevel of necessary inspection to ensure compliance andguarantee.

In making specific reference to the full jurisdiction of theGeneralitat de Catalunya in education, the wording ofarticle 15 (EAC) thereby makes a distinction between thisand its exclusive jurisdiction recognised in articles 9 and12 (EAC). It also distinguishes it from the Generalitat deCatalunya's competence in legislative and executivefunctions in the instruments systematised in article 10(EAC) and clearly covers spheres that are more extensivethan the mere execution of State legislation in matterslaid down in article 11 (EAC). This is the only area in whichthe Generalitat de Catalunya is attributed full jurisdiction.

The bill for the Estatut de Sau (Sau Statute), which wasadopted by the Legislative Assembly of the Parliament ofCatalonia, initially attributed exclusive competence to theGeneralitat de Catalunya in matters of education 1.According to the wording that was finally adopted aftera highly interesting debate in the session on 13 August1978 2, the exclusive competence initially attributed tothe Generalitat de Catalunya was finally defined as fullcompetence, as currently laid down in article 15 (EAC),even though this term had never been used before ineither the Spanish Constitution or the Statute and waswithout precedent in current doctrine at that time.

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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 Commissión Constitucional (Constitutional Commission) and the Delegació de l’Assemblea de Parlamentaris de Catalunya (Delegation of theLegislative Assembly of the Parliament of Catalonia), on the grounds of the drafting of the article regarding education proposed by the Legislative Assembly of theParliament of Catalonia.

Law 1/2003 is the first law to be adopted bythe Parliament of Catalonia that in generalterms incorporates the different aspects ofcompetence as regards the universities.

“Over and above excelling and distinguishing themselves,it is the contribution made by the Catalan universities andCatalan culture to the spiritual heritage of humanity thatreflect the true spirit of our nation”. Bill for the Statute of Autonomy for the CatalanUniversities, 1918.

This first stage of the statutory provision for education,together with the express reference made to the SpanishConstitution by the extensive wording of article 15 of theStatute, 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 constitutionallaws, 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 achangeable, evolutionary process, at times wide-rangingand at others very limited, pursuant to the regulations con-tained in the different constitutional laws that have followedone after another 3 and the definitions contained in thenumerous 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 statutoryenactment. Ultimately, however, full competence hasdrawn progressively closer to the development of legislativeand 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 toinstruct and educate and therefore to also put people'sright to education into effect, has been a subject of spe-cial interest throughout history. The enormous importanceof the educational model that regulates and is applied bysociety 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 educationis one of the most important stumbling blocks and highlycontroversial elements in the configuration and adoptionof 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 article15 of the Statute of Autonomy for Catalonia and theunavoidably long sessions of procedure and approval ofparticular constitutional laws on the same subject, themost recent examples being Organic Law 6/2001 of 21December on the Universities and Organic Law 10/2002of 23 December on Quality in Education.

Within this context, the fact that the process of interpre-tation and enactment of article 15 (EAC) has beenambiguous, troublesome and one of constant changeand 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 whenthe regulatory competence of the Autonomous RegionalCommunities was being reduced to a minimum, pursuantto the ruling of the Spanish Tribunal Constitucional5/1981 in resolution of an appeal against the unconstitu-tionality of Organic Law 5/1980 of 19 June on the Statuteof School Institutions (LOECE), which was contested bythe Catalan and Basque Socialist parliamentary groups,together with ruling 77/1985 passed by the SpanishTribunal Constitucional in resolution of the prior appeal bythe Coalición Democrático against the unconstitutionalityin connection with approval of the definitive project forOrganic Law 8/1985 of 3 July regulating the right to edu-cation (LODE), the scope of regulatory competence of theAutonomous Regional Communities was being reducedto 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 factthat the Spanish Tribunal Constitucional had acceptedthat the competence of the Spanish State to lay down thebasic 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, thatregulated 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 theparticipation, evaluation and governing of teaching institutions, and the most recently adopted Organic Law 6/2001 of 21 December on Universities and OrganicLaw 10/2002 of 23 December on Quality in Education.

were mandatory for the Autonomous RegionalCommunities and were exempt from modification bythem. This reduced the scope of autonomous regulationto the mere approval of rules of procedure enacting basicregulations of the Spanish State.

Subsequently, in Ruling 137/1986, which was issued fol-lowing the contesting by the Spanish State of theBasque Parliament's Law 15/1983 of 27 July, wherebythe Euskal Ikastolen Erakundea was created, theSpanish Tribunal Constitucional substantively modifiedits previous doctrine in recognising the competence ofthe Autonomous Regional Community to legislate. Theaforementioned ruling thereby became one of the maxi-mal points of reference for the recognition and structur-ing of the regulatory competence of the AutonomousRegional Communities. The concept of basic regulationcame to be defined as broad outlines or essential crite-ria, thus contradicting the characteristic regulatorynature of a regulation, which expresses in concreteterms the scope of regulation. The Spanish TribunalConstitucional called for the express collaboration ofboth constitutional and ordinary law to proceed with theregulation of the area of education and in this way defin-itively opened the way to autonomous legislation.

Once the initial doctrinal dissertation concerning theeffective scope of autonomous legislative competencehad been transcended, along with the consolidation ofthe interpretation whereby full competence enables theGeneralitat de Catalunya by law to adopt its ownParliament and specific policies regarding educationwithin the framework of the Constitution and the entirebody of constitutional principles applicable to the subject,the university community in Catalonia began to call insis-tently for its own universities law. This demand, whichwas made right from the time of approval of the Statute

of Autonomy and more particularly once the transfer ofservices relating to universities 4 from the SpanishGovernment to the Generalitat de Catalunya had becomeeffective, gained momentum particularly when Parliamentadopted legislation relating to the universities.

The origins of the LUC thus go back to the demandsmade 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, theCatalan University System is now regulated by legislationthat brings together the core elements of a model that isadapted to the particular needs and characteristics ofCatalan universities. Only sectorial laws on specificaspects had been hitherto adopted, such as Law26/1984 of 19 December on university co-ordinationand the setting up of social councils and much later Law15/1998 of 28 December on the Consell Interuniversitaride Catalunya (Inter-university Council of Catalonia) andLaw 16/1998 of 28 December on the social councils inthe 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 theuniversities, society and the educational authorities,which the new law respects and reinforces.

The LUC will need to be developed, interpreted andapplied with the utmost respect for the university auton-omy recognised in article 27.10 (EC), which the SpanishTribunal Constitucional has closely associated with aca-demic freedom and therefore the freedom of teaching,research and studies.

The Catalan Law establishes full recognition universityautonomy, which is constitutionally recognised, as beingthe main fundamental provision, which assumes thateach 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 SpanishGovernment to the Government of Catalonia (BOE no. 62 of 13 March 1985).

er education and assumes the full freedom to organiseand operate in a self-governing capacity and complieswith the duty of rendering account to society in theterms 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 namesand events that have marked the history of Cataloniaand its universities, as well as the long history of theCatalan universities which date back many centuries.The beginnings of the Catalan university date from theEstudi General de Lleida (Lleida General College), estab-lished by King Jaume I in 1300 and run on the principleof 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, itwas from the mid 18th century, following the closure ofthe original universities in 1714 at the end of the SpanishWar of Succession and the abolition of all Catalan insti-tutions, that modern and practical educational activitiesbegan to receive support from the Junta de Comerç inthe city of Barcelona. The restoration of the University ofBarcelona in 1837 made an important contribution touniversity development and led to the advent of out-standing intellectuals and professors in different areas ofknowledge, including Milà 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 thetime when it was founded, is recognised in the introduc-tion of the law. Express mention is also made of theinternal university reform within the universities them-

selves, a movement that also put the Catalan politicalautonomy movement back on course, which generateda series of ideals embodied in the CongressosUniversitaris de Catalunya (Catalan UniversityCongresses) held in 1903 and 1918. These have sincecontinued to form part of the heritage of the CatalanUniversity System through the establishment of the corevalues of good university practice based on the princi-ples of autonomy, freedom of speech, pedagogicalrenewal, the quality of university education and socialand cultural commitment to Catalan society. The pream-ble also refers to the important step forward made withthe setting up of the Universitat Autònoma de Barcelonain what was a new concept for the modern university,with rectors such as Jaume Serra Hunter o Pere Boschi Gimpera. Mention is also made of an estatut d'autono-mia propi (statute of self-government) proclaimed in1933 during the period of office of Pompeu Fabra aspresident of the Patronat (board of trustees), whichremained in force until 1939 (including interruptions), asa result of which the regulation of non-tenured teachingstaff (one of the main features of the LUC), the inclusionof students in governing bodies and the renewal of studyprogrammes all stand out.

The fundamental role of the universities during the Francodictatorship 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 universityautonomy 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 constituteinstitutional guarantees.

The origins of the LUC thus go back to thedemands made over a long period of timeby Catalan institutions, the different bodiesand groups in the university community andsociety in general.

calls for freedom and as an affirmation of the functioningof society is also given special mention in the preamble.This includes the importance of the activities of theSindicat Democràtic d'Estudiants (Democratic StudentsUnion) of the University of Barcelona, with the events ofthe “caputxinada” at the Sarrià convent, where theManifesto for Democracy in the University was presentedand, subsequently, the 1975 Bellaterra Manifesto, whichlaid the foundations for renovation of the Catalan univer-sities and contributed to the process of political andsocial transition towards democracy in Spain. The 3rdCatalan University Congress was held in 1978 with theintention of seeking an alternative university policy withinthe context of the recently established democracy. TheConsell Interuniversitari de Catalunya (Inter-universityCouncil of Catalonia) was also established that same yearas a co-ordinating authority between the universities andwent on to become a forum for open and permanentreflection that continues to serve as a key co-ordinatingelement 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 currentuniversity system in Catalonia. It also comments on itsextensive geographical distribution as a result of the set-ting up and recognition of universities throughoutCatalonia, which has significantly contributed to stimulat-ing the areas and municipalities where the universities and

university facilities are located. Recognition of theUniversitat Oberta de Catalunya (UOC) (Catalan OpenUniversity), which offers distance education with the guar-antee of best quality education and technology, was alsoimportant and the UOC has come to serve as an interna-tional point of reference. The universities in Catalonia havelikewise enhanced their relations with universities in otherparts of the world where Catalan is spoken through theXarxa d'Universitats (Universities Network), which isorganised by the Institute Joan Lluís Vives. The LUC,which has inherited a long and extensive university tradi-tion, vindicates the claim to Catalan political autonomy asthe inspiration for the setting up of a appropriate frame-work for higher education and seeks to contribute to thesetting up of a Universal and particularly Europeaniseduniversity system by enhancing the contribution made byCatalan universities to university education as a whole.

The preamble describes the momentum that followedthe adoption of Law 26/1984 on university co-ordina-tion, which established the social councils and adaptedthe Consell Interuniversitari de Catalunya (Inter-universi-ty Council), which had been in existence since 1978, tothe 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 stilllacking any effective powers in matters of education. TheLaw seeks to incorporate, with the necessary adapta-tions, the Catalan regulations that followed on from theadoption of Laws 15/1998 and 16/1998 on the ConsellInteruniversitari 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 inimportant aspects regarding the role of society in theuniversities and the form of representation in the univer-sities that society is to have.

The preamble ultimately sets the Law within the contextof the idea of democratic university, following the breakwith the centralist Spanish university system with the

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The preamble of the Law describes the longuniversity tradition in Catalonia and pointsout the substantive change brought about bythe progressive consolidation of the currentuniversity system in Catalonia.

approval of the 1978 Spanish Constitution that express-ly laid down university autonomy in point 10 of article 27and started by establishing the university model laid outin the previous Organic Law 11/1983 of 25 August onuniversity reform (LRU), which considered the universitynot as the exclusive heritage of the members of the uni-versity community but as a public service attributable tothe general interests of society as a whole.

Prior to the LUC, there was no broad framework with alegal basis in Catalonia to regulate, amongst other things,a policy providing for teaching staff from the CatalanAutonomous Regional Community in the Catalan univer-sities, an issue that has long been considered to beessential although Organic Law 6/2001 of 21 Decemberon the Universities does recognise the competence ofthe Autonomous Regional Communities to regulate thelegal status of teaching staff contracted for universitypositions, in spite of certain limitations in its contents 6.

Within this historical and legal context, and with the clearintention of giving a new, 21st century impetus to theuniversities, the Law makes a clear commitment toEurope and for this reason it is clearly expressed in thebeginning articles that the aim is to plan the CatalanUniversity System within the context of the Europeanarea of higher education. This fundamental and essentialdeclaration is made specific in a series of fundamentalprinciples that are detailed throughout the Law and thatcan 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 geographicaldiversity and balance and that progresses towardsthe full integration of the Catalan universities in theEuropean 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 fullintegration and promotion of the Catalan universitiesin Europe and worldwide.

1.2. The threefold distribution of compe-tence with regard to the universities.

The system for distributing competence, which devolvesupon the Spanish State, the Generalitat de Catalunya andthe universities themselves, needs to be specific distin-guished and, at the same time, requires the involvementof all three authorities in the different regulatory and exec-utive areas in respect of university issues, each one inaccordance 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 theConstitution and established by law.

b) Exercising of the exclusive competence that theConstitution 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 towatch over the equality of all citizens in the exercisingof the right to education, establish the bases of thelegal arrangements and regulate the conditions of eli-gibility, awarding and official approval of academicand professional qualifications.

c) Exercising of the competence of the Generalitat deCatalunya recognised in articles 15 and 9.7 of itsStatute of Autonomy.



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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 wellas being the central issue of the bilateral negotiations with the Spanish State over the LOU.

The difficulty that arises with the constant redefinition ofareas of joint competence between the three authoritiesand the expansive and centralist ideas of the SpanishState in the defining of the foundations for education hasgenerated a large number of appeals and constitutionaldisputes relating to the universities, many of which havealready been resolved by the Tribunal Constitucional fol-lowing the adoption of the LRU, which was revised inRuling 26/1987 on 27 February 7. The frequent tensionand claims of jurisdiction made in connection with thepassing and development of the LOU, which willundoubtedly serve as a new milestone for constitutionaldoctrine as applied to the universities in the 21st centu-ry, are still however to be resolved.

Within this legal and doctrinal framework, the CatalanUniversities Law (LUC) has endeavoured to make abroad interpretation of the competence of theGeneralitat de Catalunya through the regulation ofimportant aspects such as university teaching staff andresearchers, and also in the adaptation of the legal sta-tus of the Agència per a la Qualitat del SistemaUniversitari de Catalunya by attributing it with importantfunctions over the universities and especially contractedteaching personnel and researchers.

2. The essential core structure of theCatalan Universities Law: the CatalanUniversity System

The concept of university system used in the Law identifiesand provides for the Catalan model as a whole while dis-tinguishing it from other state or autonomous universitysystems. The comprehensiveness of the Catalan UniversitySystem, which is made up of the different universities in theCatalan system together with universities in other systems,enables the essential features of planning to be applied inthe same way to all universities in Catalonia. This unifiedway 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). Theuniversities in the system can specialise and develop theirdistinctive features through their exercising of autonomyand in their individual university policy. Moreover, in itsappraisal of the system's diversity, the Law states that uni-versity planning needs to be based on specialisation anddiversification within the context of inter-university co-oper-ation and that, in accordance with article 116, this must bea criterion to be followed in the development of universityprogrammes. The Spanish Tribunal Constitucional hasdeclared that university autonomy devolves upon each par-ticular university and not to the university system as awhole, according to the literal meaning of article 27.10 EC.For this reason, each one can adopt the decisions that itconsiders appropriate and these do not necessarily have tocoincide with those adopted by other universities.

2.1. The universities that make up theCatalan University System.

The Law is explicit in its declaration that the CatalanUniversity System consists of the public and private uni-

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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, 131/1996and 188/2001, amongst others. Mention must also be made of the presentation of various appeals of inconstitutionality on the adopting of the controversial LOUagainst certain of its provisions. (BOE no. 112 of 10 May 2002).

The Catalan Universities Law has endeav-oured to make a broad interpretation of thecompetence of the Generalitat de Catalunyathrough the regulation of important aspectssuch as university teaching staff andresearchers.

versities that are currently established in Catalonia andwhich appear in article 2. These are the University ofBarcelona, the Universitat Autònoma de Barcelona(UAB) (Autonomous University of Barcelona), theUniversitat Polytechnica de Catalunya (PolytechnicUniversity of Catalonia) (UPC), the Pompeu FabraUniversity, the University of Lleida, the University ofGirona, the Rovira and Virgili University, Ramon LlullUniversity, the Catalan Open University (UniversitatOberta de Catalunya, UOC), the University of Vic, andthe Universitat International de Catalunya (InternationalUniversity of Catalonia). Universities set up or recognisedby Parliament in the future will also form part of theCatalan University System.

This definition of the composition of the CatalanUniversity System does not include:

a) The Universidad Nacional de Educación a Distancia(National Distance Learning University, UNED), aSpanish state university that provides university dis-tance education throughout the whole of Spain,

b) The Universidad International Menéndez Pelayo, anautonomous body under the Spanish Ministry ofEducation, Culture and Sport, which basically organ-ises post-graduate education.

c) Universities set up in Catalonia on the initiative of theCatholic Church and that, pursuant to supplementaryprovision no. 4 of the LOU, do not need parliamentarylaws to be recognised,

d) Universities set up or recognised through the applica-tion of article 4 of the LOU, note b), by law by theSpanish Parliament (Cortes Generales), at the propos-al of the Government, in accordance with theGoverning Council of the Autonomous RegionalCommunity of the region in which they are established.

Article 4 of the LOU in fact authorises the SpanishGovernment to support the universities on a nation-widebasis and although this article has been legally disputed, asrecorded in the procedural dossier of the draft, it wasendorsed unaltered 8. Supplementary provision no. 1 of theLOU reserves for the Parliament (Cortes Generales) andSpanish Government the jurisdiction that the Law attributes,

respectively to the legislative Assembly and the GoverningCouncil of the Autonomous Regional Communities, withregard to the universities established or recognised bySpanish parliamentary law in accordance with article 4, andin view of the special characteristics and the scope of theactivity of the UNED and the Universidad Menéndez Pelayo.



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The concept of university system used in theLaw identifies and provides for the Catalanmodel as a whole while distinguishing it fromother 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 Community’s

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 Constitucionaldeclared 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 haveagain been subject to revision by the Tribunal Constitucional in different appeals of inconstitutionality.

Law 1/2003 recognises the leading role befitting theCatalan Parliament concerning new universities set up inCatalonia and accordingly article 101.2 establishes thatin order for universities to be established or recognised,as laid down in article 4.1, b) of the LOU, the accord ofthe Executive Council of the Generalitat de Catalunyamust be ratified by Parliament. The Catalan Law therebyrestores Parliament with its ultimate decision-making

capacity over the universities in Catalonia, in spite of thefact that the LOU imitates the LRU in continuing toreserve university establishment and recognition as amatter to be legislated over by the Spanish Parliament(Cortes Generales). Application of this article, whereappropriate, will undoubtedly be the subject of debateand special attention.

2.2. Objectives of the Catalan UniversitySystem. The mission of teaching, researchand study activities.

Law 1/2003 provides for the fundamental objectives thatare to be respected and sought after by all universities inthe Catalan University System. These objectives alsosingle 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 andtraining for professional practice.

b) The encouragement of critical thinking, the culture offreedom and pluralism, and the transmission of civic andsocial values characteristic of a democratic society.

c) Enrichment of the intellectual, cultural and scientificheritage of Catalonia with the object of overall socialand economic progress and sustained development.

d) The active use of the Catalan language in all areas ofknowledge and their contribution to the process ofnormalising the use of Catalan in all scientific, cultur-al and social contexts.

These objectives as applied to academic activity arereflected in articles 7, 18 and 20 of the Law. It therebystates that the mission of university study programmesis to prepare and train students on an all-round basisthat contributes to the development of each individual'spersonality and the training of university students whoare creative and committed to their professions, as wellas scientific progress and the future of Catalan society.The mission of teaching is to ensure quality universitytraining through recognised professional competenceand innovative and effective methodologies. The missionof research consists in giving impetus to advances inknowledge with training, research and technologicalinnovation and ensuring that new knowledge and tech-nologies are made available to society through theimplementation of appropriate transfer mechanisms.The learning of value systems within a university contextand the enhancement of student abilities are consideredin article 5 an integral part of the overall process of a stu-dent's educational and training experience and for thisreason the universities need to stimulate and support ini-tiatives that are complementary to official education thatlead to the transmission of the values of freedom,responsibility, social co-existence, solidarity, participa-tion and full citizenship.

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9 Brussels, 21.11.2001 COM (2001) 681 in fine.

The mission of teaching is to ensure qualityuniversity training through recognised pro-fessional competence and innovative andeffective methodologies

The European Commission white paper on Europe andYouth: a New Impetus 9 considers that formal learning,structured around educational objectives that lead to aqualification or certificate, and non-formal education,which may not necessarily lead to any qualification butthat is structured and intentional, need to be comple-mented. In the consultation process carried out duringthe preparation of the white paper, young European uni-versity students showed that they want more awarenessto the realities of present-day life with more flexibility andless rigidity on the part of all concerned in the process ofhigher education. The need for life-long education andtraining in all fields has demonstrated in recent years thatthe necessary competence can only be acquiredthrough learning in contexts that are formal, non-formalas well as informal and for this reason one of the recom-mendations of the Commission is to promote non-formaleducation as an integral part of the learning process andeducation, a recommendation that is also laid down inthe Catalan Universities Law.

Young people and youth associations that defend theidea 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 allthat the clear affirmation of an area of rights and free-doms is much more necessary today than that of aneconomic ideal for Europe and their wish for more activeparticipation in European integration and the defence offundamental values and human rights is stated in theproposals included in the Commission's White Paper 10.

Given its importance in terms of the objectives of theCatalan 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 thereforethe language of normal use in university activities needsto be underlined.

The use of the two official languages is determined byLaw 1/1998 of 7 January on official language policy, andthe Govern (Executive Council) of the Generalitat deCatalunya (Government of Catalonia) and the universi-ties, within the framework of this law and the scope oftheir 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 universitycommunity to learn Catalan. Article 6.4 of the LUCestablishes that teaching staff, apart from visiting andanalogous cases, must have a sufficient knowledge ofboth official languages in accordance with the require-ments of their academic work. The Executive Council ofthe Generalitat de Catalunya, pursuant to the prevailingregulation and through the Consell Interuniversitari deCatalunya, is to subsequently guarantee that suchappropriate knowledge is specified on appointment andassessment selection processes, as well as ensuringthat appointment and the incorporation of new membersinto the university community does not alter the normaluse of language in teaching activities and the process oflanguage normalisation in the universities. Note is madeof the drafting of article 6 and particularly section 4,



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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 youngpeople’s 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 aninteresting 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 beunderlined

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 firstsection of the article. Furthermore, article 22 lays downthat teaching staff and students have the right toexpress themselves in each case, either orally or inwriting, in their preferred official language in institutes of higher education and universities. Both theGovernment of Catalonia and the universities mustadopt appropriate measures to safeguard and promotethe use of Catalan in all areas of teaching, non-facultyand research activities. Article 24 lays down that teach-ing staff in centres of university education, except forvisiting 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 becomplied with.

In the usage made of the legal qualification contained inLaw 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 concerningthe use of language. The legal framework concerningthe Catalan language has been subject to controversy inthe 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, theessential content of the aforementioned regulations andtherefore policies relating to the use of language havenot been invalidated.

Contrary to what would be desirable and expected of alaw on universities in 2001, the LOU made no referenceor gave any consideration at all to the officialautonomous languages, nor to the ability of universityteaching staff or other members of the university com-munity to speak or understand these languages. Thediversity and wealth of the existing plurality of languagesin the European area of higher education is valued posi-tively and not considered as an obstacle to the mobilityof members of the university community if regulatedappropriately and in spite of the inevitable expansion andofficial ratification in favour of those languages that aremore extensively used 12. The signs of identity of a coun-try are the same as those of its universities and form partof its heritage.

The fact that the LOU makes legal reference to thepowers of the Autonomous Regional Community andthe universities themselves to establish the require-ments for language accreditation in the processes ofappointment to university teaching posts is particularlyuseful in relation to civil servant employees, especiallyconsidering the highly restrictive nature of the doctrineof the Spanish Tribunal Constitucional as regards theregulatory competence of the Autonomous RegionalCommunities over teaching staff with tenured posts inthe universities. This same recognition should havebeen given to contracted teaching staff although in thiscase mediation by the autonomous regional authoritiesis justified, amongst other reasons, by article 48 of theLOU, which attributes the Autonomous RegionalCommunities with the authority to establish their ownlegal status. Due to the lack of any direct regulation andwith a view to establishing the necessary legal protec-tion for intervention by the Generalitat de Catalunya andthe universities in this matter, one must turn to the bodyof constitutional principles and also the regulations of

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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 AutonomousRegional Communities that are applicable.

With regard to the language requirements in the appoint-ment and assessment of university teaching staff, onemust bear in mind the ongoing developments in the gen-eral doctrine of the Spanish Tribunal Constitucional withregard to appointment to the civil service and therequired level of knowledge of the languages of theAutonomous Regional Communities to this end. TheTribunal Constitucional has summarised its doctrine asregards the official status of a language to the effect thata language is understood be official “when it is a validmeans of communication between the citizens and thegovernment; 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 correspondingAutonomous Regional Community; and also when it car-ries with it a series of language rights, amongst which isthe 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 activeside, where one can express oneself in legal contextsand with government authorities, and a passive side,where one is addressed in the chosen language. Thesafeguarding of both depend, amongst other things, onthe specific legal situation of the individual, the level atwhich he or she is effectively subject to the institution inquestion, and the degree to which one assumes a realobligation with regard to a particular function. Decisionswith regard to these aspects can be made by the uni-versities, which will need to safeguard to the utmost theright to select teaching staff and students from theAutonomous Regional Community. The role of theConsell Interuniversitari de Catalunya in applying the

LUC will be important for it is in this authority where thelegal mandate whereby sufficient knowledge of languageis a requirement in the processes of appointment andassessment of teaching staff must be guaranteed. It isthe Generalitat de Catalunya and the universities thatjointly attain this objective and commitment together.

Moreover, the importance of the knowledge of foreignlanguages appears in article 6.6 of the Law, which laysdown 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 ofthese languages in university academic activities as wellas offering specific options in degree and foundationcourses. A knowledge of foreign languages is essentialfor promoting mobility and exchange and for this reasonyoung people in Europe call for education in foreign lan-guages that enables them to actively participate in themobility schemes introduced by the European Union 13.

Law 1/2003 places joint responsibility of university actionon all governmental authorities and expressly states thatthey must collaborate with the universities to help themachieve their objectives. The government, the universitiesthemselves and society in general must all combineefforts in order for the public university service to be of thehighest quality and efficiency with an increasingly broadrange of services aimed at a plurality of users and clientsin a society that is becoming increasingly complex.



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A knowledge of foreign languages is essentialfor 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 ismade 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 anduniversity centres and institutions is contained in article4.3 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 todetermine the basic requirements for the setting up andrecognition of universities, which will establish the meansand appropriate resources in order for the universities tofulfil their functions 14. During the development of the LRU,the Spanish Government established the regulations forthe requirements applicable in university institutes withouthardly any leeway for autonomous regulation, whichmotivated the Generalitat de Catalunya to present a claimof 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 AutonomousRegional Communities and universities that require this,and particular attention will need to be paid to enactmentby the Spanish State of article 5.3 of the LOU in order tomaintain the widest scope possible for autonomouscompetence and university autonomy with regard toorganisational structure and university institute policy,which is closely linked to policy for studies. Both of theseconstitute the essential structure of what is made avail-able in the Catalan universities and are the main purposeof 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 ProgramacióUniversitària de Catalunya (Catalan UniversityProgramme), the Pla d'Inversions Universitàries(University Investment Plan) and the new model for uni-versity financing, which has to provide sufficient fundingfor the universities to carry out their functions with eco-nomic and financial autonomy. One important newdevelopment of the Law is that, for the very first time, theUniversity Programme is open to the private universitiesthat request to be included, and are thereby represent-ed in the plenary session of the Junta del ConsellInteruniversitari (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 todetermine the minimum requirements for the setting up and recognition of universities, as well as the increase in the number of institutions and subjects atexisting universities, bearing in mind both classroom-based and distance learning education. Following the discussions between the different polítical groupsand with the clear opposition of Catalonia, which disagreed with the initial wording of the text on account of what it considered the reduccionist treatmentgiven to autonomous powers, as well as university autonomy and the university institutes, the final draft of the article was modified and the basic regulationwas 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 basicregulation 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 Governmentof 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 2December on regulation of the affiliation status of higher education teaching institutes and teaching centres to public universities (DOGC no. 2291).

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The government, the universities themselvesand society in general must all combine effortsin order for the public university service to beof the highest quality and efficiency

programme corresponds to the actual realities of theuniversity system in Catalonia.

Universities can create their own structures to developclassroom-based and virtual forms of education, asidefrom the basic structures enumerated in article 7.1 of theLOU 16. The concept of university campus is also incor-porated in the article, which draws on a long academictradition and is conceived as either bricks-and-mortar ora 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 sharingof personnel, centres and institutions, structures, educa-tional courses, research and services. The universitiesneed to facilitate the mobility of teaching staff,researchers and students on inter-university campuses,a measure that will help to consolidate the universitycommunity that, aside from the unique characteristics ofeach university, has come to be identified as a whole asthe university community of the Catalan UniversitySystem.

In its reference to the organisation of studies and struc-tures, the Law states the jurisdiction resting with theGeneralitat de Catalunya (in order to distinguish this fromthe jurisdiction reserved for the Spanish State), which isto be exercised by the appropriate department dealingwith university matters:

a) The setting up, modification and abolition in publicuniversities of faculties, technical schools or polytech-nics of higher education, university schools, universi-ty polytechnic schools, university research institutesplus 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 thedepartment with the agreement of the aforemen-tioned council. A prior mandatory report of the gov-erning body of the university is necessary withoutexception.

b) The recognition in private universities of the setting up,modification and abolition of centres referred to in theprevious section, at the proposal of the university.

c) Approval, prior to their setting up or abolition by theSpanish Government, of the establishment of univer-sity-dependent centres abroad where recognisedclassroom-based courses are given. On the contrary,no express attribute of the Generalitat de Catalunya ismentioned concerning the approval of the setting upof distance learning centres. Development of theguidelines will be necessary for this matter to beexpressed in concrete terms or, as the case may be,considered to the effect that neither the SpanishState nor the Generalitat de Catalunya have reservedany administrative scope of action as regards thisform of studies.

d) Authorisation of teaching institutions wishing to set upin Catalonia to give any type of education that leadsto 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 givingrecognised university qualifications, and the integra-tion of higher education institutions into a universityas the university's own centres. Action is dependentin all cases on the proposal of the social council,together with a prior mandatory report of the govern-ing body of the university.



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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 virtualforms of education that lead to recognised qualifications without any administrative involvement of the Government of Catalonia. Article 12 of Law 26/1984of 19 December on university co-ordination and the setting up of social councils established that other educational and research centres (not regulated asbasic structures under the LRU) were set up by decree by the Executive Council (Consell Executiu) at the proposal of the respective social council, with thestructure, form and conditions of funding also having to be approved by the decree. 17 This authorisation requires a favourable preliminary report from the Agència 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 universityresearch in the LUC is organised in two main blocks, thefirst of which consists of research centres where univer-sity research activities are mainly carried out, togetherwith departments and research groups (article 22)whereas the second is made up of university researchinstitutes (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. Researchinstitutes can also affiliate to public universities toacquire the condition of university institute. The settingup, modification, abolition, affiliation or disassociation ofuniversity research institutes is the responsibility of theappropriate department of the Generalitat de Catalunyathat deals with the subject of universities and acts at theproposal of the university social council or on its own ini-tiative and, in any case, with a prior mandatory report ofthe university governing body. Governmental interven-tion in university research institutes is more extensivethan in other research centres, which is justified by thefact that these institutes organise and develop doctorateprogrammes.

The Catalan Universities Law, unlike the LOU, encour-ages the setting up of research centres specialising indifferent areas of research that can act under any legalstatus that is appropriate for their objects, that promotethe joint participation of the universities with other publicor private entities and that provide for maximum freedomin terms of organisation in order to fulfil their objects andenhance their international standing. The promotion, set-ting up, participation and associating of centres throughthe corresponding forms of collaboration rest with theuniversity. 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 witha university through the signing of an agreement withthe university to this end.

This plurality of legal entails will facilitate the medium-termsetting up and consolidation of an important network ofresearch centres involving university participation or thatare supported or associated with the universities, whichconstitute one of the essential elements of the RDI(research, development and innovation) system. The con-ditions for this new impetus to research being carried outin Catalonia were initiated by an Executive Accord of theGeneralitat de Catalunya on 28 September 1999, whichgave support to the first large R+D institutions in Cataloniain specific areas where there was a well-established uni-versity and/or industrial base. These research institutionscomprise large infrastructures and facilities and also trainresearch groups, resulting in a large critical mass ofresearch and technical personnel and the generation ofsynergies. The first advanced research centres set upaccording to these parameters were: the Institut Català deCiències Cardiovasculars (Catalan Institute ofCardiovascular Science), the Centre de RegulacióGenòmica (Genome Regulation Centre), the Institut Catalàd'Investigació Química (Catalan Institute of ChemicalResearch), the Centre Tecnològic de Telecomunicacionsde Catalunya (Catalan Telecommunications TechnologyCentre), and the Institut de Ciències Fotòniques (Instituteof Photon Science).

With reference to the large infrastructures intended pri-marily for research, this is the first time that the scienceand technology parks, which in a very open way receivesupport from the universities and different public admin-istrations and participation from different economic andsocial 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 researchcentres of the university itself congregate next to associ-ated enterprises and other institutions. They facilitate

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contact and collaboration between the university andenterprises, and dissemination of the results of universityresearch to society; technologically innovative enterprisesare established; they boost the culture of quality, researchand innovation amongst the institutions in the park andamongst the associated enterprises; and in general theypromote and facilitate the entire scope of research. Theyare in all cases an important stimulus for development.

The science and technology parks permit the jointorganisation of management of research and postgrad-uate course activities and give impetus to university RDI(research, development and innovation) activities. Arecent development of co-ordinated action and co-oper-ation between the various parks, which are a particularobjective of the Catalan law, includes the setting up ofthe XpCat Catalan science and technology park networkthat, under the legal form of an association, bringstogether an initial total of eleven parks, most of which arelinked to universities.

The law also recognises the important work carried outup until now by the universities in the bringing into oper-ation of scientific and technical support services forresearch and the setting up of centres and structures forthe transfer of technology and knowledge. It has alsoimplicated the action of the Generalitat de Catalunyatogether with the universities in relation to these initia-tives in laying down that support programmes must beimplemented to give incentive to collaboration betweenthe universities and between the universities, enterprisesand society in general, and that the development of newfacilities for use by the entire university system must bepromoted in order to obtain maximum benefit from this.Article 26 of the LUC specifies that the universities canset up and promote entities, centres and structures andthat, within the framework of their own objectives andregulations, they can establish programmes to supportco-operation for development orientated towards tech-nology transfer and the transmission of knowledge to

countries and areas of the world where they are neededto bring about improvements and progress.

In order to encourage research, development and inno-vation in enterprises, supplementary provision 9 of theLUC also commissions the Executive Council of theGeneralitat de Catalunya to stimulate and assist enter-prises in increasing the means set aside for research,development and innovation, including resourcesassigned for an enterprise itself, together with resourcesfor co-operation with universities and research centres.The Executive Council is also entrusted with promotingthe active participation of enterprises in universityresearch 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 upof enterprises and initiatives that are innovative withintheir particular field of action. This mandate will providethe necessary impetus and recognition for spin-off fromuniversity initiatives.

3. The Catalan University Community.

Article 29 of the LUC points out that the Catalan univer-sity community comprises the students, teaching andresearch personnel, university research personnel andadministration and services personnel. Teaching andresearch 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 legalstructure of teaching and lecturing in the Spanish publicuniversities that was uniform for all universities over aperiod of seventeen years. In its time, the model simpli-fied and adapted the previous model, which was char-



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acterised by the disparities of the former teaching sys-tem that interfered with the necessary streamlining of theorganisation of the teaching profession. This paved theway for the post-constitutional reform of the universities.The LRU did introduce a certain amount of flexibility inallowing for the contracting of teaching staff on the basisof Associate and Visiting Professor, and later on with thefigure of the Professor Emeritus. Recruitment was on apublic service basis, as was established in supplemen-tary provision no. 20 of Law 30/1984 of 2 August onurgent measures for the reform of the civil service 18.

The LOU on the other hand established a mixed model forthe public system of university teaching whereby the rela-tionship with the university is either as a member of thepublic service university teaching staff subject to the rele-vant statutory rules or on a work contract basis accordingto established procedure. Article 47 thus states thatteaching and research personnel in the public universitiesare to be comprised of public service teaching staff andcontracted personnel. Teaching staff have full teachingcapabilities without exception and also full researchcapacity when in possession of a doctorate degree.

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18 According to the Law, only foreign associate professors can have permanent contracts under the labour legislation, pursuant to supplementary provision no. 8 ofthe LRU and supplementary provision no. 5 of Royal Decree 898/1985 of 30 April on the rules covering university teaching staff.

Academic research personnel

Traineeresearchers

Contractedresearchers

Lecturers

Civil ServantPermanent

Assistant professor

Full professor

Lecturer

Visiting professor

Honorary professor

Professor Emeritus

Residentresearchers

Affiliatedresearchers

- Associatedprofessor of School

- Full professor ofSchool

- Associatedprofessor ofUniversity

- Full professor ofUniversity

Work Contract

Temporary

Permanentadjunctprofessor

Temporary adjunctprofessor

Affiliated professor

- Doctoratestudents

- Grantholders

- Assistants

TEACHING STAFFAND RESEARCHPERSONNEL

ADMINISTRATIONAND SERVICESPERSONNEL

Civil ServantPermanent

Work Contract

Temporary

Students1st cycle

Students2nd cycle

Students3 rd cycle

STUDENTS

Graph 1 The Catalan University Community

According to article 48, the LOU recognises the compe-tence of the Autonomous Regional Communities toestablish the legal status of contracting teaching andresearch personnel and, on the contrary, sets aside thefull regulatory capacity over university teaching bodiesfor the Spanish State. This clear delimitation and sepa-ration of the areas of competence between the SpanishState and the Autonomous Regional Communities andthe recognition of a separate sphere of regulation for thelatter, 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 deCatalunya.

The LOU in fact lays down that the AutonomousRegional Communities, within their jurisdiction and in theframework of their jurisdiction, establish the rules forcontracting university teaching and research personnelon a work contract basis in the following forms: assis-tant, assistant PhD lecturer, adjunct lecturer, non-tenurePhD 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, thepublic service model also continues to be predominantin that it establishes a series of limitations for the groupof non-tenure (contracted) teaching and research per-sonnel in relation to tenured posts. The total number ofcontracted teaching and research personnel is therebylimited to 49% of the total university teaching andresearch personnel, although this allowance is a notableincrease over the percentage allowed by the LRU ofcontracted teaching personnel, which was no more than20% 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 deCatalunya made a declaration rejecting this numericallimitation. Nevertheless, the arguments of theAutonomous Regional Community were rejected by theSpanish State and the wording of article 48.1, paragraphtwo of the LOU was left unchanged and included thesame terms.

In order to mitigate the limiting effects to the detriment ofcontracted teaching staff, a third section has beenadded to article 29 of the Catalan Law which specifiesthat 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 timeteaching staff. The introduction of this new element inthe evaluation is fully justified if a comparison betweenteaching 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 theuniversity endorses. The Catalan law makes use of thewording of article 48 of the LOU in that specific elementscan be established to facilitate application by whoeverultimately applies the regulation 19.

The scope of Autonomous regulation will also have totake into account certain other legally imposed limitationsthat, despite the opposition of the Catalan and Basquenationalist parliamentary groups, remained unaltered fol-lowing the parliamentary procedure stage of the LOU 20,as is the case of the limitations to the appointment ofcontracted teaching staff to positions in certain govern-mental and representational bodies in universities. This isthe case with the positions of rector; dean of the faculty;



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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 onuniversities 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 theCatalan parliamentary group concerning the post of head of department, which is regulated under article 25 of the project that unsuccessfully requested to allowfor the possibility of contracted PhD teaching staff belonging to the corresponding department to be appointed. Eligibility for the post of rector was also disputedby the members of the Basque Parliamentary Group who requested that the Autonomous Community be competent in regulating the nomination, mandate andtermination of appointment of rectors in the universities under its competence. The Basque Parliamentary Group declared that the debate on the figure of rectorconcerns the particular institutional and social sphere of polítical autonomy of the Autonomous Regional Communities.

school director and head of department, except fordepartments in the areas of knowledge referred to in arti-cles 58 and 59 of the LOU 21, the head of which can eitherbe a non-doctorate tenured member of teaching staff ora contracted teacher. On the contrary, contracted teach-ers are eligible for the post of university institute directorand vice-rector. The participation and representation ofcontracted teaching and research personnel is also indi-rectly limited in certain collegiate university bodies, suchas the university senate, faculty senate and school sen-ate, given that 51% of the members must be tenuredteaching staff; and also in the governing body of the uni-versity, given that 30% of the maximum number of 50members of the university community represented arechosen or designated from deans of faculties, schooldirectors, heads of department and directors of universi-ty institutes, which are reserved for tenured teaching staffexcept for the post of institute director. Contracted teach-ing staff have no difficulties in participating in departmentcommittees, which are made up of all the members witha doctorate degree in the corresponding department, orto 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 abody 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 thefull consolidation of the new body of contracted teach-ing and research personnel for Catalan universities, needto be resolved insofar as this is possible by autonomouslegislation and by the university statutes. Law 1/2003has introduced a series of precepts aimed at putting thestatus of the two bodies of teaching staff on the samelevel, the most important being article 43.2, whichestablishes that, in the exercising of their jurisdiction, theuniversities are to safeguard the identity of contracted

teaching staff's rights in permanent posts together withthose of university teaching staff, while maintaining as alegal precaution that this is without detriment to thatestablished in the basic legislation of the Spanish State.Good practice in development of the Catalan Law andthe resolve of the universities to regulate according tothe statutes and, in as broad a sense as possible, thescope 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 mixedsystem of teaching staff on an equal basis and on whichthe policy for university teaching staff will be establishedin the future. One should also bear in mind the periodgiven over to the corresponding collective negotiation.

On other occasions, the LUC sets a specific equalisationregulation, such as article 12.3, which lays down thatdoctoral teaching activities given in university depart-ments, centres and institutes is the job of PhDs, and thatthe director of doctorate programmes approved by eachuniversity must be a member of the doctoral teachingstaff of the university co-ordinating the programme.

3.2. Categories of teaching and researchposts contracted by Catalan universities.

Chapter III of Section Heading II of Law 1/2003 is on uni-versity academic personnel, which consists of thetenured university teaching staff and contracted teach-ing staff, together with resident and affiliatedresearchers. A new definition for personnel providingacademic services to universities has been introduced inCatalonia that respects and complements the definitionof university community comprising the teaching andresearch personnel, students and administration andservices personnel. Although this is not expresslydefined in the LOU, it is outlined in several of its pre-

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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 tobe 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 tothe nomination of rector 22.

The categories of contracted teaching staff in Law1/2003 are classified according to the permanent ortemporary nature of the posts in the university.

Universities can contract the following permanentposts:

a) Full professor: from those in possession of a doctor-ate degree and with a consolidated career in teachingand research.

b) Associate professor: from those in possession of adoctorate degree and with a career in teaching andresearch of proven ability.

And the following non-permanent posts:

a) Lecturer: from those in possession of a doctoratedegree, to carry out teaching and research during theinitial stage of their academic career.

b) Assistant professor: from recognised experts andspecialists who can validate their professional activityoutside of the university. Contracted to carry out spe-cific teaching work, they have full teaching capacitywithin their area of knowledge.

c) Visiting professor: from teaching staff and researcherswith recognised prestige from other universities orresearch centres. Contracted to carry out specificteaching activities and/or research projects.

d) Professor Emeritus: from tenured professors from thesame or another university who are retired and whoseperformance has been of outstanding service to theuniversity. They can collaborate in specific teachingand/or research activities.

On a permanent or temporary basis, universities cancontract:

Adjunct teaching staff to carry out teaching work tocover the needs of qualified teaching in specificareas 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 assistwith the university on an honorary basis and carrying outacademic work in a similar way to tenured teachers, who on retirement can be contracted as professorEmeritus 24.

Catalan lawmakers wanted the category of contracteduniversity teaching staff to carry special weight, giventhat, 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 forthe first time since the 1930s, taking into considerationthat the Generalitat de Catalunya, together with theuniversities within its competence, only has sufficientleeway to implement a specific Catalan policy relatingto this body of teachers 25. Law 1/2003 thereby envis-



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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 forUniversity Co-ordination (Consejo de Coordinación 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 capacityin specific teaching and/or research activities according to terms established in accordance with the general legislation of the social security. It ultimately rests withthe universities to ensure that the necessary measures are entered in the corresponding collective bargaining agreement applicable to contracted teaching staff inorder 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 eitherserve 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 beginwith 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 oranother university or department”.

ages regulation that starts by considering the basiccharacter of the posts laid down in the LOU, which isthen developed in such a way that amounts to anautonomous model for teaching staff whilst maintainingthe essential distinctive features of each academicpost.

In order to support the new contractual figures forpermanent teaching posts, the second end provisionof the LUC instructs the Generalitat de Catalunya todraw up and provide the necessary means for a planentitled Jaume Serra Húnter, in memory of the formerrector of the Universitat de Barcelona who directedthe founding of the University Autònoma deBarcelona 26.

The Law has also pursued the recognition of an exclu-sive policy for Catalonia regarding researchers, whilstestablishing a sub-classification for academic personnelin public universities by making a distinction and sepa-rately regulating, on the one hand, both tenured andcontracted teaching staff and, on the other, academicresearch personnel.

3.3. Features of the Catalan model for uni-versity teaching staff:

a) The figure of contracted doctoral teaching staff isdivided into the categories of full professor and asso-ciate professor.

Both observe the appointment requirements laiddown by the basic Spanish rules, which consist ofaccreditation of three years teaching or researchactivity with preferably post-doctoral research and afavourable external assessment. Law 1/2003 com-plements these requirements with the additional needto accredit two years of teaching or pre- or post-doc-toral research activity, or technology or knowledgetransfer in a position of academic disassociation fromthe convoking university. In the LUC teaching staffmodel, this latter requirement is considered fulfilled ifthe entire period of studies and the awarding of thecandidate's doctorate qualification correspond to adifferent university to that offering the post.

b) Certain contracted teaching staff positions have theirown titles in the Catalan University System.

This is the case with contracted teaching staff suchas full professor and associate professor, which cor-respond to the figure of contracted doctoral teachingstaff in the LOU, and lecturers, which correspond toadjunct doctoral teaching staff in the LOU, both ofwhich are terms that distinguish these categories inCatalonia. The LUC thereby restores the historical tra-dition and is in harmony with the age-old claim of theCatalan movement for university reform. The confer-ral of these categories with their own name has been

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Teaching posts such as full professor andassociated professor and also permanentadjunct staff are regulated for the first timesince 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 100contracts (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 beincluded annually in the budget of the Government of Catalonia from 2003 onwards. Furthermore, Parliament has ordered the allocation of the Government ofCatalonia 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 theamount budgeted for in 2002.

cause for controversy as certain sectors consider thatthe term 'professor' should be reserved for tenuredteaching staff. However, the LOU has made noexpress prohibition or reservation in relation to thedesignation of tenured university teaching staff 27.

c) The external assessment and favourable reports thatcandidates need to certify in order to be contractedby the universities must be made by the Agència pera 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 thatthe external assessment of adjunct doctoral teachingstaff (article 50) and contracted doctoral teachingstaff (article 52), as well as reports in the case ofadjunct teaching staff (article 51), can be made by theAgencia Nacional de Evaluación de la Cualidad yAcreditación (Spanish Quality Assessment andAccreditation Agency) (ANECA) or by the externalassessment body determined according toAutonomous Regional Community law. The CatalanAgency has jurisdiction over the recruitment of teach-ing and research personnel in universities in theCatalan University System, without prejudice to col-laborations established with other external assess-ment bodies, where applicable.

d) Candidates for the category of assistant professormust be in possession of research accreditation, whilecandidates for the category of full professor must pos-sess advanced research accreditation. As the casemay require, candidates need a report of their teach-ing activities in accordance with the procedures andcriteria established by the Agència per a la Qualitat delSistema 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 allcandidates to certain established contractual cate-gories. Article 47 of the LUC establishes that suchaccreditation must be issued by the Agència per a laQualitat Del Sistema Universitari de Catalunya andthat the announcement of selection processes requir-ing candidates to be in possession of accredited

research must be programmed with sufficient time inadvance to allow for calls for proposals to those inter-ested and the processing of the correspondingaccreditation. In addition to attributing the CatalanAgency with the aforementioned functions, the Lawalso takes the Agency's organisational structure intoaccount. The Agency, which by law is structuredaccording to specific commissions according to thefunctions to be developed, must of necessity have aLecturer and Adjunct Teaching Staff Commission,whose job is to issue the relevant reports for therecruitment of these two types of teaching post, and aResearch Assessment Commission, which basicallycarries out the functions of issuing research andadvanced research accreditations, assessing the



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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 titlesleading to any error or confusión 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 overthe recruitment of teaching and researchpersonnel in universities in the CatalanUniversity System, without prejudice tocollaborations established with otherexternal assessment bodies, whereapplicable.

activities of researchers and assessing the researchactivities of teaching and research personnel in privateuniversities. In order to ensure that these are techni-cally independent, the Law lays down that assess-ments made by the Agency must then be endorsedby the respective assessment commissions and thatthese are ultimately responsible for them.

e) A sabbatical leave and extended leave of absencescheme for contracted teaching staff is regulatedwithout prejudice to the conditions of the applicablecollective bargaining agreement, the principal objec-tive being to promote research and inter-universitycollaboration.

One of the objects of the legislation is the mobility ofteaching staff, especially permanent teaching staff oncontract, temporary adjunct doctoral teaching staffand lecturers, and sabbatical leave and extendedleave of absence can be requested by teaching staffin the aforementioned categories, according to theclassification of article 56 of the LUC that regulatesthe categories that promote research and inter-uni-versity collaboration, as follows:

1. For the development of research programmes oractivities in public or private entities that are set up,affiliated or participated in by the university andrelated with the scientific or technical activitiesdeveloped 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 orprivate 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 positionreserved, can be granted for a period of up to two

years. The university must determine any earnings,when applicable, to be received. Extended leave ofabsence is granted for a period of up to four years bythe university of origin without authorisation of earn-ings and implies automatic contract suspension.

Pursuant to internal university regulations, permanentteachers on contract are entitled to one sabbaticalyear every six years of academic activity specificallyfor training purposes or to collaborate with a universi-ty or research centre outside of Catalonia.

Article 57 of the LUC establishes, without prejudice tosabbatical leave and extended leave of absencerecognised in the industrial regulations and, whereapplicable, 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 serviceare entitled to one special leave of a period up to amaximum of four years.

With regard to maternity/paternity leave, supplemen-tary provision no. 12 of the LUC lays down that thetwelve 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 provisiondoes not take account of adoption, this special cir-cumstance also needs to be dealt with. Supplementaryprovision 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 themembers of the university community. These meas-ures have been adopted in line with Law 6/2002 of 25April approved by Parliament that establishes meas-ures to conciliate working life and family responsibili-ties. With regard to gender, supplementary provisionno. 12 entrusts the universities and the correspondingdepartment of the Generalitat de Catalunya to promoteactions leading to equal opportunities for men andwomen in all areas of university activity.

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f) Teacher training and quality assurance, two key ele-ments of the Catalan model for university teachingstaff. Article 19 of the LUC takes account of theresponsibility of both the Generalitat de Catalunyaand the universities to provide university teaching staffthroughout their academic lives and particularly dur-ing the initial stage of their teaching activities with thepossibilities of training in order to assure qualityteaching and the updating of their knowledge andskills. Teaching activities are subject to assessment inaccordance with the methodology and programmesdeveloped by the Agència per a la Qualitat delSistema Universitari de Catalunya. The LUC estab-lishes that provision must be made for ongoing train-ing and quality teaching recognition programmes, aswell as incentive schemes given by both individualteachers and teams of teachers.

3.4. The scope of jurisdiction of theAutonomous Regional Communities withregard to academic research personnel.Resident and affiliated researchers

Law 1/2003 has introduced a new classification for per-sonnel providing university research services, whichcomes under academic research personnel and com-prises university teaching staff and researchers with aPhD qualification. The functions of research or non-exclusive research are thereby distinguished and specif-ic consideration is given to the personnel involved. Thelaw avoids rigidity in its pronouncement of models forrecruitment applicable to research personnel and estab-lishes the possibility for universities to have their ownresident research personnel and research personnelfrom 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 63provides for the possibility of appointment for specificjobs or services involving teaching, research, technical orany 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 LOUon the one hand that deals with teaching and researchpersonnel contracted by the universities who principallycarry out research work and, on the other, Law 13/1986of 14 April on the promotion and general co-ordinationof scientific and technical research that regulatesresearch 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. Thefull competence of the Generalitat de Catalunya in edu-cation is recognised in article 15 of the EAC andaccording to article 9.7 EAC it has exclusive compe-tence in research, without prejudice to that stipulated inno. 15 of section 1 of article 149 of the EC, and it isthrough the exercising of this competence that theCatalan Law regulates specific issues relating to aca-demic research personnel and specifically researchers.In STC 90/1992 of 11 June, the Spanish TribunalConstitucional declared that the competence of theGeneralitat de Catalunya and that of the Spanish Stateare concurrent and that such concurrence justifies andexplains how the Spanish State has competence overco-ordination. By virtue of this power, Law 13/1986 of14 of April on the promotion and general co-ordination



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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 bythe 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 21April 2001) was passed. Beyond this specific reserva-tion, it is the Generalitat de Catalunya that exercises fullcompetence.

Law 1/2003 clearly establishes that recruitment ofresearchers must be made in accordance with the pre-vailing regulation, which is connected with article 102relative to the legal status applicable to the universitiesthat takes account, amongst others, of Law 13/1986,which in the wording given to article 17 supplementaryprovision no. 7 of Law 12/2001 of 9 July on urgentmeasures for the reform of the labour market to increaseemployment 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, whichare regulated by article 15 a) of the Estatuto de losTrabajadores (labour statute).

b) Contracts with PhDs for researchers to enter theSpanish science and technology system, which areregulated by article 11.1 of the Estatuto de losTrabajadores, 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 inarticle 61 of the Catalan Law may in fact dovetail withtype a) above. With regard to resident researchers, sec-tion two of article 61 of the LUC details the recruitmentof post-doctoral researchers from PhD holders with lessthan two years service and from a different university tothe one offering the contract for a maximum period offive years. Special mention is made of the recruitment ofrecent PhDs as a form of their recognition and encour-agement.

In order for there to be greater collaboration andincreased mobility in research work and to make thesystem as open as possible, recognition has been given

to the title of affiliated researcher. Researchers can beaffiliated with the universities, research centres or otherpublic or private bodies by way of agreements or otherforms of collaboration to carry out projects on research,development or innovation, as well as the transfer oftechnology and knowledge. Researchers maintain theirwork contract with the entity of origin and the applica-ble legal status is that which prevails for the particularprofessional category. The affiliation of researchers withuniversities facilitates recognition of one of theGeneralitat de Catalunya's priorities in its policy onresearch personnel, namely the setting up of the privatefoundation Institució Catalana de Recerca i EstudisAvançats (Catalan Institution for Research andAdvanced Studies) (ICREA) by way of an Accord of theExecutive Council of the Generalitat de Catalunya of 27December 2000. The object of the institution is to pro-vide impetus to, and promote and develop researchand scientific, humanistic and technological knowledgein the public interest. In particular, the institution facili-tates the progressive consolidation of the body ofresearchers and scientists established in Cataloniathrough an active human resources policy that pro-motes research and through participation in the lines ofresearch carried out in universities, university centresand university research institutes by way of differentforms of collaboration. ICREA is given special mentionin supplementary provision no. 10 of the Law, whichsets out the possibility of agreements between the uni-versities and the Institution whereby researchers arelinked to research programmes or projects under theterms of article 62 and, at the same, enabling them tocontract researchers affiliated to ICREA or other entitiesfor teaching duties as adjunct, assistant or visitingteaching 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, includingresearch fellows and assistants, are regarded as

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trainee researchers. Article 12 states that the purposeof 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 upto the corresponding department of the Generalitat deCatalunya that deals with the universities and the pub-lic universities to promote actions aimed at improvingtheir quality and degree of specialisation, at the sametime that inter-university co-operation and internation-alisation are promoted. The intention of the Law is tomake PhD studies available to well-prepared students,regardless of their nationality or origin. Universitiesmust recognise the rights and responsibilities ofresearch fellows in the internal statutes to safeguardtheir right to appointment and to use university facili-ties. As a stimulus to the promotion of research, theLaw lays down in article 21.3 that the universities andthe Generalitat de Catalunya must support, stimulateand aid teaching staff and other research personnel toseek research funding on a competitive basis fromboth public and private bodies.

3.5. The students of the Catalan UniversitySystem. University admission in theAutonomous Regional Community.

Chapter II of Section Heading II of the LUC deals withstudents 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 everybodyhas the right of admission to levels of higher educationaccording to their aptitudes and vocation, and in nocase is this right subject to discrimination on thegrounds of income, social standing or place of resi-dence. This right to university study is subject to certainentry requirements plus the offer of a place on a partic-ular study course at a specific institution. The LUCestablishes that the principles of public dissemination,equal opportunity, merit and ability must be respected inthe 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-ordinatinguniversity entrance carried out by the universities and theGeneralitat de Catalunya through the ConsellInteruniversitari de Catalunya, which organises entranceexaminations for all of the Catalan universities and uni-versity institutes as one administrative area. Article 32

entrusts the corresponding department of theGeneralitat de Catalunya that deals with the universitiesto adopt appropriate measures for the universities to actin a co-ordinated way in this important matter in order tosafeguard equal opportunities for students. To this end,the LUC stipulates that the Consell Interuniversitari deCatalunya is to provide admission processes to universi-ties that request them, while respecting the autonomy ofthe universities without exception.

Pursuant to the Law, admissions must take account ofthe number of available places; the processes must betransparent and objective and, as a general rule,entrance examinations must be corrected anonymously.There is greater detail in this section of the Law than inother chapters that are more general, the purpose beingto establish the legal basis for sufficient guarantees sothat the rights of students wishing to enter the universitysystem in Catalonia are protected, regardless of the



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Everybody has the right of admission to lev-els of higher education according to theiraptitudes and vocation, and in no case isthis right subject to discrimination on thegrounds of income, social standing or placeof residence.

model ultimately adopted to regulate the universities andthe Inter-university Council of Catalonia and also regard-less of the students' origin.

Admission to university has traditionally been a complexissue and the process in Catalonia is well accepted bythe universities, the students themselves and the publicinterest 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 otherAutonomous Regional Communities and ultimatelyincluded in the Spanish regulations. Nevertheless, theSpanish regulatory capacity concerning this matter has

been particularly problematic due to insecurity resultingfrom constant modification; due to its content, which,according to the Generalitat de Catalunya, breaches theprevailing jurisdictional order; and due to the problems ofapplication by the universities that constantly have toadapt entrance exam proceedings in line with regula-tions laid down by the Spanish State, on occasionswithout warning.

Article 2, point f) of the LOU includes admission, the sta-tus of tenure and verification of students' knowledgeunder the issue of university autonomy. The SpanishTribunal Constitucional nevertheless considers that the

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Selected bya university

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Researcher(work contract)

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Associate Professor(tenured)

Assistant Professor(work contract)

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Lecturer(work contract)

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Graph 2Diagram 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 andrecognises that such authorisation of admission is con-ditioned by the capacity of university centres, and alsoas 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 STC187/1991 principle 3).

Legal principle 10 of STC 26/1987 declares that, inaccordance with the powers 1 and 30 of article 149.1 ECexercised by the Spanish State, the Spanish regulationsthat cover selection procedures have the exclusive rightto establish the conditions or basic rules of selection foruniversity admission and it rests with the AutonomousRegional Communities, who have full competence ineducation, to expand on these. In the exercising of thesepowers, the Autonomous Regional Communities mustrespect the corresponding competence of the universi-ties within their territory by virtue of university autonomy.All three authorities must yet again find sufficient scopewithin 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 SpanishTribunal Constitucional, and that university admissionfalls entirely in the category of university autonomy, nec-essary scope needs to be created for the Generalitat deCatalunya and the universities under its competence inorder 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 importantaccount of the wording of the rights and responsibilitiesof university students. Article 46 of the LOU gives an ini-tial outline of the basic rights and responsibilities thatbegins by pointing out that studies are both a right anda duty of university students, and goes on to detail aseries of specific rights that students have under theterms established by legislation 30. Express recognition ismade of social security coverage for students, under theterms and conditions laid down by the prevailing legisla-tion. As far as the regulation of students' responsibilitiesis concerned, full referral is made to statutory regulationand therefore the scope of action of each university inparticular.

In addition to referring to the rights recognised in theLOU, the LUC establishes that the universities in theCatalan University System must guarantee students aseries 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, orany other personal or social circumstance.



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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 againstthe 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 procedurefor 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 one’s own choice, under the terms established in the legislation; b) equal opportunitiesand non-discrimination of personal and social circumstànces, including disability, university entry, admittance to university centres and institutes and tenure, andthe 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 freedomof speech, assembly and association in all areas of the university; h) the safeguarding of their rights by way of appropriate procedures and, where applicable, theaction of the university mediator.

c) To receive information on study programmes and theirobjectives.

d) To be objectively assessed according to academicperformance.

e) To exercise the freedom of association, information,speech and the right of assembly on the universitycampus, in accordance with the conditions of useestablished by the university.

Article 37 of the LUC also lays down the general princi-ples to be respected in the exercising of the rights, whilepointing out that students must exercise their rights withfull respect for other people, full recognition of demo-cratic principles and the rights of the other members ofthe university community, and with respect for collective-use property.

Responsibilities that the universities are under obligationto lay down in the corresponding protocols that takeform in the statutes, must at the very least be as follows:

a) Undertake and make use of their studies in a way thatis appropriate to their status of university studentsand 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'sobjectives and the improved running of the university.

d) Assist and participate in governing and representativebodies of the university to which they are elected ordesignated.

The importance of contributing to student job place-ment is laid down in the Law in various provisionsalthough 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 ofthe Generalitat de Catalunya and the universities them-selves are to provide students with guidance on careersand employment by promoting the meeting and collab-oration of students and graduates with representativesfrom business and industry and social institutions. Withthis aim in view, and in accordance with the socialcouncil of the university, effective actions are to be insti-gated to promote job placement and the professionalemployment of graduates.

Details on participation in associations and voluntaryservice appear in article 40, which entrusts the universi-ties with the instilling of civic ideals in the students andencouraging their solidarity and participation. The insti-tutions in charge of university education must also facil-itate, stimulate and provide support for participation inassociations as a way of contributing to the consolida-tion and growth of the social interconnections that formpart of university and community life. Associations needa dynamic framework that provides for the participationof students during their life at university. As reinforce-ment to civic attitudes, both the Generalitat deCatalunya and the universities must promote solidarityand co-operation in students. All of these mandates ofthe 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 universitystudent activities.

The participation and involvement of students in univer-sity life has had repercussions on the LUC, which in a

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Students must exercise their rights with fullrespect for other people, full recognitionof democratic principles and the rights ofthe other members of the university com-munity, and with respect for collective-useproperty.

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 betweenthe university and its former students and ex-alumni andfriends' associations, as well as enabling these to partic-ipate in the life of the university. Article 100 establishesthat the abovementioned council is to be made up ofpeople 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 eachuniversity to internally attribute the functions of the for-mer students and friends council. An important newdevelopment is the participation in the university socialcouncils of a former student with a degree from the cor-responding university as a representative of Catalansociety who is not a member of the university communi-ty. The former student is named by the president of thesocial council on advice from the rector and, whereapplicable, at the proposal of the former students andfriends 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 positivelevel for their participation in and influence over the uni-versity. In the broad sense of what the public universityservice is at the present time, today's students are alsopotential recipients of university services in the future.Lifelong learning, the increasingly important involvementbetween 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 andscholarships

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 themandate of the corresponding department of theGeneralitat de Catalunya that deals with the universitiesto constitute a policy for grants and loans within theframework of the general system for promoting highereducation dealt with in article 45 of the LOU, which guar-antees that whoever is in a position to undertake andbenefit from university studies shall in no case be exclud-ed on the grounds of economic reasons, and that thegeneral system be adapted to the socio-economic andterritorial needs of Catalonia.

The transfer of powers with regard to grants and schol-arships to the Generalitat de Catalunya has been one ofthe main assertions of right with regard to higher edu-cation which both the Executive Council of theGeneralitat de Catalunya and the Parlament deCatalunya have been demanding for many years.Despite the efforts made and the recent STC188/2001, which is analysed below, the effective trans-fer of powers has so far been impossible and therehave been numerous obstacles and delays 31. TheSpanish State decided to maintain the regulation andmanagement of the matter totally centralised, especial-ly calls for proposals, and the awarding and payment ofgrants and scholarships, without prejudice to the col-laboration of the universities in management. In the faceof this situation, which according to the Generalitat deCatalunya goes against its recognised competenceaccording to article 15 EAC and the body of constitu-tional principles that cover grant funding, an Acord dela Comissió Mixta de Traspassos (Agreement of theJoint Commission for the Transfer of Powers from theSpanish Government to the Generalitat de Catalunya) 32

was adopted in 1998 on the initiative of the Generalitatde Catalunya, point seven of which contains approvalof the Agreement of Principles for carrying out the



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31 The policy for university grants and scholarships financed by the Spanish national budget has been developed through the enforcement of Royal Decree2298/1983 of 28 July, which regulates the system of grants and other forms of financial support for personalised study (BOE nº 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 d’Autonomia deCatalunya (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 thisAgreement refer to specific criteria for both governmentadministrations as regards the transfer of authority inthis area and make the date of validity of the transferconditional on the coming into force of the RoyalDecrees that modify the prevailing rules and regulationson grants and scholarships for university study. In spiteof this Agreement, the Spanish State has still not mod-ified the prevailing rules and regulations.

In defence of its jurisdictional rights over universitygrants and scholarships, the Executive Council of theGeneralitat de Catalunya presented two cumulativeclaims of jurisdiction 33 against the Orders of theSpanish Ministry of Education and Science announcinggeneral university grants and scholarships for the1994-1995 and 1997-1998 academic years. Ruling188/2001 of 20 September resolved the aforemen-tioned claims in partial agreement with the Generalitatde Catalunya 34.

It should be pointed out that STC 188/2001 of 20September was accompanied by three dissentingopinions, 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 theCatalan Parliamentary Group in the Congreso de losDiputados (Spanish lower parliamentary chamber) hadentered into concerning the very matter of universitygrants and scholarships, amongst others. This factwas decisive in the development of article 45 of theLOU, which was finally approved by the Congreso delos Diputados and recognises that the general systemfor grants is to be expanded on and implemented bythe Autonomous Regional Communities.

The amendment to article 45 of the LOU presented bythe Grup Català (coalition of Catalan parliamentarygroups in the Spanish Parliament) sets out the motionthat the Autonomous Regional Communities expandon and implement the Spanish rules on the matter. Theliteral wording of this amendment is identical to that ofarticle 45 of the LOU except for the last point, whichproclaims the necessary co-operation of theAutonomous Regional Communities in the constitutingof systems for information, verification and control,which has been added.

The LUC has thus been drawn up in accordance withthe situation subsequent to the aforementioned ruling,

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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 Educación 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 bythe senior judge Vicente Conde Martín de Hijas, to which the senior judges Manuel Jiménez de Parga and Fernando Garrido Falla agreed to, which criticised theruling 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 Catalunyashould not be legally disputed again. In this respect,temporary provision no. 4 of the LUC envisages thecurrent situation whereby it is impossible for theGeneralitat 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 optionadopted by the Generalitat de Catalunya in relation tothe management of grants and points out that the cor-responding department dealing with the subject of theuniversities must constitute, together with the universi-ties themselves and in a co-ordinated way, an efficientand effective system for loans, grants and scholarshipsfor university studies and research. This system is tobe set up through the Agència de gestió d'ajuts uni-versitaris i de recerca (University and Research AwardsAgency), which was established by Law 7/2001 of 31 March.

4. Objectives of the Catalan UniversitySystem: the European area of highereducation and the mobility ofresearchers.

The Sorbonne Agreements (1998), the BolognaDeclaration (1999) and the Prague Declaration (2001)laid the referential and programmatical ground workfor defining and constructing the European area ofhigher education by 2010 by establishing the promo-tion of quality, mobility and exchange, and competi-tiveness as the key to the European model for highereducation. The progressive consolidation of aEuropean university community has given rise to thenecessary convergence of the different university sys-tems into a series of essential structures that definethe new concept of degree qualifications harmonisedwithin a more general cyclical structure for higher edu-cation than during the first cycle (foundation

degree/diploma level), with the object of bringingabout extensive training and the development of thenecessary 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 placementwhile in the third stage (higher education) there is evengreater specialisation involving further studies andgreater professional involvement or the increasedresearch ability of doctoral students. This new conceptof higher education needs to permit credit portabilityand comparable qualifications, together with theestablishment of a series of objective parameters withregard to quality that are measurable, recognised andaccepted universally. Furthermore, article 14 of theLUC includes another essential element of theEuropean area for higher education, namely lifelonglearning, through the involvement of the Generalitat deCatalunya 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 thefull integration of the universities in the Catalan UniversitySystem in the European area of higher education and



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The transfer of powers with regard to grantsand scholarships to the Generalitat deCatalunya has been one of the main asser-tions of right with regard to higher educa-tion which both the Executive Council of theGeneralitat de Catalunya and the Parlamentde Catalunya have been demanding formany years.

the promoting of the Catalan universities in Europe andaround the world. This premise is made explicit in arti-cles 15 to 17, which contain the features for making thisobjective effective, together with recommendations forinformation and the transparency of foundation anddegree qualifications, which will need to be accompa-nied with the European diploma supplement anddesigned according to the specific nature of the CatalanUniversity System.

University institution qualifications, over which the uni-versities themselves have extensive autonomy as aresult of the fact that they are not recognised qualifica-tions, will help to bring about an important advance interms of progressive and full harmonisation with otherEuropean qualification systems if, as is laid down in theLUC, co-ordinated action is provided through theConsell Interuniversitari de Catalunya. Moreover,accreditation by the Agència per a la Qualitat delSistema Universitari de Catalunya will also be possible,as with recognised degrees. University institution quali-fications (a characteristic of the Catalan system unlikethe rest of Spain) will be of particular importance in that,pursuant to article 13 of the LUC, they can be awardedby the universities to students who successfully com-plete the first cycle of recognised two-cycle degreecourses.

The Generalitat de Catalunya and the universities areentrusted with giving impetus through the necessaryadaptations to implement the new European cycles, theConsell Interuniveritari de Catalunya is made responsiblefor the co-ordination of the processes of convergencewith the qualifications systems in Europe, and a series ofnew specific measures are established to facilitate themobility of students and degree holders, which are asfollows:

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 relevantunit adopted in the European area of higher educa-tion as the unit of evaluation for courses and studyprogrammes.

d) Facilitate adaptation of the qualifications system to theEuropean framework.

e) Bring into line any other adaptations that can beadopted within the context of the European area ofhigher education.

Within this context, mobility can no longer just be alegal right established for civil servants and it hasbecome a need that safeguards plurality andexchange, enriches the scientific community and pro-motes university quality. The LUC draws up certainstrategic lines and specific instruments to facilitate and,as far as possible, guarantee the mobility of universityteaching staff between the universities in the Catalansystem and other universities and research centres,especially in Europe. Mobility is sometimes a bindingobligation, as with the requirement for candidates to bedisassociated from a university offering a place forappointment to certain teaching and research postscontracted by the universities, which in Catalonia isalso required of candidates applying to be contractedas full professors or associate professors. On otheroccasions, mobility is voluntary and measures areestablished to promote this. This is the case with sab-batical leave and exceptional extended leave ofabsence established for contracted teaching staff,which presumably will have an important effect on theincrease in mobility of university teaching staff and alsothe fact that sabbatical holders can be automaticallyand definitively readmitted on request by those con-cerned in a job in the same category and departmentor institution of origin. The mobility of universityresearchers is fully laid down in article 66.2, whichinvolves both the Generalitat de Catalunya and the uni-versities in the co-ordinated setting up of programmesto facilitate the mobility of the universities' own aca-demic personnel.


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The Law conceives mobility from two viewpoints; on theone hand, it refers to teaching staff and researchers inthe universities in the Catalan University System and, onthe other, the integration of teachers and researchersfrom other systems into the Catalan universities to facil-itate the flow of joint efforts between the members ofthe European university community. It specifies that thesystem 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 tothe specific policies affecting the university community,which must specify directives and methods aimed atpromoting the two aspects of mobility, namely inter-uni-versity activity and intercommunication between themembers of the university community in Catalonia, andalso its full consolidation as an integrative part of theEuropean 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 thesecommunities.

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 downto the university, and immediately after establishes thatthe public universities must co-ordinate the system forthe recognition of qualifications and adopt appropriatemeasures to facilitate credit portability and studentmobility within the framework of the Catalan UniversitySystem and the European area of higher education.Furthermore, the private universities will be able to par-ticipate in co-ordinating the system for the qualificationrecognition and in the adoption of appropriate measuresto facilitate credit portability and student mobility. Giventhe importance of establishing a model for universityentry that is acceptable and recognised by otherEuropean universities in order to effectively safeguardthe mobility of students, article 33 of the law stipulatesthe obligation to adopt measures to:

a) enable students at universities in Catalonia to beable to continue their studies in other European uni-versities. To this end, and pursuant to the prevailingregulation, models of university entrance and tenurethat are recognised and accepted by the universitiesin the European area of higher education need to bepromoted.

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 orderto be able to fully integrate these students into thecorresponding study programmes, the Generalitatde Catalunya, through the Consell Interuniversitaride Catalunya (Inter-university Council of Catalonia),is to establish systems that provide them with a suf-ficient understanding of the Catalan language. Italso stipulates that introductory programmes pro-viding practical information about life in Cataloniaare also to be run.

Mobility is likewise important in terms of participationand plurality and articles 34 and 35 of the Law recognisethe universities' commitment to the world and the impor-tant work that they can carry out in bringing progressand improvement to underdeveloped countries. Waysthat this is implemented include co-operation pro-grammes that facilitate the admission of students fromthese 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



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The Generalitat de Catalunya and the uni-versities are entrusted with giving impetusthrough the necessary adaptations toimplement the new European cycles

with a knowledge of Catalonia and an understanding ofits language and culture. The universities of the 21stcentury must be supportive and receptive to the needsof society as a whole and at the same time contribute inan effective way to the objectives of economic develop-ment and well being.

Lastly, the Law entrusts the Consell Interuniversitari deCatalunya with the setting up of an Office of theEuropean area of higher education with the object of fos-tering the full integration of the Catalan universities intothe European area of higher education 36.

5. The Agència per a la Qualitat delSistema Universitari de Catalunya(Catalan University Quality AssuranceAgency). Evaluation, accreditationand certification.

The Agency is defined in article 137 of the LUC as themain instrument for quality promotion and evaluationassigned with the functions, amongst others, of pre-senting reports concerning the recruitment de lecturersand adjunct teaching staff, and issuing research accred-itation required for the post of associate professor andadvanced research accreditation required for the post offull professor, according to the model of teaching staffenvisaged in the LUC. The Agency is also responsible forevaluating the activities of research personnel and ofassessing the personal, teaching ability and operationalmerits of tenured and contracted teaching and research

personnel which, pursuant to article 72 of the LUC, alsoaffects bonuses.

The explicit recognition of the competence of theAutonomous Regional Communities to have their ownauthorities for the certification, accreditation and evalua-tion of university quality and especially of teaching staff isone of the essential and unrenounceable issues raised bythe 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 beingcarried out by the evaluation bodies that the AutonomousRegional Communities establish by law, within the scopeof their respective competence, and without prejudice tothe functions of other evaluation agencies of the SpanishState or the Autonomous Regional Communities. Thisdeclaration recognises and consolidates the action andautonomous impetus given to the promotion, improve-ment and evaluation of university quality exercised unin-terruptedly by the Agència per a la Qualitat del SistemaUniversitari de Catalunya 37 since it was set up by Decree355/1996 of 29 October under the legal form of an inter-administrative consortium. The Agency, in which theCatalan public universities, the UOC and the Generalitatde Catalunya all participate, has been a pioneer in Spainin many aspects and currently forms part of INQAAHE(the international network of agencies for quality in highereducation). The new Law lays down the objectives ofquality evaluation, certification and improvements to thelearning processes in university education in the Catalan

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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 Government’s 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 1947/1995of 1 December, whereby the Spanish Plan Nacional de Evaluación de la Calidad Universitaria (National University Quality Evaluation Plan) was set up, on the groundsthat it breaches the competence of the Generalitat de Catalunya that is recognised by the EC and EAC.

system, the improved analysis of results and proposalsfor improving the quality of services provided by theCatalan public universities. It also modifies the Agency'slegal composition, which takes on the form of a state-runenterprise of the Generalitat de Catalunya with a corpo-rate status, full legal capacity and its own assets, with itsactivities conforming to private law except for thoseactions involving evaluation, accreditation and certifica-tion or any others that involve the exercising of publicjurisdiction, which are subject to public law.

The Agency is formed of a president, a director and aBoard of management that consists of various membersfrom the universities themselves, the Generalitat deCatalunya and society, thus ensuring their involvement inthe objective of promoting and guaranteeing universityquality, 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 inorder to guarantee the objectivity of its actions, is madeup of different commissions to improve the technical andspecialised nature of its functions, which include the fol-lowing permanent commissions: the Comissiód'Avaluació de la Qualitat (the Quality EvaluationCommission), the Comissió de Professorat Lector iCol·laborador (the Lecturer and Adjunct Teaching StaffCommission) and the Comissió d'Avaluació de laRecerca (Research Evaluation Commission), which inturn is subdivided into the commissions for researchaccreditation and the different commissions foradvanced 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 otherautonomous, state or international agencies, and partic-ularly European agencies, that have attributed functionsof evaluation, accreditation and certification. As externalevaluation agencies and bodies are set up in the differ-ent Autonomous Regional Communities, their scopeand the degree of recognition given to their actions willneed to be constituted, especially in relation to therecruitment of teaching and research personnel.

The Catalan Agency and the other autonomousAgencies recognise different levels of joint collaborationthat are possible and have established the possibility ofrecognition of the functions of teaching staff accredita-tion carried out by the other agencies, according to thespecific regulation of each. Article 148 of the LUC estab-lishes that evaluations and accreditation carried out byother evaluation agencies or bodies can be consideredby the Catalan Agency. This question obviously needs tobe developed so that the same level of quality andexacting nature can be guaranteed for evaluating andapplying objective parameters that are recognised inEurope and technically accepted and expressly recog-nised by the Catalan Agency 38.



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The universities of the 21st century must besupportive and receptive to the needs ofsociety as a whole and at the same time con-tribute in an effective way to the objectivesof 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 AgenciaAndaluza de Evaluación de la Calidad y Acreditación (the Andalusian Quality and Accreditation Evaluation Agency), which is still in the blueprint stage; la ComissióValenciana d’Acreditació i Evaluació de la Calitat en el Sistema Universitària Valencià (the Valencia University Quality and Accreditation Evaluation Commission) setup by Law 5/2002 of 19 June; the Agencia Canaria de Evaluación de la Calidad y Acreditación Universitaria (the Canary Islands’ University Quality and AccreditationAgency), 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, Acreditacióny 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 theirown 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 ofthe 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 toRoyal Decree 1052/2002 of 11 October, which regu-lates the procedure for evaluation and certification byANECA for the purposes of the contracting of universi-ty teaching and research personnel, by the Generalitatde Catalunya, which considers that the SpanishGovernment lacks the competence to give the ANECAexecutive functions relating to contracted teaching andresearch personnel over the universities on a nation-wide basis 39. All of these functions are attributed in Law1/2003 to the Agència per a la Qualitat del SistemaUniversitari de Catalunya.

The Generalitat de Catalunya upholds that evaluationand certification are of an executive nature and anintegral part of the full competence of the Generalitatde Catalunya of article 15 EAC with regard to educa-tion, without admitting any extension of action by theSpanish state beyond its jurisdictional limits, given thatit is not affected by the broad spectrum jurisdictionalrights pro the Spanish State laid down in articles 27;149.1.1, 149.1.18 and 149.1.30 EC. The exercising ofthese executive functions is not to be duplicated bythe Spanish State agency, thereby avoiding unneces-sary bureaucracy and having to maintain paralleladministrations, given that ordinary educationaladministration 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'être ofthe reference made in articles 50, 51, 52 and 72 of theLOU to ANECA is the existence of universities thatcome under the scope of competence of the SpanishState, such as the UNED, and that the wording in theLOU given to the aforementioned articles puts certifi-cations and reports on an equal footing in legal andmaterial terms, whether these are carried out byANECA or by the external assessment bodies estab-lished by law in the Autonomous RegionalCommunities. This equal treatment has been nullifiedas a result of the reglamentary and unilateral attribu-tion of ANECA with executive activity on a nation-widebasis, in spite of the collaboration and co-ordinationprinciples and, in the opinion of the Generalitat deCatalunya, in breach of the constitutional doctrine laiddown in ruling 204/2002, legal principle 5, accordingto which it is an activity that fully corresponds inCatalonia to the Catalan Agency. These and otheraspects have been disclosed in the claim for jurisdic-tion that was presented by the Generalitat deCatalunya in defence of its competence and entered inthe Spanish Tribunal Constitucional on 27 February2003 40.

In any case, quality is an objective that is intrinsic touniversity activities and the three bodies with compe-tence, the Spanish State, the Autonomous RegionalCommunities and the Universities, will need to find a

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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 Generalitatde 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 (inCatalonia, assistant professors and full professors) and adjunct teaching staff, and the controlling of the percentage of private university teaching staff that requiresa 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 Federació d’Esquerra 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 earningsare affected, considering that evaluation is a necessary requirement for the assignment of certain bonuses. In the opinion of the appellants, the way that the Agencyis dealt with in the LOU alters essential aspects of university autonomy. This and other constitutional pronouncements are needed in order to definitively establishthe 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 tostart from the basis of respect for the body of consti-tutional principles that are applicable to the matter,and with particular awareness concerning universityautonomy.

6. University co-ordination and theinvolvement of society in the univer-sities.

As mentioned above and in the preamble of the LUC,the regulation contained in Section Heading VI, relativeto the Consell Interuniversitari de Catalunya (CIC)(Inter-university Council of Catalonia), which is the co-ordinating body for the Catalan University System, andthe consultation and advisory body for the Goven(Executive Council) of the Generalitat de Catalunyawith regard to the universities, replaces the hithertoprevailing Law 15/1998 of 28 December, although thecurrent regulation of the CIC in practice contains all ofthe functions that this co-ordinating body has beenexercising since then. The particular features of itsstructure are:

a) Individual bodies: - the presidency, - the vice-presidency - the general secretary.

b) Collegiate bodies: - The Conferència General (General Assembly) is

the participating and co-ordinating body of theuniversity community that establishes and evalu-ates the main objectives of the Catalan UniversitySystem. Representation on the Assembly isbroad-based and pluralistic and includes thepublic and private universities, educationaladministration authorities and various differentsocial agents and representatives from society in

general. - The Junta del Consell (Board of Trustees), which

functions either as a plenary assembly, includesrepresentatives from the public universities and upto three rectors from private universities that arelegally established as non-profit making entitiesand accept the Catalan University Programme,plus the UOC, or as a Permanent Commissionwith representation from the public universitiesand the UOC that deals with aspects that comeunder its exclusive competence.

Given its importance, mention is also made of section 4of article 122, which establishes that the CIC, throughthe setting up of specific advisory commissions, mustpromote the participation of the persons and/or entitiesthat represent social, professional, academic and eco-nomic requirements and interests, who, with theirauthority, activities, knowledge and experience, cancontribute to the fulfilling of the functions that it isentrusted with.

Variations in the composition of the social councils,which are an important medium through which societyparticipates in the universities and which also exercisegoverning functions, constitutes one of the outstandingaspects of the LUC. Chapter 3 on the social councils,under Section Heading III, which is on governance andrepresentation in the public universities, to a large extent



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Quality is an objective that is intrinsic touniversity activities and the three bodieswith competence, will need to find a peace-ful way of co-existing together in order toco-participate in this important issue.

lays down the functions established in the regulationcontained in the previous Law 16/1998 of 28 December,and at the same time reduces the composition of thisbody 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 ofexternal and internal university representatives in thecomposition of the body unchanged 41.

A new development in relation to the social councils isintroduced in article 87 of the LUC whereby they canconstitute 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 outsince their establishment by Law 26/1984 on 19December, the social councils of the Catalan universitieshave become a fundamental body that provides a col-lective impetus for the universities in promoting andmaking society aware of the universities and the servic-es that they provide.

7. The Catalan Universities Law: thelegal framework and its development,interpretation and application.

As appears in the wording of the preamble, the LUCoriginated out of a long process of reflection on thenew challenges and goals of the universities on thethreshold of the 21st century, which in Catalonia is theconsequence of a process of on-going debate in theuniversity community and with society in general. It isalso the result of the joint work of many individualswho have directly or indirectly contributed to the con-sideration and drawing up of the law, at times at points


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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 thatprovides a collective impetus for the uni-versities in promoting and making societyaware of the universities and the servicesthat they provide.

very widely separated over time as a result of the his-torical memory of those who have contributed to theideology of the Catalan university throughout history,which has resulted in many fruitful university conven-tions, the first of which was held one hundred yearsago. This includes convention delegates, academics,idealists, and many concerned and sincere peoplewho, through the ages and especially during times ofgreat difficulty, have maintained the University alive asthe motive force for thought and action, and who havedefended a status quo for the Catalan universitymodel.

In the drawing up of the LUC, priority was given to dia-logue, participation and consensus, especially as aconsequence of the work of the commission that wasespecially set up with the universities to prepare thedraft. The numerous proposals, changes and amend-ments received from all sides, which on the one handhave contributed to the enrichment of the Law, wereincorporated into the draft although on occasions inan unsystematic way, which led to the straying of thelegal wording of certain aspects from that normallyexpected of laws and as a result may not as read aswould be expected. The LUC is neither a perfect lawnor a future safeguard against the difficulties of thenew 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 approvedby the Parliament of Catalonia that will need to beexpanded on, with care being taken to prevent thelegal terrain becoming saturated with rules and regula-tions that always end up being rigid. Furthermore, itwill need to be interpreted according to criteria that areopen to the real life situation of the universities at anygiven time and also applied with sound judgementthrough the use, where necessary, of the advantagesthat 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 thebroadest sense of the word, is likewise the mostimportant element and needs to provide the necessaryscope of action for each university to be able to define,adapt and apply at least most of the various aspectsof the Law to its own particular university policy, there-by benefiting the diversity, quality and plurality of thesystem.

At the time when a law is being drawn up, approved,or even the moment when it comes into effect, it isdifficult to know whether it will be good or bad or if itwill respond sufficiently and in a satisfactory way tothe expectations and needs of the sector being regu-lated and of the public interest, and it is only the dayafter it is applied and produces effects that this startsto become known. The Catalan Universities Law hasbeen set in motion and it will require good political,legal and university practice for the model for theCatalan 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 allof the universities within it, that becomes integrated ina participative way in Europe and that contributes tothe influence of Catalonia and its universities in theworld.



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The use that the universities make of theirindividual autonomy needs to provide thenecessary scope of action for each univer-sity to be able to define, adapt and apply atleast most of the various aspects of the Lawto its own particular university policy.

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REFERENCES

PROCEDURE OF APPROVAL OF ORGANIC LAW ON UNIVERSITIES (LEY ORGÁNICA DE UNIVERSIDADES - LOU):

CORTES GENERALES. DIARIO DE SESIONES DEL CONGRESO DE LOS DIPUTADOS. COMISIONES. Año 2001, VII legislatura. Núm. 344, of 22 October2001. (Legal opinion on the report established by the commitee on the bill for the Organic Law on Universities)

BOLETÍN OFICIAL DE LAS CORTES GENERALES. CONGRESO DE LOS DIPUTADOS. VII legislatura. Sèrie A). Proyecto de Ley Orgánica de Universidades.Núm. 45-6, of 18 October 2001. (Table of amendments to the articles)

BOLETÍN OFICIAL DE LAS CORTES GENERALES. CONGRESO DE LOS DIPUTADOS. VII legislatura. Sèrie A). Proyecto de Ley Orgánica de Universidades.Núm. 45-8.

BOLETÍN OFICIAL DE LAS CORTES GENERALES. SENADO. VII legislatura. Núm. 37 (d), of 28 November 2001. (Amendments to the bill for theOrganic Law on Universities)

BUTLLETÍ OFICIAL DE L’ESTAT. Llei orgànica 6/2001, de 21 de desembre, d’Universitats. Núm. 307, of 24 December 2001.

PROCEDURE OF APPROVAL OF CATALAN UNIVERSITIES LAW (LLEI D’UNIVERSITATS DE CATALUNYA - LUC):

BUTLLETÍ OFICIAL DEL PARLAMENT DE CATALUNYA. Núm. 329, de 30 de juliol de 2002. Projecte de Llei d’Universitats de Catalunya.

BUTLLETÍ OFICIAL DEL PARLAMENT DE CATALUNYA. Núm. 386, de 4 de febrer de 2003. Publicació de l’informe de la Ponència.

BUTLLETÍ OFICIAL DEL PARLAMENT DE CATALUNYA. Núm. 388, de 4 de febrer de 2003. Text del Dictamen elaborat per la Comissió de PolíticaCultural.

BUTLLETÍ OFICIAL DEL PARLAMENT DE CATALUNYA. Núm. 394, de 19 de febrer de 2003. Publicació de la Llei d’universitats de Catalunya.

BUTLLETÍ OFICIAL DE LA GENERALITAT DE CATALUNYA. Núm. 3826 de 20 de febrer de 2003. Llei 1/2003, de 19 de febrer, d’universitats deCatalunya.

APPEAL AGAINST UNCONSTITUTIONALITY

Contra determinats preceptes de la Llei orgànica 6/2001, de 21 de desembre, d’Universitats promogut per Diputats dels GrupsParlamentaris Socialista, Federal d’Esquerra Unida i Mixt (BOE núm. 112, of 10 May 2002)


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BIBLIOGRAPHY:

BOSCH I GIMPERA, Pere (1971) La Universitat i Catalunya. Llibres a l’abast, núm. 97. Barcelona: Edicions 62.COMISSIÓ DE REFLEXIÓ SOBRE EL FUTUR DE L’ÀMBIT UNIVERSITARI CATALÀ (2001) Per un nou model d’Universitats. Informe de la Comissió de

Reflexió sobre el Futur de l’àmbit universitari català. 27 de març de 2001. Barcelona: Generalitat de Catalunya.CORDERO SAAVEDRA, Luciano (2000) “Los profesores universitarios con doble dependencia funcional”. La Ley. Revista Jurídica Española,

núm. 5160 (12.10.2000)EMBID IRUJO, Antonio i Fernando GURREA CASAMAYOR (2001) Hacia una nueva Universidad. Apuntes para un debate. Madrid: Tecnos.EMBID IRUJO, Antonio i Fernando GURREA CASAMAYOR (eds.) (2001) Legislación universitaria. Normativa general y autonómica (9ª edició). Madrid:

TecnosJORNADES UNIVERSITÀRIES DE CATALUNYA. SITGES 25 I 26 DE GENER DE 2002. Documentació i ponències. Barcelona-Sitges: Generalitat de

Catalunya.MARTÍ, Roser (1993) La conflictivitat competencial en l’àmbit de l’ensenyament. Col·lecció Estudis (IEA) Núm. 12. Barcelona: Institut

d’Estudis AutonòmicsNORMATIVA CATALANA D’UNIVERSITATS I RECERCA (1999) Quaderns de legislació. Núm. 19. Barcelona: Generalitat de Catalunya.PUIG I REIXACH, Miquel (1977) Els Congressos Universitaris Catalans. Catalanització i autonomia de la Universitat. Barcelona: Editorial Undarius.REVISTA JURÍDICA ESPAÑOLA “LA LEY” (1996) Repertorios de Jurisprudencia, vol. 5/1996, núm. ref. 7785. SOUVIRÓN MORENILLA, José María y Fernando PALENCIA HERREJÓN (2001) La nueva regulación de las universidades. Comentarios y análi-

sis sistemáticos de la Ley orgánica 6/2001, de 21 de diciembre, de universidades. Albolote, Granada: Editorial Comares.VALLE PASCUAL, Juan Manuel del (2001) “La crisis del profesorado universitario”. Actualidad Administrativa, núm. 34 (17-23.09.2001)

LEGAL OPINIONS AND REPORTS:

CONFERENCIA DE RECTORES DE LAS UNIVERSIDADES ESPAÑOLAS (CRUE) (2002a) Conclusiones de la reunión de la Comisión Sectorial deSecretarios Generales de la CRUE.

CONFERENCIA DE RECTORES DE LAS UNIVERSIDADES ESPAÑOLAS (CRUE) (2002b) Dictamen sobre la LOU encargado por la CRUE. Marzo de2002.

Consejo de Estado (2001) Dictamen sobre el Anteproyecto de Ley orgánica de Universidades, sesión de 19 de julio de 2001.DIRECCIÓN GENERAL DE UNIVERSIDADES E INVESTIGACIÓN DE LA JUNTA DE CASTILLA-LEÓN (2001) Las competencias de desarrollo y aplicación

que la LOU atribuye a la Comunidad Autónoma.REY, Salvador del i Joan MAURI (2002) Sobre el régimen jurídico del personal docente e investigador contratado por las universidades

públicas de Cataluña. Barcelona 25 de marzo de 2002.




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THE SYNCHROTRON LIGHT SOURCE PROJECT INEL VALLÈSRamon Pascual*

An Agreement to form the Consortium for the construction, installation and operation of the El Vallès Synchrotron Light Facility

(LLS, Laboratori de Llum de Sincrotró) was signed by the Ministerio de Ciencia y Tecnología (Spanish Ministry for Science and

Technology) and the Departament d’Universitats, Recerca i Societat de la Informació 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 Autònoma de Barcelona and works at the Institut de Física d’AltesEnergies (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 formedpart 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 hasgone through long periods during which hardly anybody else believed in it. He is especially grateful to Joan Bordas and Josep Campmany for their contributions tothis 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 VALLÈS

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1. Introduction

The European Physical Society held a meeting in1994 under the title “Large Facilities in Physics” toanalyse the existing large scientific installations inEurope at that time. In addition to the fact that therewas no Spanish or Catalan speaker at the meeting,the list of large facilities in Spain 1 was also almostnon-existent and limited to an intense magnetic fieldfacility in Zaragoza and a nuclear fusion installation atthe Centro de Investigaciones Energéticas MedioAmbientales y Tecnológicas (CIEMAT) in Madrid.Being restricted to the field of physics, other largefacilities such as the Canary Islands AstrophysicsInstitute (where today there is the Grantecan tele-scope), which was the only large facility in terms ofinvestment (around EUR 100 million), were excluded.

In spite of the fact that the level of science hasimproved considerably in both Catalonia and Spainover 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 Institut Laue-Langevin NeutronSource (ILL) in Grenoble, the list of the country'slarge scientific-technical facilities has improved verylittle. Aside from the previous exceptions and certain

commercial plants, several of which specialise indiagnosis and therapy, there are still no large facili-ties as in other countries of the European Union eventoday.

This situation contrasts with the enormous effort putinto creating large logistic and cultural infrastruc-tures in recent years. In Catalonia alone, thisincludes ports and airports, treatment plants, roadsand railways and, in the field of cultural infrastruc-ture, the Teatre National, the new Liceu (operahouse), the Auditori, the Museu National d'Art, etc.While the majority of citizens consider that theselarge investments are essential, it is very likely thatnot so many are aware of the lack of scientific infra-structure in Catalonia.

Of the large scientific facilities that are lacking, asynchrotron 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 toenterprises. This is the background for the initiativetaken by the Generalitat de Catalunya in 1993 toconstruct a synchrotron light source with the aim notonly of fulfilling the need in Catalonia for a tool ofincreasing use and with many applications in numer-ous scientific and technological fields but also ofrectifying the lack of large scientific facilities, partic-ularly in the field of accelerators, in Catalonia andSpain.

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 SpanishAntarctic Base Gabriel de Castilla; the oceanographic research ship Hespérides; the oceanographic research ship Cornide de Saavedra; the Centro Astronómico deYebes; the TJ II Thermonuclear Fusion Installation; the INIA High Security Biology Facility; CEDEX; Minisatellites (INTA); the Plataforma de Química Fina (FineChemistry Platform); the Plataforma Solar de Almería (Almería Solar Facility); the IRIS Network; the CNM Clean Room; Calar Alto Astronomy Centre; the TeideObservatory; the Roque de los Muchachos Observatory; and the Instituto de Radioastronomía Milimétrica (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 Planck’s 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 DNAchains 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 FirstResearch Plan (1993-1996) of the Generalitat deCatalunya gave official status to promotion for building

a synchrotron light facility in Catalonia for the commu-nity of users in the aforementioned geographical areaas well as other foreign users. The decision was basedon 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 SpanishConsejo Superior de Investigaciones Científicas, theDepartament d'Ensenyament (Ministry of Education)and the Departament d'Indústria (Ministry of Industry),together with experts working in foreign synchrotronlight facilities. The commission was appointed and for-mally set up on 4 September and the feasibility reportcompleted by the end of 1992, which was thenapproved by the Executive Council of the Generalitatde Catalunya on 9 February 1993.

Groups of experts in related areas and also groups ofusers of synchrotron light in Spain were also consult-ed during the second half of 1992. The Generalitat deCatalunya's initiative, which has been endorsed in itssubsequent Research Plans, was made more specif-ic through the establishing, by Decree 89/93 of 9March, of a Steering Committee, which was set up on31 March 2. A personnel training plan was also set inmotion with a call for applications for ten grantsaimed at young graduates and recent PhDs beginningtheir professional experience in the field of accelera-tors in general and particularly synchrotron lightsources. The members of the group first took part inan initial training stage at the Joint UniversitiesAccelerator School (JUAS), which was held for thefirst time near Geneva in Haute Savoie in 1993, andthen 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 potentiallocation on the campus of the Universitat Autònomade Barcelona (UAB) on land that the university waswilling to cede), a Co-operation Agreement wassigned in Madrid on 20 March 1995 between theSpanish Comisión Interministerial de Ciencia y

Tecnología (CICYT) and the Catalan ComissióInterdepartamental de Recerca i InnovacióTecnològica (CIRIT) to set up and run the synchrotronlaboratory, one of the purposes of which was to makea detailed three-year study of the project. The detailedstudy of the design of the synchrotron light source car-ried out during these years by this group 3, includingconstruction of the most important prototypes bySpanish companies, was completed in December1997 and published at the beginning of 1998.

This agreement has been renewed annually and hasfinanced the cost of the work until now, with a totalfigure of EUR 1.8 million up to 2002. This was com-plemented by the accord of the Executive Council ofthe Generalitat de Catalunya on 2 May 2000 whichset up the Laboratori de Llum de Sincrotró (LLS) con-sortium (Synchrotron Light Facility consortium) madeup of the Generalitat de Catalunya and the UniversitatAutònoma de Barcelona, the long-term objective ofwhich was to “build a synchrotron light source”.

Interest in a synchrotron light facility in SW Europewas shared by all of the Spanish and French regionsgrouped together in the Comunitat de Treball delsPirineus (CTP, Pyrenees Working Community) thatwas also active in promoting a synchrotron light facil-ity in the area. After various specific meetings, itbecame clear that joint action was the best way ofboth promoting the construction of the SOLEIL syn-chrotron light facility in southern France and con-structing a synchrotron source in Spain. Theseactions were made specific in the resolution signed bythe Presidents of the Pyrenean regions in Ordino(Andorra) on 8 July 1999. The decision of the Frenchgovernment to finally construct the SOLEIL facility inSaclay near Paris increased the likelihood of a syn-

2 It was initially headed by the author of the article and later on by Joan Majó. An international Advisory Committee was simultaneously formed by the directors oflarge 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 Vallès being supported by theregions in the south of France, particularly followingthe signing of the agreement by the Spanish andFrench governments to work together in fields suchas synchrotron light.

Once the detailed study of the project was complet-ed, the then Ministerio de Educación y Ciencia com-missioned an assessment by three foreign specialistsand subsequently a specific report commission,headed by Doctor Rafael Abela from the Swiss LightSource (SLS) at the Paul Scherrer Institut, the thirdgeneration synchrotron light facility in Switzerland 4,was set up to evaluate the Spanish requirements inthis matter. The commission's extensive reportanalysed the Spanish synchrotron light requirementsand appraised different solutions put forward to coverthe demand. It gave a clear recommendation for asynchrotron light facility to be built with the character-istics that had been designed in Barcelona. The studywas reviewed by the Comissión de GrandesInstalaciones Científicas y Técnicas (Commission forLarge Scientific-Technical Facilities), which also eval-uated possible alternative solutions to fulfil theSpanish requirements with regard to synchrotronlight. 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 delaythe decision any longer.

The Consejo de Ministros (Council of Ministers) of theSpanish Government finally gave approval for thesynchrotron light source project, which is to be built inthe area of El Vallès, on 8 March 2002. A protocol ofintentions was signed by the President of theGeneralitat de Catalunya and the Spanish Minister ofScience and Technology six days later on 14 Marchwithin the context of the European Council meeting inBarcelona under the chairmanship of the President ofthe Spanish Government. This protocol establishedthe commitment to build, install and run a synchrotronlight source in Cerdanyola del Vallès, and laid downthe signing by the two Administrations of a specificagreement regulating the details of the project, whichwould be financed equally by the two promotingAdministrations.

The definition of the legal structure of the large facili-ty was then worked on and the formal setting up ofthe Consortium to build, install and run theSynchrotron Light Laboratory was finally signed bythe Spanish Minister of Ciencia y Tecnología and theCatalan Minister for Universitats, Recerca i Societatde la Informació, in the presence of the President ofthe Generalitat de Catalunya, on 14 March 2003.

Figures for the cost and capital to be provided by thetwo Administrations have been defined and appear inTable 1. EUR 2,633,348 have been set aside in thebudgets of both administrations to ensure the start ofactivities this year and both have approved the multi-annual contributions to cover the economic forecast.It is anticipated that the Synchrotron Light Facility willbe in operation by 2008.

A long maturity period for a large facilities project likethis is not surprising. When the El Vallès project was

84


4 See below, next page and table 5.

A long maturity period for a large facilitiesproject like this is not surprising.


85

begun in 1992, four other synchrotron light sourceswere being planned in Europe, namely ANKA inKarlsruhe, the Swiss Light Source (SLS) in Villingen,near Zurich, SOLEIL in France and DIAMOND in theUK. At the present time, only two of these are up andrunning and they have only been put into operationrecently. A 5-milliampere current with an energy of 2.5GeV 5 was produced at ANKA in March 2000, the finaladjustments to the beamlines made in December2001 and synchrotron light supplied to users inDecember 2002. The SLS was officially inauguratedon 19 October 2001. Permission to construct SOLEILwas only given on 6 November 2002 by the Saint-Aubin municipality near Paris and the construction ofDIAMOND began in Chilton near Oxford on 27 March2003.

Section 2 sets out the need for a synchrotron light facil-ity in Catalonia, Spain and SW Europe and the differentreasons for building one. Section 3 explains what syn-chrotron light is and how it is produced. Section 4 givesan explanation of the most important uses of synchro-tron light. The potential impact and spin-off from thesynchrotron light facility in the El Vallès area aredescribed in section 5, and section 6 gives variousdetails about the project and the current situation.

2. The need for synchrotron light inCatalonia, Spain and SW Europe

Evidence of the use and need for synchrotron light forthe progress of science is the rapid increase in thenumber of new light sources that are in operation orbeing built or planned around the world. Many coun-tries have consequently built national third-generationsynchrotron sources of advanced specifications eitheras new facilities or to replace existing ones, as is thecase with Germany, France, Italy, United Kingdom,Switzerland and Sweden in Europe, United States,Japan and Russia. The situation is similar in othercountries where new light sources are being built,such as Armenia, Australia, Canada, Jordan, Thailandand 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 lightwith characteristics that exceed the capacity of theabove-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 1Estimated 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. Thefirst of these was the European light source atGrenoble (the above-mentioned ESRF, in whichSpain 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) inArgonne, Illinois (USA).

As with the field of accelerators in general, neitherCatalonia nor Spain has played an important role inthe development of synchrotron light sources up untilthe present time although there is a considerablenumber of Catalan and Spanish scientists who arecurrently involved in the scientific use of synchrotronlight sources abroad. Table 2 shows the number ofSpanish groups that used foreign synchrotron lightsources in the period 1995-2000 (excluding theESRF), 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 VallèsSynchrotron Light Facility project showed 7 that therewere more than eighty groups in Spain (involving morethan six hundred scientists) at that time interested insynchrotron light. As can be seen from figure 1, themajority needed intense light in the X-ray energyregion 8 between 4,000 and 30,000 eV and high bril-liance light in the X-ray energy region between 100and 2,000 eV. It was clear from these figures thatSpain needed a third generation synchrotron light

source with insertion devices (ID), undulators to gen-erate high brilliance light in the region of soft X-raysand wigglers that produce intense light in the regionof hard X-rays 9.

According to the Abela report mentioned above, thenumber of groups identified in 2000 had alreadyincreased to 159 all around Spain, 90% of which wereinterested in the X-ray band of the spectrum. Theconclusion of the report was that the needs of theSpanish community of users of synchrotron light wasnot covered sufficiently by foreign light source facili-

86


6 From the Abela Commission report “Una Fuente de Luz Sincrotrón en España”; Madrid, 26 February 2001.7 J. Campmany, Investigación y Ciencia no. 239, August 1996, p. 82-83.8 Light is characterised by a wavelength λ and frequency ν, the latter being related to the wavelength through the equation c = λν, where c is the speed of light invacuum. Likewise, the characterístics of light are sometimes referred to by the energy E of its photons, which is related to the frequency by E=hν, where h is Planck’sconstant. 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 theemission of light. Due to their special geometry, they increase the brilliance by several orders of magnitude over that emitted by bending magnets.

Table 2The number of Spanish groups using synchrotron lightsources 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 lightsource, 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 Spanishusers to other sources abroad, the CSIC has a linespecialised in photoemission techniques at the

French synchrotron light laboratory (LURE) in Paris.Access to public beamlines is available to Catalanand Spanish users (as for all participating countries)at the ESRF, where there are also lines belonging todifferent entities and countries. Through an agree-ment between the CICYT and CIRIT, Spanish usershad their own beamline (BM14) during 2001 and

2002 that specialised fundamentally in macromole-cular crystallography and the study of anomalousdispersion. As of 2003 and for a period of fiveyears, the agreement provides Spanish users with adifferent beamline (BM16) of similar characteristics(they no longer have the previous one). Spain is alsoconstructing the SpLine, which is another beamlinein the same installation that will soon come intooperation.

This current and anticipated capacity is, and will be,insufficient to cover the requirements of scientificdevelopment in Spain, which has to compete on aninternational level. On the one hand, the capacity ofthe ERSF can only admit a proportion of the Spanishusers needing photons in the normal and hard X-rayregion and, on the other, the high energy (6 GeV) andthe special scientific characteristics of the ERSF donot 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 somany sources when the existing ones could beshared? Aside from the technological and strategicinterest of the facilities, the number of insertiondevices needs to be increased to meet the demandfor optimised radiation, which in turn increases thesize of the accelerator and its cost. Given that thisincreases with the surface area and not with theperimeter of the accelerator, there is no saving ininvestment in building and sharing a very large accel-erator. Moreover, an excessive increase in the size ofthe ring reduces the curvature and, unless there is anexcessive increase of energy, less radiation is emittedby the dipoles and the capacity for installing manyexperimental stations is reduced. For example, thevolume 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

Pot

entia

l num

ber

of u

ser

grou

ps

Figure 1Potential number of user groups in Spain according to theirneeds

other national facilities that are smaller and of smallerenergy. An additional factor is that the costs of run-ning a foreign facility are higher than those of anational source.

Other strategic considerations, connected with acountry's need to create its own practical knowledgeand know-how and to thereby have influence over anextensive area with regard to the process of creatingwealth, make the choice of sharing a source undesir-able. For example, synchrotron light techniques areregularly applied by large companies in quality analy-sis and manufacturing processes. Companies needknow-how that can only be generated in a nationalfacility with wide-ranging scientific objectives beforemaking full use of a synchrotron light source. It wouldbe extremely difficult, if not impossible, to generateand 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, anelectrically-charged particle that is speeded up (orslowed down) emits electromagnetic waves in a con-tinuous spectrum and when a particle moves atvelocities approaching the speed of light, as occurs insynchrotrons, this radiation has unique properties thatare highly interesting for a wide range of scientificactivities. Synchrotron light is the radiation emitted bya charged particle, usually an electron, at a bend inthe trajectory at velocities approaching the speed oflight, as occurs in a synchrotron 10.

The unique properties of this form of radiation makeit highly interesting for a wide range of scientists. Alarge dipole magnet bends the high-energy beam ofelectrons in a synchrotron and this centripetal accel-eration produces a continuous fan-shaped beam ofsynchrotron 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 conewith 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 continuousspectrum from infrared to X-rays; it is polarised inthe orbital plane and moreover is emitted inextremely short pulses (typically several picosec-onds in length) and with a periodic structure (inmicroseconds).

Following the first experimental demonstration ofthe use of synchrotron light at the National Bureauof Standards accelerator in the USA in 1963, just 40years ago, the initial so-called 'first generation'experiments were carried out using synchrotronlight emitted by bending magnets in high energyparticle physics accelerators. By adapting tradition-al laboratory techniques, high quality results wereobtained. Later on, second-generation synchro-trons were built and optimised solely for their abilityto generate synchrotron radiation. The first (knownas Tantalus) was built at the Synchrotron RadiationCentre at the University of Wisconsin (USA) in 1977.The first source in Europe was launched inDaresbury (UK) in 1978. The number of synchrotronlight 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 butwhen 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-

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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-Análisis de

Materiales at the Universitat Autònoma 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 1.500Non-nuclear research 1.000Radiotherapy 5.000Production of medical isotopes 200Hadron therapy 20Synchrotron light sources 70Nuclear and particles research 110

TOTAL 14.900

The electrons in a synchrotron light source travel inbunches of 10 9 electrons that circulate around thering in an ultrahigh vacuum chamber. These bunch-es are very small in size and the beam is made up ofvarious bunches. While the electrons mutuallyrepulse 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 smallvolume. Another effect to be considered is that thevacuum chamber is made of metal and each bunchinduces an electromagnetic field that disturbs themovement of other bunches following behind. Theeffect 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 thatincreases in time and these oscillations thereforeneed 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 thatpasses through a monochromator, which selects therequired 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, Ec which is an energy suchthat half of the entire radiated power is emitted atphoton energies above the critical value and halfbelow the critical value (Ec) 13. Given the sensitivity ofmodern-day sensors, photons are useful up to ener-gies of around 2.5 times Ec. One or more experi-mental stations that use synchrotron light are set upat each bending magnet. The quality of the lightemitted is given by the spectral flux 14 and bril-liance 15.

The high flux and brilliance of synchrotron light andthe continuous spectrum of wavelengths, whichenables researchers to be able to select the wave-

length required (which make it unique for manyapplications, as described below), are complement-ed by the polarisation of the emitted radiation, whichprovides for many applications, for example differen-tiation of the symmetry of electronic states, and theirtemporary structure, which enables real time dynam-ic studies to be carried out with a resolution down toone thousand millionth of a second.

In third-generation synchrotron light sources, elec-trons 16 are fed from a small linear accelerator atenergies of around 200 MeV into a booster ring thataccelerates them to nominal energy, which is oftenaround 2.5 or 3 GeV, corresponding to a velocity of99.999% of the speed of light in vacuum. On leavingthe booster, a deviator magnet feeds them into astorage ring where a series of magnets 17 with a largemagnetic field keep them circulating for hours until alarge part have been lost, at which point more elec-trons are reinjected. Alternatively, in what is knownas top-up injection, continuous refilling of beam-cur-rent maintains them at an approximately constantintensity. This type of storage ring has a polygonalform with alternating curved sections with dipolemagnets in the vertices of the polygon that bend thetrajectory and straight sections where electrons trav-el freely in a straight line. Charged radio frequencycavities are used on certain straight sections toaccelerate and restore the lost energy of electronsdue to the emission of synchrotron light.

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13 Its value is Ec=0.665 BE 2, where Ec 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 inphotons/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 inphotons/s/mm 2/mrad 2/0.1%BW. An acceptable level of brilliance in these units would be higher than 1014.16 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 thechamber 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 theystay 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 travelat the same speed. Other magnetic systems have other specific missions.


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One of the most important characteristics of modernsynchrotron light sources is that the length of thestraight sections between the bending magnets isincreased by several metres to install insertiondevices (ID, wigglers and undulators), which areinstruments that produce higher quality light thanbending magnets 18.

A wiggler generates a high intensity of photons byadding the radiation emitted by each of its poles.Moreover, it has a higher magnetic field than bendingmagnets 19 so the energy range of the photons can beincreased. An undulator has a lower magnetic field sothat the angular excursion of the electrons is lowerthan the natural cone angle of emission of synchro-tron light. This produces constructive interferencethat redistributes the soft spectrum of the synchrotronlight 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 energiesthan a wiggler) and the degree of collimation and,therefore, its brilliance.

4. Uses of synchrotron light

Synchrotron light is currently being used more andmore in numerous fields of industrial research andespecially basic research. Up until the 1960s, themain and almost sole users of synchrotron light werephysicists who made what could almost be qualifiedas 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 builtspecifically for this purpose and many new applica-

tions based on a wide variety of techniques havebeen made and while it is scientists in certain fields ofbiology who are today becoming one of the maingroup of users around the world, easy access to asynchrotron light source is now highly important inmany fields of competitive research in both the publicand private sectors.

Important industrial users of synchrotron light includethe pharmaceutical industry, which uses it to designnew medicines; the food industries, which use it toimprove the properties of their products; cosmeticsmanufacturers interested in product effectiveness andeliminating counter-productive side-effects; differentsectors in the textile industry interested in producingnew synthetic fibres; enterprises interested in cata-lysts and pollution problems; etc. Other uses includethe traditional use of lithographic techniques used inmicroelectronics and nowadays micromechanics,where innovative LIGA techniques have led to theANKA source being put into operation in Karlsrhue,which is used mainly for the micromanufacturing ofdevices 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 togrow; companies that actually benefit from all of this,however, are those that make large investments inR+D to ensure their competitiveness.

A description is given below of several areas in whichsynchrotron light is applied in fundamental andapplied research in fields as diverse as physics,chemistry, materials science, structural biology, geo-physics, environmental physics, etc.

There are many important fields in physics thatrequire 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, withimportant applications in the development of datastorage products; the spatial determination and vari-ation of the atomic and electronic structures of manymaterials 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 criticalinterfaces between gaseous, liquid and solid phases.Synchrotron light has been crucial in many advancesmade in surface science techniques and it continuesto be so from the applied perspective, for example, inthe study of surface phenomena involving corrosion,surface doping, the surface engineering of disposableproducts, electrochemical alterations, hydrophobiccoatings, adhesives, etc.

There are many substances in materials science thatare totally or partially non-crystalline. In certain cases,their properties are connected with the presence ofnanocrystals or chemical impurities. One area inwhich 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. Manyadvances have been made in magnetism, such assoft X-ray magnetic circular dichroism techniquesexclusive to synchrotron light that offer unique possi-bilities, the field of sensors, which is an increasingly

important market, the detection of in situ magneticmicrostructures, etc.

The use and applications of synchrotron light in thefields of the life sciences and biochemistry haveincreased even more. For example, synchrotron lightpermits the study of conformational changes in dis-solved biological macromolecules through the use oftemporary resolution X-ray dispersion techniques,given the unique temporary structure of synchrotronlight. The techniques are similar to conventional spec-troscopic techniques with the fundamental differencethat they can also provide direct structural informationat 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 beapplied by using synchrotron light sources.Temporary resolutions above a millisecond open upthe possibility of systematically studying the structur-al dynamics of, for example, the structural cynetics ofprotein folding. Another field that is opening up is thatof biological complexes that form bi-dimensionalstructures such as membranes; low angle X-ray dif-fraction experiments provide direct information on thestructural dynamics of how these complexes work,for example, when they transport ions or small mole-cules through a membrane. This is also the case withthe study of the structural dynamics of other fibrousmolecules, such as DNA and muscle tissue.

One spectacular example of the power of synchrotronlight is how the study methods of the atomic structureof biological systems using biological macromoleculecrystals have been transformed. The resolution of astructure used to require years of work whereas syn-chrotron light techniques enable this to be done in analmost routine way in a question of hours. Now thatthe Human Genome Project has been completed, thisimportant advance enables the next great scientificchallenge to be realistically handled, namely deter-mining the structure of the tens of thousands of pro-

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One spectacular example of the power ofsynchrotron light is how the study methodsof the atomic structure of biological systemsusing biological macromolecule crystalshave been transformed.

teins coded by the genome. This discipline, which isnow known as proteomics, may well become one ofthe great breakthroughs of the Twentieth-first centuryand synchrotron light is one of the central tools thatwill be essential for its success.

Another example is the progress made in determin-ing the immediate environment of metallic centres inbiological macromolecules made possible throughthe use of spectroscopic X-ray techniques that canonly be applied in synchrotron light sources. Metalsare involved in reactions as diverse as DNA tran-scription, photosynthesis and many enzymatic mech-anisms. These techniques enable the structurearound a metal centre to be determined down to aprecision of around 0.002nm and in principle thesemethods can also be used to determine changes inthe 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 withouttemporary resolution), confocal microscopy, pointspectroscopy, or experiments on temporary andspatial correlation using coherent X-ray dispersion,that have enormous potential in the study of thestructure and function of biological systems. Whilesome of these techniques are at the incipient level, itis probable that they will soon become routine appli-cations.

Certain applications of synchrotron light in medicineare also under consideration, such as the field ofcoronary angiographies, and new fields of applicationare constantly arising in highly diverse sectors. Arecent application of infrared synchrotron light at theAdvanced Light Source in Berkeley, for example,enables samples smaller than 10 microns to be non-destructively analysed in order to detect, amongstother things, whether a document or bank note isfalse or has been tampered with.

Table 3 gives a summary of the main characterisationtechniques that use synchrotron light sources, theareas of application and the fields of science andindustries where they are used. Techniques that alterthe state of samples are given in table 4.

The wide diversity of fields of application and analyti-cal techniques made available by synchrotron light, ofwhich a mere brief summary is given here, is undeni-able proof of the importance of synchrotron lightsources in a great variety of fundamental and multi-disciplinary scientific fields.

5. The impact of a synchrotron lightfacility

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 technicalimpacts are the direct consequence of the wide pos-sibilities opened up by synchrotron light sources forthe scientific community and enterprises that usethem to carry out research and innovation. Aside fromthis intrinsic interest, however, large facilities are alsotools that stimulate the technological development ofa region and it is in the surrounding area where aprocess of cross-fertilisation between research, devel-opment and industrial innovation takes place, resultingin the actual transfer of knowledge to enterprise.Technological enterprises frequently locate aroundlarge facilities and jointly participate in the design andmanufacture of prototypes together with personnelfrom the facility, partly to cater for their own needs forinstrumentation and equipment that are not availableon 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 inconstructing the prototypes. Such collaborations arenot 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 theirentire lifespan, which in the case of a synchrotron lightsource is at least more than thirty years.

During the initial stage, large facilities also lead to thedevelopment of construction technologies as theresult of non-standard building characteristics that

are required of construction firms. In the case of asynchrotron light facility, for example, highly demand-ing requirements are made of the building with regardto ground stability, the insulation of a wide range ofvibration frequencies (all frequencies exceedingamplitudes of a few micrometers in the band between1 and 100 Hz), the insulation of electromagneticfields, highly stable temperature conditions, etc.

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Table 3Main 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, aerospaceminority phase studies, stress and strain, iindustry, plasticsamorphous 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, metallurgymaterials, 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 4Main 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 ofenterprise that benefit in this way from synchrotronlight sources mainly include manufacturers of highprecision (usually one part in 10,000), permanent andnon-permanent magnetic systems; manufacturers ofhigh output and highly stable power supplies (hun-dreds of kW); specialist firms producing ultrahigh vac-uum systems (of the order of 10 -10 millibar), precisionmechanics and cooling systems; manufacturers ofelectronic 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, diagnosissystems, optical systems of different wavelengthsfrom visible to X-rays, etc. Extremely high demandsare also made on computer firms (software and hard-ware) and those dealing with data acquisition andmanagement.

One of the objectives of the synchrotron light sourceis 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 orderto participate in the construction of the light source,these technologies can be obtained without toomuch effort and it is anticipated that around 70% ofthe supply and investment will be covered bySpanish enterprises. As explained below, this type ofcross-fertilisation has already occurred in the case ofenterprises that have participated in developing pro-totypes built during the design stage of the facility, tothe point that all of them have been built by Spanishenterprises.

This scientific-technical impact ultimately results in aseries of economic impacts, of which the most directones 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% ofthe investment in the case of large facilities. Over onehundred jobs are created directly, most of which arefor qualified personnel in different fields, to which onemust add jobs that are indirectly created during con-struction and others that become included as thefacility increases its capacity through the addition ofnew beamlines required by new users. The other maineconomic factor, which derives from a large facility asa centre of attraction for enterprises and new techno-logical investment, is more difficult to quantify but isundoubtedly important.

Aside from the importance of the economic impactthat the investment and job creation represent, syn-chrotron light sources are facilities that fundamen-tally specialise in providing a service to users. In thecase 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 thefive working beamlines initially programmed 20 wouldalready be around a thousand. This figure willincrease 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 inthe environs. Furthermore, the fact that researchershave a working instrument in synchrotron light willencourage the best researchers to stay and work here.

The presence of permanent and temporary qualifiedpersonnel in the facility itself and in enterprises thatset up around it result in a positive social impact onthe area surrounding a large facility, which in thecase of El Vallès will make an important contributionto the social and urban environment, the core ofwhich consists of the Universitat Autònoma de


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20 See below, table 8.

Barcelona and the Parc Tecnològic del Vallès (VallèsTechnology Park), which is served by the A-6 (fromBarcelona to Madrid, and La Junquera on theFrench border) and C-58 national motorways (fromBarcelona to France via Puigcerdà) and the B-30highway, which runs parallel to the A-6, togetherwith the new, recently approved Centre Direccional(development plan).

A large facility like this is also extremely important asfar as personnel training is concerned. Due to itscharacteristics, a synchrotron light source requires alarge 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 placeswhere professionals-to-be can acquire the trainingthat will enable them to become qualified to work ina very wide variety of different environments in thefuture.

6. The Synchrotron Light Sourceproject and its current situation

As mentioned above, one of the main objectives ofthe synchrotron light source project is to have alarge accelerator facility, which in Catalonia has cer-tainly been lacking. While Spain is a member ofCERN and the ESRF, both of which are accelerator-based laboratories, and there are teams of highenergy physicists in Catalonia and otherAutonomous Regional Communities who areexperts in elementary particle detectors as well assynchrotron light users, there is an insufficient num-ber of experts working in a field as wide as that ofaccelerators. The project therefore has the funda-mental objective of adding Catalonia and Spain tothe list of countries that are most advanced in theuse of synchrotron light and associated technolo-gies and of making a synchrotron light source

directly available to the scientific community inCatalonia and Spain. The purpose is also to have alarge laboratory of excellence of international scopethat serves as a personnel-training centre and toattract technological enterprises. A further objectiveis to establish a centre where the academic andindustrial worlds can collaborate together and thatalso facilitates relations between basic research anddevelopment.

Large facilities like this need to be built preferably inareas that have good communications and are wellconnected and, if possible, that already have a cer-tain scientific and industrial potential like that men-tioned above. In this respect, a location near toBarcelona would appear to be an ideal location andEl Vallès, 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 areaof 340 hectares, will result in an investment of EUR176 million as well as creating thousands of jobs. Allof this forms the ideal location for the synchrotronlight source facility.

The characteristics of this synchrotron light sourcewill be similar to those of other recently constructedEuropean sources or that are currently being built,as can be seen from table 5. It consists of an elec-tron accelerator with conventional magnets forminga ring of approximately 250 metres in circumfer-ence. Electrons are brought to an energy level ofseveral hundred MeV using a commercial linearaccelerator. A synchrotron then accelerates thebunches of electrons to a nominal energy level of2.5 GeV and they are then injected into the mainring where they circulate at a velocity close to thespeed of light. Electrons emit synchrotron light inthis ring where radio frequency cavities are used toaccelerate the particles and restore energy loss.

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The main characteristics of the El Vallès synchrotronlight source are given in table 6.

The present design of the ring has a dodecagonalshape and certain minimal final touches are beingmade to optimise it. Each of the twelve cells willhave an array of three bending magnets (the struc-ture known as triple bent achromat [TBA]) that actas light sources. Altogether, it will have twelvestraight sections (around 7 metres long), one ofwhich will be used to inject the beams and anotherwill contain accelerator cavities, with the tenremaining sections being available to install inser-tion devices. The three bending magnets in eachcell of the ring generate a dipole magnetic field thatbends the high-energy electrons, as well as aquadrupole component that, together with a seriesof other quadrupole and sextupole magnets, opti-mises the optics of the ring as an aid to improvingthe quality of the light produced. Currents of at least200mA circulate around the ring. It is thereby calcu-lated that the ring will need to be reinjected once aday unless it is decided to be refilled periodically, apossibility which is under study. This ring will becapable of supplying usable light with a criticalenergy of the order of 5 keV.

While the ring will be able to accommodate up to thir-ty independent beamlines, the approved project onlyenvisages the funding of five at the present time.

Throughout the estimated lifespan of the facility andaccording to the particular needs of the scientificcommunity 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 othercountries.

The anticipated initial technical characteristics of thelight emitted by the bending magnets and insertiondevices are given in table 7.


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Table 5Characteristics 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 Vallès, Catalonia) 2,5 GeV 12 251,8 m 8,5 nmrad

Table 6Key parameters of the El Vallès 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 8,61·10-4 -

Energy loss per orbit 0,42 [MeV]

Critical energy 4,20 [keV]

Table 8 shows the proposed characteristics for thefirst five planned beamlines 21.

The light source has been designed so that it has thenecessary potential to incorporate developments thatoccur in forthcoming years. In particular, it will be possi-ble to increase the energy of the light source to 3 GeVand it is also envisaged that certain superconductorbending magnets capable of providing high intensities atrelatively high energies will be incorporated. The inclu-sion of superconductor wigglers may also improve itsfuture performance qualities, enabling the entire volumeof users to be catered for and providing optimised, veryhigh intensity beams that are complementary to theERSF 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 ofthe project to be verified, as well as testing the capaci-ty of Spanish enterprises to take on the construction ofthe fundamental parts of the facility (as mentioned

above). The most important of these have been thedevelopment of the dipole magnet prototypes, a highstability power source, a magnetic measurements bankand the design for a section of the vacuum chamber. Inthese cases, Spanish enterprises have developed prod-ucts that have enabled them to acquire knowledge thathas opened up new markets for them. One companybuilt the prototypes for a dipole magnet with a quadru-pole component and a field intensity of 1.2 Tesla, whichweighs around seven tons and has a precision of 1 in10,000. It was designed by the group in charge of theproject with funding from CDTI. As a result of the expe-rience acquired from this, the company has been ableto successfully participate in invitations to tender fromother laboratories abroad. A similar thing has happenedto the company that made the necessary 1,500amperes power supply for the electromagnet with aprecision of 100 ppm, which is the most precise powersource ever built in Spain. Another precision instrumentcompany built a magnetic measurements bank to cali-brate the magnet, the quality of which has led to the ElVallès Synchrotron Light Facility being contracted tocalibrate and monitor the quality of the entire series of

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Table 7Anticipated characteristics of the light emitted by the El Vallès 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 1014 and 1015 photons per 0.14 mm axes) 2nd axis: 0.4 mrad (UV and soft X-rays) second, per mm2 and per mrad2, in

a bandwidth between 0.999 λ and 1.001 λaccording to selected wavelength λ

Undulators Elliptical (1.8 and 1st axis: 0,1 mrad 0,1 – 4 keV Between 1018 and 1019 photons per 0.24 mm axes) 2nd axis: 0,4 mrad (soft X-rays) second, per mm2 and per mrad2, in a

bandwidth between 0.999 λ and 1.001 λaccording to selected wavelength λ

Wigglers Elliptical (1.8 and 1st axis: 0,4 mrad 2 – 26 keV Approx. 1016 photons per second,0.2 mm axes) 2nd axis: 7 mrad (soft and hard X-rays) per mm2 and per mrad2, in a bandwidth

between 0.999 λ and 1.001 λ according to selected wavelength λ

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 ofusers, which may change, and the technological advances that have taken place.

magnets, each weighing seven tons, built by a Britishfirm for the ANKA synchrotron light facility that has justbeen put in operation in Karlsruhe. The same processhas occurred with the more complex (both dipole andquadrupole) 7.5-ton magnets being built for a synchro-tron light source in Canada.

Although the main partners in the new synchrotronlight source are the Spanish and Catalan govern-ments, the project has been designed so that it canserve the entire south-west of Europe, especially thesouth of France, Portugal and later on the countries ofthe Maghrib. Users in South America should not beruled 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 tofruition on the basis of a good proposal plan and a

detailed analysis of its viability and usefulness. In thisparticular case, in somewhat more time than was possi-bly desirable, a good proposal plan has been made, theusefulness of which has been extensively debated.Despite the fact that it involves a considerable invest-ment by both the Spanish and Catalan governmentsover the coming years, the benefit and usefulness ofbuilding a synchrotron light facility with its enormous andextensive cross-disciplinary scientific nature, togetherwith the innumerable applications in numerous fields isendorsed by similar actions in other countries. Unlikemany other scientific projects, justification for the build-ing of such a facility lies in the combined needs of manyof its potential users, some of which have opposingobjectives. 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 developmentof the scientific community in Catalonia and Spain.


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Table 8Anticipated details and use of the initial five planned synchrotron light beamlines

Line Energy Resolution Other characteristics Uses

1 0,05-0,63 keV <2,5·10-4 over the Transmission of second order Absorption, reflection and photoemmisionentire range harmonics < 10% in the entire spectroscopies of solids, gases,

spectrum surfaces and interfaces

2 0,2-1,6 keV <4·10-4 over the X-ray spectroscopies, used in many entire range experiments in surface sciences

3 7-26 keV 2·10-4 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 diffraction1013 photons per second and per bandwidth of 0.1%

4 4-12 keV 5·10-4 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 5·1013 photons per second and per wavelength of 1 Å and a luminousbandwidth of 0.1% flux as high as possibleVery 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 modelfor the catalan publicuniversities Esther Pallarols, Santiago Lacruz andJosep Ribas

The 2003 budget for theDepartment of Universities,Research and the InformationSociety and dependent bodies Anna Tarrach Colls

State grant awards for settingup and developing biomedicalresearch networks Robert Tomas Johnston

n o t e s104 114 126

CONEIXEMENT I SOCIETAT 01 I NOTES

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* *Esther Pallarols is a member of the team of technical advisors to the Secretaria General (General Secretariat) of the Departament d’Universitats, Recerca i Societatde la Informació (Ministry of Universities, Research and the Information Society) of the Generalitat de Catalunya (Government of Catalonia).** Santiago Lacruz is a budgeteer in the Àrea de Prospectiva Universitària i de Qualitat (University Outlook and Quality Section) of the Direcció General d’Universitats(Directorate General for Universities). Departament d’Universitats, Recerca i Societat de la Informació (Ministry of Universities, Research and the Information Society)of the Generalitat de Catalunya (Government of Catalonia). *** Josep Ribas is head of the Àrea de Prospectiva Universitària i de Qualitat (University Outlook and Quality Section) of the Direcció General d’Universitats(Directorate General for Universities). Departament d’Universitats, Recerca i Societat de la Informació (Ministry of Universities, Research and the Information Society)of the Generalitat de Catalunya (Government of Catalonia).

THE FUNDING DISTRIBUTION MODEL OF THE CATALANPUBLIC UNIVERSITIESEsther 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

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1 Introduction

Extensive use is made of objective models for univer-sity funding in the European Union and other advancedcountries. Valencia was the first Autonomous RegionalCommunity in Spain to apply such a model and anobjective system of resource distribution has in usethere since 1993.

The Departament d'Universitats, Recerca i Societat dela Informació (DURSI, Ministry of Universities, Researchand the Information Society) of the Generalitat deCatalunya (Government of Catalonia) has been using afunding distribution model based on objective indica-tors and formulae to distribute funding to the Catalanpublic universities since 2002.

Prior to this, funding of the Catalan public universitieswas assigned basically according to incremental crite-ria. With the transfer of competence over universityeducation from the Spanish State to the Generalitat deCatalunya in 1986, the Departament d'Ensenyament(Department of Education) set the grant for the threeuniversities 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 theuniversities and were the forerunners of the presentuniversity funding model. An objective and common-to-all system for funding new fields of education wasintroduced on authorisation of the Govern (ExecutiveCouncil) in 1992 and programme contracts were pro-gressively introduced from 1997 onwards as a way ofimproving the quality of the universities.

The main criteria of the model for funding new studiestake into account the number and changing trend ofstudents that annually take up studies, the cyclicalnature of studies and the degree of experimentation ofstudies.

Quality programme contracts set quality improvementobjectives for university teaching, research, servicesand management by means of an annual assessmentusing pre-established quantitative and qualitative indi-cators agreed by both DURSI and each university,which leads to additional government funding and isdirectly linked in each case to the objectives that havebeen achieved by each university. In addition to beingfinancial instruments, programme contracts have alsobecome 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 policyand activity accountability.

The Departament d’Universitats, Recerca iSocietat de la Informació (DURSI, Ministryof Universities, Research and theInformation Society) of the Generalitat deCatalunya (Government of Catalonia) hasbeen using a funding distribution modelbased on objective indicators and formulaeto distribute funding to the Catalan publicuniversities since 2002.

2 General features of funding distribu-tion models

The process of decision-making concerning universityfunding is carried out in two stages in most countries.The first stage involves the mechanisms of politicaldecision-making that determine the overall figure setaside for higher education funding whereas in the se-cond stage a calculation is made of the percentage ofthese funds that corresponds to each universitythrough the use of a specific formula based on objec-tive indicators. One exception is the model used inDenmark (taximeter model) where the overall volume offunding is determined by the trend of certain indicators.The main problem with this type of mechanism isuncertainty in funding forecasting.

The general objectives of the distribution mechanismsbased on formulae and indicators are:- To establish a stable multi-annual financial frame-

work for each institution that provides for its financialautonomy and the attainment of its institutionalobjectives.

- To implement a simple, equitable, transparent andautomatic system that avoids constant renegotia-tion, pressure and a policy of fait accompli.

- Discretion in the allocation of funds is reduced to aminimum, as these are a function of objectiveparameters.

- To improve the quality of higher education.

- To promote quality competitiveness between institu-tions of higher education on the basis of a system ofpositive 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 isbased on independent models in most countries.Certain exceptions are Germany, France and Flanderswhere the funding formula includes teaching andresearch (as in Australia and New Zealand). The modelfor funding distribution in Catalonia guides the fundingof recurrent expenditure incurred by the universities.

The implementation of a funding model usually envi-sages a period of transition to enable the model to begradually introduced without there being a realdecrease in the funding that universities receive. Theperiod of transition in Catalonia is based on the pre-mise that no university is to lose funding.

3 Features of the funding distributionmodel for the Catalan public univer-sities

The funding model for the Catalan public universities isa funding model. It is not a model for establishing theoverall amount of public university funding, which is akey element and depends on the political process. Setevery year in the Llei de Pressupostos (Finance Law orBudget), the amount has to do with macroeconomicand strategic considerations and it accrues first of allfrom the priorities of the government and ultimatelythose of Catalan society, which is represented inParlament (the Catalan Parliament).

The object of the model is to establish criteria in theapportionment of budget allocations for the sevenCatalan public universities. The model is based on theequal weighting of university students in the public sys-

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The model is under the constraint that nouniversity shall lose funding in relation tothe amount received in 2001.


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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 andquality of university institutions as the distribution ofpublic finance for university funding is directly relatedto student progress, efficiency in the process of pro-ducing graduates and the achievement of qualityimprovement objectives. The model gives support tothe financial and budgetary autonomy of the universi-ties in that it provides them with an approximate ideaof the public grant that they will receive in forthcom-ing fiscal years, at least as far as the main part of thetotal grant is concerned. It also fosters the prioritisa-tion of objectives and reinforces their strategic plan-ning. In overall terms, the model is orientated towardsimproving the economic and strategic planning of theuniversities.

The funding model applied to the Catalan public uni-versities is not a costs model of the type that sets outto establish a unified concept of university organisationwhich evaluates the costs and then determines anoverall figure for the capital requirements. As in mostpublic services, the limit to the volume of desirablespending is the limit set by the funds that are availableand what needs to be ensured is that the amount ofavailable funding, albeit a larger or smaller amount, isused appropriately and that value for money is deli-vered. The model thus determines the grant for eachuniversity and once this has been established, it is thejob of each university to make efficient use of the allo-cated funds in order to obtain the best teaching andresearcher product possible with the available funds onthe basis of the requirements and teaching andresearch policy of each university.

The funding model only refers to operating expenditureand does not include public finance for universityinvestment nor university R+D actions, which are co-

vered by the current Pla d'Inversions Universitàries(University Investment Plan) 2001-2006 and the Pla deRecerca de Catalunya (3rd Research Plan forCatalonia) 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 thatreceived in 2001. Unrestricted application of the fund-ing model does formulate a new situation where theuniversities may demonstrate differing degrees offunding requirement, resulting in the model allocatingmore funding than in 2001 for some universities andless for others. A transition stage is therefore pro-posed through which the grant is gradually increasedfor those universities receiving increased funding(according to the model) and, at the same time, uni-versities that are to receive less funding (according tothe model) are given the guarantee that funding willnot be reduced. The idea is for all of the universitiesto receive their corresponding level of funding throughthe direct application of the model within a relativelyshort 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 whichare carried out by institutions other than the universi-ties themselves that receive the corresponding grantsfrom DURSI. An accounts analysis of the DURSIbudgets discloses finance set aside for institutionsother than the individual universities, which also needto be accounted for in any analysis of public universi-ty funding.

These institutions include the Consell Interuniversitaride Catalunya (Inter-University Council of Catalonia), theAgència de Gestió d'Ajuts Universitaris i de Recerca(University and Research Awards Agency), the Agència

per a la Qualitat del Sistema Universitari (UniversityQuality Assurance Agency), the Consorci deBiblioteques Universitàries de Catalunya (CBUC -Consortium of University Libraries in Catalonia), theprogramme of the Universitat Digital (Digital University),the Centre de Supercomputació de Catalunya (theSupercomputation Centre of Catalonia), and otherssuch as the Jaume Vicens Vives distinction for univer-sity teaching quality.

4 Model structure

Funding for the recurrent or operating expenditure ofthe Catalan public universities is constituted by way ofthis funding model, which is made up of five maincomponents or grants. The model anticipates a fixedgrant (FG), which is the same for each university; abasic grant (BG) that depends on the size of each uni-versity; a derivative grant (DG) that finances spendingon university teaching staff and research personnelrecruitment; a strategic grant (SG), which is linkedwith university policy objectives established betweenDURSI 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 (TGTi) isdetermined by the following formula:

TGTi = FGi + BGi + DGi + SGi + CGi

a) The fixed grant (FG)

This component of the model determines an equalgrant for all of the universities. It contributes to the mi-nimum structural expenditure for the normal running ofthe universities and is not connected with the scale oftheir academic activities, nor their size or specificnature. This expenditure includes spending directlyrelated with the governing and management of the uni-versities through the rectory, management and themain structures for services, administration and therunning 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 universityacademic activities and the resulting operating expen-diture that is incurred. It constitutes the main part of thecontribution made by the Generalitat de Catalunya topublic university funding. DURSI determines the overallannual amount of finance set aside for this type ofgrant, which is known as the basic aggregate grant.

Once the overall amount of the basic aggregate granthas been established, the basic grant of each universi-ty is determined using a finance distribution formulathat evaluates the following weighted variables: 1) thenumber of credit enrolments 1, 2) the number of newstudent 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, acriterion 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 beingclassroom-based, those of experimental science and technical degrees are 50% classroom-based and 50% laboratory, and the practical credits of health sciencedegrees have been divided equally between the classroom, laboratory and clinical practice.

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1) The number of credit enrolments in the differentdisciplines and universities is weighted by the coef-ficients of academic structure 2 and repetition 3. Thecoefficient of academic structure recognises thedifferential of the academic requirements for disci-plines in relation to each other and at the sametime establishes the same level for the same disci-pline, which is possibly offered in more than oneuniversity in the system. The coefficient of repeti-tion progressively penalises credits that are repeat-ed. The indicator for each university gives the totalof the equivalent credit enrolments (TCME). Thisindicator is associated with the size of the universi-ty and the cost of teaching activities, and priority isgiven to improving the academic performance ofthe system.

2) The number of new student admissions is weightedby the number of theoretical study credits and thecoefficient of academic structure. The indicator foreach university gives the total number of equivalentnew admission credits (TCNAE). This indicator is ameasurement of the inflow of students into the uni-versity and affects the immediate future of teachingactivities and certain specific costs arising from theprocess of new student entry.

3) The number of graduates is weighted by the numberof theoretical study credits and the coefficient ofacademic structure. The indicator gives the totalnumber of equivalent degree credits (TCTE). Thisindicator 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 thathouse basic academic activities.

In order to obtain greater variable homogeneity overtime and to prevent the occurrence of a significantannual variability that could give lead to importantmodifications in the annual budgetary allocationbetween the different universities, the model uses datathat refer to the moving average of the previous threeacademic years (except for the square metres variable,which refers to the previous year's allowance).

The weighting of the above-mentioned four variables isas 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 degreecredits and 10% according to the square metres of uni-versity buildings.

The basic grant of each university, according to themodel, is determined by means of the following formula:

SBi = Pi × aggregateBG

where,

Pi = 45% TCMEi + 15% TCNAEi + 30% TCTEi + 10% m2i

TCMEt TCNAEt TCTEt m2

t

Sub-index i refers to the university and sub-index t refersto 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 thecriteria 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 formulaenables modifications and effects resulting fromchanges in the academic programme and the systemstructure to be incorporated every year. It stimulatesefficiency and improvements in the quality of the uni-versity system. The model distributes the basic granton the basis of indicators related directly with the wholeuniversity education process. It does not penalise thelength of studies. The model allows each university toestablish the rate of teaching progression that bestsuits the needs of its students.

The criteria established by the formula for distributingthe basic aggregate grant amongst the universitiesdoes not seek to be a directive for the internal distribu-tion of finance in each university. In overall terms, theformula introduces a high level of stability in that thesubstantial 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 toexcessive variability in the allocation of funds.

c) The derivative grant (DG)

With the derivative grant, DURSI aims to contribute tothe rationalising of the teaching staff policy being car-ried out by the universities to facilitate the taking onand 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 grantincludes:- The employer's National Insurance contribution for

teachers contracted by each university. The objectiveof this contribution is, from the university's point ofview, to equate the conditions of tenured teachingstaff with those of non-tenured teaching personnel.

- Research activity productivity bonuses (trams derecerca) for tenured teaching and research person-nel. The objective of this payment is to enable theuniversities to incorporate candidates with the mostappropriate merit, without this being an additionalexpense for the university.

- The teaching and research merit bonus programmefor teaching and research personnel, which hasbeen running since 2002, with the same objectivesas the previous point.

- The promotion programme for tenured universitypersonnel, which started in 2001. The programmestimulates the promotion of university associate pro-fessors and university school associate deans to fulluniversity professor and university school associateprofessors to university school deans and universityassociate professors. The aim is to promote goodcandidates without the prior need of creating thecorresponding vacancy.

In order to take account of variations in the Catalangovernment's policy for higher education, other similaritems of university spending may be included in thisgrant each year.

d) The strategic grant (SE)

The strategic grant is the component in the model thatprovides additional university funding linked to objec-tives. It stems from quality and, more generally, strate-

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The established formula is objective inthat the criteria are the same for allthe universities and the grant is cal-culable.


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gic objectives of university policy, which may requirespecific agreements between DURSI and the differentuniversities in order to be carried out.

The strategic grant consists of two main parts, name-ly funding for new studies (or new groups in existingstudies) and the programme contracts (contractes-programa).

In relation to new studies and new groups in existingstudies and aside from the basic grant, DURSI maydecide on additional funding for the university duringthe period in which a particular studies course isbeing introduced. This mechanism provides the uni-versities with additional funding during the first fewyears of new study courses or groups for initialexpenses and to compensate for the lack of gradu-ates in the basic grant figures. When the introductoryperiod comes to an end, the new study courses orgroups are then funded solely through the basic grant(as all other studies).

Not all new studies (or new groups of studies) receivefunding through the strategic grant. The degree ofadditional funding is determined according to the con-vertibility of existing university funding.

The strategic grant also incorporates funding linkedwith the attainment of quality improvement objectives,which are dealt with through the programme contracts.The programme contracts are characterised by thesetting of medium-term, multi-annual improvementobjectives that are set between DURSI and each uni-versity. The degree of attainment is assessed annuallyon the basis of a series of pre-established indicatorsand funding is determined accordingly.

Objective-based funding seeks to stimulate continuousimprovement in the university system by putting theaccent on effectiveness and the internal and externalefficiency of the system in order to better respond to

the demands and social requirements of teaching andresearch activities and university services, togetherwith the better running of the universities. The pro-gramme contracts have also been reinforced as aneffective, accountable tool in that both the use beingmade of public funds and the results that have beenachieved with them are made explicit to society.

In the initial stages of implementation of the model, thestrategic grant also incorporates funding earmarked forthe universities so that there is a progressive budgetarylevelling out to the corresponding basic grant deter-mined for each university by the model, in accordancewith the two situations described above.

e) The concurrent grant (CG)

This component of the model deals with funding foractions established by DURSI and affects all of the uni-versities simultaneously.

This grant includes all of the university actions set byDURSI for public calls for proposals and other aca-demic and specific quality improvement programmesopen to all universities, with the same criteria of parti-cipation for all and where funds are distributedbetween the universities according to the quality of theprojects and actions presented within the framework ofthe corresponding calls.

The programme contracts have also beenreinforced as an effective, accountable toolin that both the use being made of publicfunds and the results that have been achievedwith 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 andactivities to do with the Catalan language.

- Financial support that public universities receive incalls for proposals to improve the quality of teachingin Catalan universities.

- Financial support that public universities receive incalls 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 InternationalGraduate School of Catalonia (IGSOC).

- Financial support that public universities receive incalls for PhD programmes in the social sciences andhumanities, being made for the first time in 2003.

The various allocations in this grant may vary each yearaccording 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 determinedin the Annual Budget of the Generalitat de Catalunya,which is approved by the Parlament de Catalunya(Catalan Parliament). This amount is the total quantityto be distributed by the model.

In applying the funding model, DURSI first determinesthe overall amount for each component or type of grantin the funding model, which involves setting the overallamount for the five different types of grant (fixed grants,strategic grants, derivative grants, concurrent grantsand 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 tothe distribution formula and the indicators of each uni-versity. As for the overall amount of the strategic andderivative grants, only the amount that has been for-mally agreed is distributed to each university, with anyremainder being used to meet the costs of new obli-gations acquired throughout the academic year andobligations deriving from the application of the modelduring the transitional stage. Concurrent grants aredistributed throughout the year through different publiccalls for proposals.

The theoretical grant for each university (TGi) that is setby the model is determined by the following formula:

TGi = FGi + BGi + formally agreed SGi +formally agreed DGi

Application of the funding model formulates the newsituation where universities may demonstrate differingdegrees of funding requirement, resulting in the modelallocating 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, priorto full application

The transition mechanism during the first year ofapplication provides for a comparison between thetheoretical grant of each university and the grantreceived the previous year, which gives the differen-tial for each university in relation to the previous year.For universities with a negative differential, whichwould correspondingly receive a lower theoreticalgrant than the year before, the model envisagescompensation in the strategic grant to the value ofthe differential. The total grant assigned to the uni-versity will thereby be equal to the grant received theyear before (in real terms). For universities with a po-

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sitive differential, which according to the model willbe assigned a higher theoretical grant than thatreceived the year before, the transition mechanismprovides for an adjustment: whereby the entire valueof the differential is first discounted from the basicgrant assigned by the model (the resulting amount isthe actual basic grant to be transferred) and then thestrategic grant is increased by the percentage of thedifferential. The total grant transferred to these uni-versities is therefore equal to the grant received theyear before (in real terms) plus the aforementionedpercentage for the differential.

In subsequent years, the transition mechanism com-pares the basic grant assigned by the model withthe actual basic grant transferred the year before,plus the part of the strategic grant assigned tem-porarily the year before, where applicable. In thesame way as in the first year where the differentialbetween these two amounts is negative, the univer-sity receives compensation through the strategicgrant to the total value of the differential; when thedifferential is positive, this differential is discountedfrom the basic grant assigned by the model and thestrategic grant is increased by the percentage of thedifferential 4.

Bear in mind that the overall amount being distri-buted gradually increases. The Llei d'Universitats deCatalunya 5 (LUC, Catalan Universities Law), whichwas recently passed, in fact lays down that “thebudget of the Generalitat de Catalunya must gradu-ally increase the amount assigned to funding thepublic universities in the period from 2003-2010 to areal minimum increase of 30% of the amount bud-geted in 2002”.

All of the universities thereby receive the theoreticalgrant forecasted by the model in just a few years andwithout the need for compensation or adjustment.

6 Conclusions

The Departament d'Universitats Recerca i Societat dela Informació has been using a funding distributionmodel for spending on teaching activities in theCatalan public universities since 2002. The modelestablishes parameters that are objective and com-mon to all Catalan public universities, at the same timethat the specific features of each university areaccounted for. A transition period is envisaged in theapplication 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 withregard to the allocation of funds between the universi-ties. It enables the universities to be financially inde-pendent and facilitates economic planning; it providesincentive to improve quality as well as efficiency in themanagement of funds within each university; and itprotects the public interest by promoting universityactivity accountability.

All of the universities thereby receive thetheoretical grant forecasted by the model injust a few years and without the need forcompensation 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 at20% in 2002.5 Llei 1/2003 d’Universitats de Catalunya (Catalan Universities Law 1/2003).

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* Anna Tarrach i Colls is head of Anàlisi i Programació (Analysis and Planning) of the team of technical advisors to the Secretaria General (General Secretariat) ofthe Departament d’Universitats, Recerca i Societat de la Informació (Ministry of Universities, Research and the Information Society) of the Generalitat de Catalunya(Government of Catalonia).

THE 2003 BUDGET FOR THE DEPARTAMENT D’UNIVERSI-TATS, RECERCA I SOCIETAT DE LA INFORMACIÓ (DURSI)AND DEPENDENT BODIESAnna 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 d’Universitats, 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 Administració 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 D’UNIVERSITATS, RECERCA I SOCIETAT DE LA INFORMACIÓ (DURSI) AND DEPENDENT BODIES

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1. Introduction

The Departament d'Universitats, Recerca i Societat de laInformació (DURSI, Ministry for Universities, Researchand Information Society Technologies) was establishedin April 2000 fundamentally as the result of the amalga-mation of the Comissionat per a Universitats i Recercaand the Comissionat per a la Societat de la Informació.It is the governmental body entrusted with the planning,regulation, management and enforcement of the com-petence of the Generalitat de Catalunya (AutonomousGovernment 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 dutiesassigned to DURSI. Its basic structure for direct man-agement consists of a Secretaria General (SG, GeneralSecretariat), a Secretaria de Telecomunicacions i Societatde la Informació (STSI, Secretariat for Telecommunica-tions and Information Society Technologies), a DireccióGeneral d'Universitats (DGU, Directorate General forUniversities) and a Direcció General de Recerca (DGR,Directorate General for Research). The ComissióInterdepartamental de Recerca i Innovació Tecnològica(CIRIT, Interdepartmental Commission for Research andTechnological Innovation) and the Secretaria del ConsellInteruniversitari de Catalunya (CIC, Secretariat of theInter-University Council of Catalonia) also come under thejurisdiction of DURSI.

Two public corporations also come under DURSI, name-ly the Agència de Gestió d'Ajuts Universitaris i deRecerca (AGAUR, University and Research AwardsAgency), which was set up at the end of 2001, and theCentre de Telecomunicacions i Tecnologies de laInformació (CTTI, Telecommunications and InformationSociety Technologies Centre), which is run by DURSI asof 2003 1. The public enterprise Portal Salut i Qualitat deVida, SA, of which CTTI has a majority interest 2, is alsoincluded in the DURSI budget.

Figure 1The 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 Informació (STSI) with adjudication ofthe areas of the Generalitat de Catalunya’s competence with regard to telecommunications. Furthermore, CTTI now comes under DURSI through the Secretariade Telecomunicacions i Societat de la Informació whereas before it was under the Departament de la Presidència.2 By way of the Agreement of the Executive Council of 11 June 2002 authorising acquisition by CTTI.

SG

STSI

DGU

DGR

DURSICIRIT

CTTIAGAUR

CIC Secretariat

PSQV, SA

2. Objectives of the DURSI budget for2003

In line with the areas that DURSI has been entrustedwith, the Ministry's actions are grouped into the threemain areas of universities, research and the informationsociety.

The universities

Budgetary allocations for the universities for 2003 areaimed at stimulating the growth and improving thequality of the Catalan university system. Special men-tion is made of the funding distribution model of theCatalan public universities, the application of which willhelp improve the objectives of transparency, objectivityand fairness in the allocation of public funds to the uni-versities. The model was introduced in 2002 althoughin 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 forquality doctoral programmes and to adapt studies tothe new European area of higher education that isbeing created. Other noteworthy measures during thisfinancial year are the promotion of the CatalanUniversity System beyond what is strictly the university

world in Catalonia and the foreign language pro-gramme (programa de terceres llengües) run by theConsell Interuniversitari de Catalunya. Actions promot-ing the advancement of university teaching staff arealso being implemented, including the setting up of ateaching assessment system.

Research

The 2003 budget reflects the continuing attention givento stimulating measures within the field of research 3.The general objective of DURSI is to foster the growthand quality of the Catalan university system by increas-ing human resources and developing new infrastruc-ture and research centres as a way of contributing todevelopment in Catalonia and the creation of theEuropean Research Area in line with the III Pla deRecerca de Catalunya 2001-2004 (3rd Research Planfor Catalonia 2001-2004).

In the area of human resources, the training, supportfor and recruitment of research personnel is to be pro-moted and encouraged fundamentally through thegrants programme for researcher training and theICREA programme for the recruitment of top-levelresearchers to placements in universities and researchcentres. The research group support programme andthe programme to provide these research groups withtechnical assistants also stand out. Part of thisresearch policy is being managed by the Agència deGestió 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 asynchrotron light source facilities in El Vallès, a jointproject carried out together with the Spanish

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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, Indústria, Comerç i Turisme (Labour, Industry, Commerce and Tourism).

The general objective of DURSI in the areaof research is to foster the growth and qual-ity of the Catalan university system byincreasing human resources and develop-ing new infrastructure and research centres


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Government which will take an estimated 6 years tocomplete. This project, which will be of outstandingimportance to research as a whole in Catalonia,implies an additional commitment and complementsother actions carried out by the Generalitat deCatalunya in R+D.

Mention must also be made of actions in researchcentres and in different scientific disciplines promotedby DURSI. These include the Institut Catalàd'Investigació Química (ICIQ, Catalan Institute ofChemical Research); Centre Tecnològic deTelecomunicacions de Catalunya (CTTC, CatalanTelecommunications Technology Centre); InternetInterdisciplinari Institute (IN3, Interdisciplinary InternetInstitute); Institut de Ciències Fotòniques (ICFO,Institute of Photon Science); Institut Catalàd'Arqueologia Clàssica (ICAC, Catalan Institute ofClassical Archaeology); Institut Català de CiènciesCardiovasculars (ICCC, Catalan Institute ofCardiovascular Science); Institut d'InvestigacionsBiomèdiques August Pi i Sunyer (IDIBAPS, August Pii Sunyer Institute of Biomedical Research); Centre deRegulació Genòmica (CRG, Genome RegulationCentre); Centre de Recerca en Sanitat Animal (CreSA,Centre for Animal Health Research); Centre deRecerca en Economia Internacional (CREI,International Economics Research Centre) and theInstitut Català de Nanotecnologies (CatalanNanotechnology Institute), which has just recentlybeen established.

The impact of the setting up of these centres willbecome evident in just a few years and will give greatimpetus 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 the2003 budget is to continue the training of citizens as a

whole and to foster the use of new technologies as ameans of providing an essential basis for the geo-territo-rial structure and of promoting economic activity.

Particular mention is made of actions carried out indifferent projects including the NODAT project, theaim of which is to prevent fracturing digital andsocial divides in Catalonia and to provide citizenaccess to the Internet through public networks.Another project along similar lines is the so-calledTerritoris Digitals, which consists of demonstrationprojects that show citizens the potential of informa-tion and communications technologies (ICT).Another important project is the InfraestructuraNacional de Dades Espacials de Catalunya (IDEC),the objective of which is to set up the infrastructurefor developing and upgrading services associatedwith geographical and regional information.

Actions in the area of telecommunications networksand 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 ofthe 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 tocontinue the training of citizens as a wholeand to foster the use of new technologies asa means of providing an essential basis forthe geo-territorial structure and of promot-ing economic activity.


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With regard to telecommunications infrastructure, theMICROCOM Plan project for the regional coverage ofinfrastructure is to be extended so that citizens andenterprises can gain access to a more completetelecommunications service (with access to voice anddata 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 (digitalaudio broadcasting) and digital terrestrial TV. Theapplication of new technologies in the field of securityand emergencies is also envisaged.

3. The consolidated budget for DURSIand dependent bodies

The 2003 budget for DURSI and the entities that aredependent on DURSI was approved in Law 30/2002of 30 December on the Generalitat de Catalunyabudget for 2003.

In line with the organic structure established for the run-ning of DURSI, the consolidated DURSI budget for2003 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 1The budget of DURSI and dependent entities for 2003 (figures in euros)

2003 2002 % variation 03/02

Departament d'Universitats Recerca i Societat de la Informació (DURSI) 702.031.514,74 647.632.754,08 8,4

Agència de Gestió d'Ajuts Universitaris i de Recerca (AGAUR) 23.001.243,32 330.055,65 6.868,9

Centre de Telecomunicacions i Tecnologies de la Informació (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

Transferència DURSI-AGAUR 23.000.287,32 330.055,65 6.868,6

Transferència DURSI-CTTI 9.950.572,30 (1) -

Transferència 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 Presidència in the initial budget for 2002. DURSI fund transfers to CTTI (EUR 14,945,782.89) were therefore not consolidatedwithin the context of DURSI.


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as the budgets for the entities that are dependent onDURSI, namely the Agència de Gestió d'AjutsUniversitaris i de Recerca (AGAUR), the Centre deTelecomunicacions i Tecnologies de la Informació (CTTI)and the Portal Salut i Qualitat de Vida, SA (PSQV, SA),excluding internal transfers between these bodies.

On making comparisons with the preliminary budgetfor 2002, the following should be born in mind: AGAURis now fully up and running (as of 2003) 4; CTTI is nowunder DURSI whereas before it was under theDepartament de la Presidència (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 thisconsiderable increase is mostly due to the inclusion of

the aforementioned bodies. Whilst the DURSI budgetincreased by 8.4%, the AGAUR budget underwent avery large increase in what was the first full year of itbeing in full operation. The CTTI budget also underwentan important increase (22.5%) compared to the prelimi-nary budget for 2002 (when it was still under theDepartament de la Presidència). The figure for the con-solidated DURSI budget and its growth in part refers tothe volume that is now managed by DURSI (and not justthe increase in available funding to carry out the sameresponsibilities). For a more homogenous comparison, ifthe figure for the CTTI budget for 2002 is taken as aDURSI 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 anotable increase in nominal terms since it was set upin 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

milli

on E

UR DGR

10,3%

SG1,9% STSI

3,1%

DGU84,7%

Graph 2Growth of the DURSI budget

Graph 3Organic 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 theGeneralitat de Catalunya.

Compared to 2002, the DURSI budget has increasedin relative terms by 8.4% whereas in absolute termsthe interannual increase is EUR 54.4 million.

With regard to the organic structure (who makes thespending), most of the increase is accounted for bythe Direcció General d'Universitats, with an increase ofEUR 37.5 million equivalent to a relative increase of a6.7%. An additional EUR 12.5 million, equivalent to anincrease of 20.8%, were allocated to the DireccióGeneral de Recerca, while the Secretaria de

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Table 2DURSI 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

Direcció General d'Universitats (DGU) 594.463.383,90 556.958.982,02 37.504.401,88 6,7

Direcció 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 3DURSI 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


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Telecomunicacions i Societat de la Informació receivedan additional EUR 4.1 million, a 23.5% increase in rel-ative terms.

As can be seen from graph 2, the main part of theDURSI budget goes to the Direcció Generald'Universitats, which accounts for 84.7% of the total.Funding for the Direcció General de Recercaaccounts for 10.3% of the total budget, while theSecretaria de Telecomunicacions i Societat de laInformació accounts for 3.1% of the total. 1.9% of theDURSI budget is fundamentally set aside for structur-al costs (personnel, procurement of goods and serv-ices, etc.) which are concentrated in the Ministry'sSecretaria General.

In terms of the economic structure of the budget (whatthe spending is on), a large part of the work of DURSI

is involved with the allocation of funding. As is clearfrom graph 3, 87.3% of the DURSI expense budget isaccounted for by budget item 4 (current transfers) and9.5% by budget item 7 (capital transfers). 96.8% ofspending allocated to DURSI is thus transferred toother agents, with the rest going fundamentally toexpenditure on direct investment, staff and the pro-curement of goods and services.

In relation to 2002, there has been a notable increasein relative terms in the budget items of staff and pro-curement of goods and services. In comparison withthe 2002 budget however, the accounts for 2003 take

in the restructuring that has occurred in the area oftelecommunications in DURSI. Part of the personnelfrom the former Direcció General de Radiodifusió iTelevisió, which came under the Departament de laPresidència prior to Decree 355/2001, has been incor-porated into the Secretaria de Telecomunicacions iSocietat de la Informació, the premises and facilities ofwhich are also being renovated and adapted.

In absolute terms, the most important increase is incurrent transfers (EUR 49.8 million), followed by capi-tal transfers (around EUR 6 million). As for real invest-ment, the new Pla d'Inversions Universitàries 2001-2006 (University Investment Plan 2001-2006) isfundamentally implemented by the universities thatfinance this by borrowing, whereas DURSI takescharge of returning the loans.

Gràfic 4Economic structure of the DURSI budget for 2003(% s/total)

The main part of the DURSI budget goes tothe Direcció General d’Universitats, whichaccounts for 84.7% of the total.

Capitaltransf.

Staff

Procurement

Currenttransf.

Real invest.

Table 4 shows the distribution of the budget for the2003 financial year with the information for each exec-utive unit being cross-referenced with the type ofanticipated spending. This shows that the main part ofcurrent transfers made by DURSI go to the DireccióGeneral d'Universitats (90.7% of the total), which areallocated mainly to funding the Catalan public univer-sities. As mentioned above, the distribution model wasintroduced in 2002 although in terms of the budgetthis 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 forthe public universities will now result from the sum offour grant transfers, namely a fixed grant, a basicgrant, a derivative grant and a strategic grant, asidefrom funding obtained through concurrent calls forgrant funding. As such, and unlike previous years, noexpress mention is therefore made in the budget ofamounts ultimately allocated to each university.Nevertheless, these quantities are calculated on thebasis of changes in a series of variables 5.

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Table 4DURSI 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 Direcció Generalde Recerca (7.7% of the total transfers made byDURSI) is earmarked for grants for research, researchcentres and for the Agència de Gestió d'AjutsUniversitaris i de Recerca (AGAUR) to carry out thework it is entrusted with. The current transfers to theSecretaria de Telecomunicacions i Societat de laInformació are set aside for the Centre deTelecomunicacions i Tecnologies de la Informació inorder to carry out measures connected with the infor-mation society and its dissemination in society andgeographically.

The second largest area of spending in quantitativeterms is capital transfers. Under this budget item, theDirecció General d'Universitats sets aside most of theuniversity funding to finance measures included in theuniversity investment plans (1995-2000 and 2001-2006). The Direcció General de Recerca transfersfunding to the research centres for measures that

involve investment within the framework of the policyto give impetus to new research centres. As men-tioned above, provision for the synchrotron lightsource in El Vallès is of particular note. A series of cap-ital transfers to AGAUR is also anticipated.

5. Budgets of dependent bodies

Agència de Gestió d'Ajuts Universitaris i deRecerca (AGAUR)

As mentioned above, AGAUR will have its own prelim-inary budget for the first time in the 2003 financial yearto carry out the work it is entrusted with. The budgetis EUR 23 million that basically comes from transfersfrom DURSI. Of this total, EUR 15 million are for cur-rent expenditure and EUR 8 million form part of thecapital budget.

During the 2003 financial year, AGAUR is to manage aseries 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 thirdcycle (foundation, undergraduate and post-gradu-ate) studies, and for preparing doctoral theses

- Increase international co-operation with centres ofhigher education.

Centre de Telecomunicacions i Tecnologies de laInformació (CTTI)

CTTI was under the Departament de la Presidència dur-ing the 2002 financial year whereas in 2003 it figures asan entity that is dependent on DURSI.


123

100%

90%

80%

70%

60%

50%

40%

30%

20%

10%

0%Staff

% s

/tota

l

Procurement Currenttransf.

Real invest. Capitaltransf.

Variat. finan.assets

DGR DGU STSI SG

Graph 5The Executive Units and the economic structure of the DURSIbudget for 2003

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Table 5Overhead 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, whichrepresents an increase of 22.5% (EUR 38 million inabsolute terms) in relation to the previous budgetaryperiod.

The functions of CTTI include the direct and indirecthandling of the implementation, management and run-ning of the telecommunications and telematic (datatransmission) services, systems and networks that arenecessary for the running of the Generalitat deCatalunya and the entities, bodies and corporationsthat depend on it. In carrying out these functions, theCentre bills the services that it provides and chargesthe complete cost. This means that the centre's oper-ating expenditure will mostly (a total of 91.8%) comefrom the sale and provision of services to theGeneralitat de Catalunya itself (ministries and depart-ments, bodies and other dependent entities). Transferpayments from DURSI only account for 7.7% of thetotal overhead budget.

The Centre's capital budget (approximately EUR 77.9EUR) is mostly set aside for investment in theAdministració Oberta de Catalunya (AOC) project andis 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) consultancybody for the Generalitat de Catalunya.

- Supervise and implement the AOC project.- Develop and supervise the requirements of the

mossos d'esquadra (police corps of theAutonomous Regional Community of Catalonia)with regard to new technologies.

- Promote the use of new technologies in Catalansociety.

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 theCentre de Telecomunicacions.

The objective of the Portal is to promote the world ofhealth 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 healthand medicine. This objective complements the mana-gerial nature of the AOC project (within the field ofhealth) with an explanatory and informative approachto health aimed at prevention.

The Portal budget for the 2003 financial year is EUR6.1 million (EUR 4.6 million for operating expenses andEUR 1.5 million for capital expenses). Operatingincome comes mostly from the sale and provision ofservices. No funding is anticipated in the budget fromDURSI (directly or indirectly through CTTI).

The CTTI budget for 2003 is EUR 206.6 mil-lion, to carry out its objectives for thisbudgetary period, which can be sum-marised as follows: became consolidatedas an ICT consultancy body for theGeneralitat de Catalunya, implement theAOC project, and promote the use of newtechnologies in Catalan society


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STATE GRANT AWARDS FOR SETTING UP AND DEVELOPINGBIOMEDICAL RESEARCH NETWORKSRobert 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 Farmaindústria (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 d’Universitats, Recerca i Societat de la Informació (Ministry of Universities, Research and the Information Society) of the Generalitat deCatalunya (Government of Catalonia), within the framework of the Empresa, Universitat i Societat programme (EUS) promoted by the Facultat de CiènciesEconòmiques i Empresarials (University of Barcelona Faculty of Economic Science and Business Studies), the Fundació Bosch Gimpera and the Fundació Cercled’Economia.

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

STATE GRANT AWARDS FOR SETTING UP AND DEVELOPING BIOMEDICAL RESEARCH NETWORKS

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1.· Introduction

The results 1 of the selection process for funding throughcompetitive awards made available 2 by the Instituto deSalud Carlos III to set up and develop co-operativeresearch networks covering the biomedical scienceswere made known on 30 December 2002. This actionfits into the framework of the priorities of the NationalRDI Plan (Research, Development and Innovation, 2000-2003) for the field of healthcare,.

These grant awards were made available as a result ofan agreement between the Spanish Ministerio deSanidad y Consumo and Farmaindústria 3 signed on 31October 20014, the objectives of which were to cutdown public pharmaceutical expenditure and set up afund to finance health research projects of general interest. According to the agreement, Farmaindústriaformally agreed to create and maintain this fund whichwill 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. Farmaindústria also undertook toincrease investment in specific fields of research (car-diovascular science, oncology, genomics and certainemerging illnesses) at a higher rate than the growth inGNP. The figure of EUR 1,352.3 million was establishedfor investment in these areas during the period 2002-2004. Funding is to be channelled through the Institutode 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 ofhandling the awards and supervising research projects.

The 2002 rounds of grants is the first of its type, theobjective being to promote and fund co-operativeresearch networks covering the biomedical sciencesthrough networks of research centres and researchgroups. A research network is defined as an associationof centres or groups with common interests with regardto objectives and lines of research. The intention is to pro-mote research in the group of cardiovascular, neoplastic,neuro-degenerative and infectious diseases, amongstothers, which have high sickness and mortality rates andwhere there is a low critical mass of researchers and jointresearch. The organisation of research networks providesfor the complementary nature of actions implemented byparticipants, financial resources are optimised and bestuse can be made of economies of scale 5. This shouldbring about greater efficiency and effectiveness in actionsand a decrease in the time lag between when knowledgeis 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.htm5 This endeavour to promote research networks fits into the framework of the current objectives of the European Union’s 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 ofactions implemented by participants, finan-cial resources are optimised and best usecan be made of economies of scale.

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Grant funding was made available to centres and groupsinvolved in biomedical research at universities, publicresearch entities, in the Sistema Nacional de Salud(SNS, Spanish National Health System) and companiesin the sector. In order to receive funding, each networkof groups or centres had to present a 3-year co-opera-tive research project within the priority areas of theNational RDI Plan (2002-2003). The awards come in theform of a grant that can be used both for the researchproject and the network operating expenses. Networksmust consist of at least five centres (each centre must bemade up of at least three groups) or five groups, with theparticipation of groups or centres from at least 4Autonomous Regional Communities. At least oneemerging research centre or group must participate inthe network 6. Each centre or group constitutes a nodeand networks are co-ordinated by a network co-ordina-tor. This co-ordinator must be an institution in the SNSand a node participating in the network.

The technical assessment of the applications was carriedout by a committee of international specialists and theirconclusions were analysed by a scientific and technical

committee from the Consejo Interterritorial (Inter-regionalCouncil) of the SNS, a body of the Ministerio de Sanidady 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 proposedstrategic research plan, appropriateness and capa-city of the research centres and groups to carry outthe activities envisaged in the projects, the quality oftheir scientific nature, the rigour with which the pro-posed activities are formulated and appropriateplanning in time.

- The scientific and technical quality of the record ofactivities carried out by the research centres andgroups, measured in terms of original scientific arti-cles published over the past five years in scientificjournals and patents.

- The scientific and technical quality of the record ofactivities carried out by the research centres andgroups, calibrated in terms of research projectsassessed and approved by external national andinternational agencies over the past five years.

- The degree and quality of training activity within theareas of action of the research centres and groups.

- The presence of more than one emerging centre orgroup, provided there is guarantee of its full gui-dance.

The announcement for grant funding also stated that theselection 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 forgrant 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 País newspaper on18/02/2003, 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 topromote research in the group of cardio-vascular, neoplastic, neuro-degenerativeand infectious diseases, amongst others,with high sickness and mortality rates andwhere there is a low critical mass ofresearchers and joint research.


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- Applicability and interest of the proposals for theSNS.

- Inter-regional impartiality and balance, provided thatguarantee is given of the fulfilment of the aforemen-tioned objectives.

The amount of each grant was determined for each casein the selection process and according to the budgetavailability for the year. Grant awards for funding subse-quent to 2002 will be conditioned by the availability ofbudgetary appropriation and the presentation andapproval of an annual financial report.

In accordance with the adjudication of grants by theselection committee for 2002, 13 centre networksand 56 group networks were successful, out of atotal of 14 centre networks and 212 group networksthat applied. Total funding for 2002 was EUR 55.8million (50.03% of the total requested by centresbeing funded during this first year), of which EUR28.62 million went to centre networks and EUR27.18 million to group networks. The total amount offunding was distributed between 290 institutionsand 11,331 researchers.

Table 1Funding distribution between the Autonomous Regional Communities in 2002.

Centre networks Group networks TOTAL

Autonomous % of theRegional

Nº. Nº. Allocated % of the Allocated % of the Allocatednational

Communitynodes 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

Aragó 50 349 564,1 1,97 798,9 2,94 1.363,0 2,44

Astúries 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

Cantàbria 33 166 397,4 1,39 433,1 1,59 830,5 1,49

Castella-Lleó 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

Galícia 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

Múrcia 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


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2. Distribution of approved fundingbetween the Autonomous RegionalCommunities

Table 1 shows the distribution of funding allocated tocentre networks, group networks, and as a whole for2002 (the first year of grant awards) between the dif-ferent Autonomous Regional Communities (ARC).Catalonia, with 435 nodes, is the ARC with the highestnumber of centres and groups taking part in theresearch networks that receive funding. It also has thehighest number of researchers (3,444) participating inthe research networks. It can also be seen from table1 that Catalonia is the ARC that has received mostfunding (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% ofallocated funding, a reflection of the concentration ofscientific activities in the biomedical sciences in thesetwo ARC. These are followed, with considerably loweramounts, by Andalusia with EUR 4.4 million (7.93%),Valencia with EUR 3.7 million (6.63%), and Castilla-León with EUR 2.6 million (4.71%).

Of the EUR 28.61 million of funding allocated to set upresearch 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-LeónEUR 1.5 million (5.24%).

Of the EUR 27.18 million EUR allocated for the fund-ing of research group networks, Catalonia was againthe ARC that received the highest amount (EUR 8 mil-lion, 29.47% of the total), followed by Madrid (EUR 7.3million, 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-León (EUR 1.1 million, 4.16%).

3· The distribution of funding allocatedto Catalonia for research centres

Table 2 shows the number of research networks inwhich each centre in Catalonia participates and thenumber of networks in which research groups belong-ing to each centre participate. The funding allocatedto each centre is also given, for projects carried outboth in research centre networks and by groupsbased at a centre and which participate in group net-works.

Funding was allocated to 51 biomedical researchcentres in Catalonia. The centres that received thehighest amount of funding were the Institutd'Investigacions Biomèdiques August Pi i Sunyer(IDIBAPS) with EUR 4 million EUR (21.75% of the totalamount granted in Catalonia), the Hospital VallHebrón with EUR 2.6 million (14.26%), the Hospitalde la Santa Creu i Sant Pau with EUR 2 million(11.28%) and the Institut Municipal d'InvestigacióMèdica de Barcelona (IMIM) with EUR 1.3 million(7.41%). These four centres accounted for 54% of thetotal funding allocated to centres in Catalonia in thefirst year, including grants to both centre networksand group networks.

Each research network has a network co-ordinator which has the function of co-ordinating the actions of the differentnodes that make up the network so as tomaximise the complementarity of the indi-vidual actions at each node.


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Table 2Distribution of projects and funding amongst research centres and groups in Catalonia. 2002

Nº. projects Nº projects as leader Funding (EUR)

Institutions City Centres Groups Centres Groups Centres Groups Total % Total

Agència d’Avaluació de Tecnologia i Recerca Mèdiques Barcelona 1 1 107.587,74 107.587,74 0,58

Centre de Biotecnologia Animal i Teràpia Gènica (CBATEG) Bellaterra 1 2 126.264,76 82.153,74 208.418,50 1,12

Centre de Visió per Computador (CVC) Cerdanyola del Vallès 1 14.075,31 14.075,31 0,08

Centre d’Anàlisi i Programes Sanitaris (CAPS) Barcelona 1 16.960,12 16.960,12 0,09

Centre de Regulació Genòmica (CRG) Barcelona 2 1 470.647,37 470.647,37 2,53

Corporació Sanitària Parc Taulí 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 Universitària d’Infermeria (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 Ciències (UAB) Bellaterra 3 76.651,55 76.651,55 0,41

Facultat de Ciències de la Salut (UIC) Sant Cugat del Vallès 4 25.806,76 25.806,76 0,14

Facultat de Ciències de la Salut i la Vida (UPF) Barcelona 3 103.246,86 103.246,86 0,56

Facultat de Farmàcia (UB) Barcelona 6 269.791,33 269.791,33 1,45

Facultat de Física (UB) Barcelona 1 11.677,04 11.677,04 0,06

Facultat d’Informàtica (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 Ciències de la Salut (URV) Reus 2 104.360,83 104.360,83 0,56

Facultat de Química (UB) Barcelona 1 9.744,26 9.744,26 0,05

Fundació Parc de Recerca Biomèdica de Barcelona Barcelona 3 1 651.209,91 651.209,91 3,51

Fundació d’Osona per a la Recerca i l’Educació Sanitàries (FORES) Vic 1 15.857,36 15.857,36 0,09

Fundació CETIR Esplugues de Llobregat 1 7.539,76 7.539,76 0,04

Fundació Puigvert Barcelona 1 1 65.082,77 27.729,48 92.812,25 0,50

Fundació Sardà 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 Mútua de Terrassa Terrassa 1 29.780,20 29.780,20 0,16

Hospital Sant Joan de Déu Esplugues de Llobregat 1 6 113.817,66 172.378,81 286.196,47 1,54

Hospital Sant Joan de Déu (Salut Mental) Sant Boi de Llobregat 2 1 60.266,21 60.266,21 0,32

Hospital Vall d’Hebron 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 - Divisió Hospitalària Barcelona 3 1 252.463,90 252.463,90 1,36

Institut Ciències Cardiovasculars de Catalunya (ICCC) Barcelona 2 113.281,85 113.281,85 0,61

Institut de Ciències Neurològiques i Gerontològiques (UIC) Barcelona 1 49.340,00 49.340,00 0,27

Institut d’Investigacions Biomèdiques August Pi Sunyer (IDIBAPS) Barcelona 11 24 2 3 2.603.110,93 1.437.523,21 4.040.634,14 21,75

Institut d’Investigacions Químiques i Ambientals de Barcelona Barcelona 1 92.012,52 92.012,52 0,50

Institut de Recerca Biomèdica de Barcelona Barcelona 1 3 220.963,33 149.558,68 370.522,01 1,99

Institut de Recerca en Ciències de la Salut (IRCS) Reus 1 1 103.307,53 17.934,93 121.242,46 0,65

Institut Català d’Oncologia (ICO) Hospitalet de Llobregat 2 703.221,27 703.221,27 3,79

Institut de Bioquímica Clínica Barcelona 1 100.590,02 100.590,02 0,54

Institut de Recerca Oncològica (IRO) Hospitalet de Llobregat 1 1 115.258,03 18.105,47 133.363,50 0,72

Institut Municipal de Recerca Mèdica (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

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Table 3Co-ordinating centres of centre networks and the area of biomedical science in Catalonia 2002

Centre Area of biomedical science

Fundació Parc de Recerca Biomedica de Barcelona The integration of clinical, molecular and epidemiological research in human genetics

Hospital Vall d’Hebron Cardiovascular

Institut d’Investigacions Biomèdiques August Pi Sunyer (IDIBAPS) Physiopathology and new forms of treatment for hepatic, gastroenterological and pancreatic diseases

Metabolism and nutritional diseases

Institut Municipal d’Investigació Mèdica (IMIM) Epidemiology and public health

Table 4Co-ordinating groups of group networks and the area of biomedical science in Catalonia 2002

Centre Area of biomedical science

Agència d’Avaluació de Tecnologia i Recerca Mèdiques Research into health results and health services (IRYSS network)

Centre de Regulació Genòmica (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 applicationsin diagnosis and treatment

Hospital Sant Joan de Déu (Salut Mental) Research network on results applied to managing disability and mental health

Hospital Vall d’Hebron Network involved in the study of transplant infection (RESITRA)

Molecular oncology in pediatrics

ICS - Divisió Hospitalària Prevention and promotion of health in primary health care

Institut d’Investigacions Biomèdiques August Pi Sunyer (IDIBAPS) Nutrition and cardiovascular disease

HIV infection and its complications

Diabetis mellitus and its complications

Institut Municipal d’Investigació Mèdica (IMIM) Cardiovascular

Cancer of the urinary bladder

Prenatal and postnatal exposure to environmental pollutants, diet, foetal growth and neuroimmunoendocrine development


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The centres that participate in the highest number ofcentre networks are IDIBAPS, which participates in11 centre networks of the 13 that were successful,and the Hospital Vall Hebrón and the Hospital de laSanta Creu i Sant Pau, both of which participate in 8networks.

The centres that participate via research groups in thehighest number of group networks is again IDIBAPS,which participates in 24 group networks out of the 56that were successful; the Hospital Vall Hebrón with 14and 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 networkdo so with one group per network.

4· The leadership of research networksthat received funding

As mentioned above, each research network has anetwork co-ordinator which has the function of co-ordinating the actions of the different nodes that makeup 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 groupsthat 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 the56 group networks are co-ordinated by groups basedin centres in Catalonia.

5. Concluding comments

The experience of this first round of grants to set upand develop biomedical research networks has beenextremely positive for Catalonia. Catalonia is theAutonomous Regional Community that has the mostcentres and groups as well as researchers that par-ticipate in the research networks. Funding allocatedto centres and groups in Catalonia is the highest forany Autonomous Regional Community in Spain.Furthermore, the results in terms of the high numberof research networks co-ordinated by centres andgroups 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 aleader in the area of biomedical research, the main-taining of this endeavour will serve to promote thequality of science in Catalonia and also increase thequality of life of the population.

Catalonia is the Autonomous RegionalCommunity that has the most centres andgroups as well as researchers that partici-pate in the research networks. Funding allo-cated to centres and groups in Catalonia isthe highest for any Autonomous RegionalCommunity in Spain.

r e s u m s e n c a t a l à

r e s ú m e n e s e n c a s t e l l a n o

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LA INTERACCIÓ ENTRE LESTECNOLOGÍES DE LA INFORMACIÓ I LA COMUNICACIÓ I LA SOCIETAT XARXA: UN PROCÉS DECANVI HISTÒRICManuel Castells

Les societats evolucionen i es transformenmitjançant la interacció complexa de factorsculturals, econòmics, polítics i tecnològics.En qualsevol societat els paradigmestecnològics organitzen la gamma disponiblede tecnologies al voltant d’un nucli queincrementa el rendiment de cadascuna.L’Informacionalisme és el paradigmatecnològic que actualment proporciona labase per a un nou tipus d’estructura social: lasocietat xarxa, una estructura social formadaper xarxes d’informació fetes possible per lestecnologies d’informació. Aquesta ésactualment la forma dominant d’organitzaciósocial. La innovació, tant cultural comtecnològica, és l’origen del desenvolupamentinformacional, i la innovació depènprincipalment de l’existència, en el marcd’una societat lliure, d’universitats i centresde recerca lliures i d’alta qualitat. En lallibertat de l’informacionalisme, la ciència i elpoder es troben interrelacionats dins uncercle virtuós.

EL SISÈ PROGRAMA MARC PER A LARECERCA I EL DESENVOLUPAMENTTECNOLÒGIC (RDT) DE LA UNIÓEUROPEA: REPTES I OPORTUNITATSPER A CATALUNYAXabier Goenaga i Ifigeneia Pottaki

El Sisè Programa Marc per a la Recerca i elDesenvolupament Tecnològic (2002-2006)ofereix a les regions excel·lents oportunitatsper millorar l’eficiència econòmica i lacompetitivitat internacional mitjançant lamillora de la capacitat tecnològica del seusector empresarial, la inversió en capitalhumà, la intensificació dels vincles entre les

universitats i les empreses, incloses lespetites i mitjanes (PIME), l’increment de lesactivitats d’innovació i la promoció comercialde les innovacions tecnològiques, així com lacol·laboració amb socis d’altres regionsd’Europa i altres parts del món, i la possibilitatd’accedir a les millors instal·lacions derecerca europees. La plena participació en elprograma permetrà a regions com Catalunyafer front en millors condicions als principalsreptes econòmics i tecnològics de la pròximadècada. Afavorirà enormement el dinamismede l’economia local i tot el seu potencial,inclosos els recursos humans. Tambécomportarà una atracció més gran envers lesinversions procedents d’altres àreesgeogràfiques, i una millora de la competitivitati alhora de la capacitat de cooperar amb èxit,tant a escala europea com global.

LA LLEI D’UNIVERSITATS DECATALUNYA. UN MARC JURÍDICPROPI PER A LES UNIVERSITATS DELSISTEMA UNIVERSITARI CATALÀ

Roser Martí i Torres

La Llei 1/2003, de 19 de febrer, d’universitatsde Catalunya, és la primera Llei aprovada pelParlament de Catalunya que d’una manerageneral integra els diferents aspectes queconformen la matèria universitaria. La autoran’estudia el contingut i explica com ellegislador ha procurat recollir el sentit de lasocietat catalana i més concretament el de lacomunitat acadèmica per dissenyar un modeladequat a la realitat i a les necessitats de launiversitat catalana.

L’article fa referència al concepte de sistemauniversitari, que aglutina les diferentsuniversitats establertes a Catalunya i les queen el futur siguin creades o reconegudes pelParlament; explica la nova concepció decomunitat universitària que s’integraparticipativament a Europa, fent especialesment al model català de personal docent iinvestigador contractat per les universitats, i

als instruments de mobilitat, cooperació icol·laboració interuniversitària; recorda laimportància de l’acció dels estudiants i delsantics alumnes, i els espais de participacióque la Llei crea per a tots ells, així com elsseus drets i deures; fa referència al catalàcom a signe d’identitat pròpia de lesuniversitats de Catalunya; explica l’evolucióseguida per l’Agència Catalana de Qualitat,que assoleix per aquesta Llei importantsfuncions sobre el professorat i la valoració del’activitat acadèmica universitària i, finalment,assenyala les principals novetats en el ConsellInteruniversitari de Catalunya, principal òrgande coordinació universitària, i en lacomposició dels consells socials, per tal quepuguin continuar exercint la important tascade representació de la societat en launiversitat.

EL PROJECTE DE FONT DE LLUM DESINCROTRÓ AL VALLÈS

Ramon Pascual

El 14 de març de 2003 s’ha signat, entre elMinisteri de Ciència i Tecnologia i elDepartament d’Universitats, Recerca iSocietat de la Informació de la Generalitat deCatalunya, el Conveni de Constitució delConsorci per a la construcció, l’equipament il’explotació del Laboratori de Llum deSincrotró.

La llum de sincrotró, la radiació emesa per lespartícules carregades quan descriuen unatrajectòria accelerada com passa quan elselectrons circulen pels acceleradors circularsi, més concretament, pels sincrotrons o perles anelles d’emmagatzematge, s’ha convertiten una eina cada vegada més útil tant en larecerca bàsica com en l’aplicada. El seu ús vades del disseny de fibres sintètiques fins al’estudi de les estructures de les proteïnes.

Actualment, al món, hi ha més de setantafonts de llum de sincrotró a disposiciód’empreses (com ara les que fabriquen

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ordinadors), de comunitats nacionals depaïsos més o menys avançats o de col·lectiussupranacionals. A Europa, al sud-oest de lalínia que va de París a Trieste no hi ha cap fontde llum de sincrotró (llevat de Grenoble, onl’ESRF dóna servei a disset països d’Europa ia Israel). L’interès d’un equipament científicd’aquest tipus i l’absència de cap en una àreatan extensa del sud-oest d’Europa va ferdecidir l’any 1992 el govern de la Generalitata prendre la iniciativa de construir-ne un.S’exposa l’estat de la qüestió i les principalscaracterístiques del projecte.

EL MODEL DE DISTRIBUCIÓ DELFINANÇAMENT DE LES UNIVERSITATSPÚBLIQUES CATALANES

Esther Pallarols, Santiago Lacruzi Josep Ribas

Catalunya, com la majoria de païsosavançats, ha començat a aplicar d’ençà del2002 un model de distribució del finançamentde les universitats públiques catalanes basaten indicadors i fórmules objectives. L’objectiud’un model d’aquest tipus és establir criterisde repartiment de les disponibilitatspressupostàries que els poders públicsestableixen per a les set universitatspúbliques catalanes. El model es basa en elprincipi d’igualtat entre els estudiants delsistema, i es refereix a les despeses defuncionament de les universitats.

El model s’estructura en cinc subvencionsdiferents: la subvenció fixa, igual per a totesles universitats, finança les despeses mínimesd’estructura; la subvenció bàsica finançal’activitat acadèmica ordinària de lesuniversitats i s’estableix per mitjà d’unafórmula de distribució que pondera quatreindicadors; la subvenció derivada fa front a lesdespeses generades per la contractació delpersonal docent i investigador de lesuniversitats; la subvenció estratègica lligada al’assoliment d’objectius de qualitat i aplantejaments estratègics de política

universitària (contractes-programa); i lasubvenció per concurrència per a lesactuacions que afecten simultàniament atotes les universitats (convocatòries públiquesi programes interuniversitaris).

EL PRESSUPOST DEL DEPARTAMENTD’UNIVERSITATS, RECERCA ISOCIETAT DE LA INFORMACIÓ I LES ENTITATS QUE EN DEPENEN PER AL 2003Anna Tarrach Colls

El pressupost d’una organització ésl’expressió quantificada dels seus objectiusen l’exercici econòmic de referència ireflecteix les línies polítiques que es prioritzen.Per a l’any 2003, el Departamentd’Universitats, Recerca i Societat de laInformació es planteja unes fites ques’orienten cap a la millora de la qualitat delsistema universitari –amb actuacions queincideixen en el finançament de lesuniversitats públiques–, cap a la potenciaciódel sistema català d’R+D –promoventl’augment d’infraestructures de recerca ipotenciant els recursos humans– i cap alfoment de l’ús de les noves tecnologies en elconjunt de la població –a través deldesenvolupament d’infraestructures detelecomunicacions en el territori i deldesplegament del projecte AdministracióOberta de Catalunya, entre d’altres accions.

CONCESSIÓ D’AJUTS ESTATALS PER ALA CREACIÓ I DESENVOLUPAMENTDE XARXES TEMÀTIQUES DERECERCA BIOMÈDICARobert Tomas Johnston

El desembre de l´any 2002 va ser resolta laconvocatòria realitzada per l’Instituto deSalud Carlos III, destinada a finançar lacreació i desenvolupament de xarxes derecerca en l’àrea biomèdica. És la primera

convocatòria d’aquest tipus que es porta aterme a l’estat espanyol. L’origen delfinançament resolt és el fons creat arran delpacte entre el Ministerio de Sanidad yConsumo i Farmaindústria. L’import total deles ajudes resoltes en la primera anualitat dela convocatòria és de 55 M€. Els resultats deCatalunya en aquesta primera anualitat de laconvocatòria han estat força positius,Catalunya és la comunitat autònoma a la quals’han assignat més recursos. A més elscentres i grups de recerca de Catalunyajuguen un paper destacat en la coordinacióde les xarxes finançades en aquesta primeraconvocatòria.

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LA INTERACCION ENTRE LASTECNOLOGIAS DE LA INFORMACIONY LA COMUNICACION Y LA SOCIE-DAD RED: UN PROCESO DE CAMBIOHISTORICOManuel Castells

Las sociedades evolucionan y se transformanmediante la interacción compleja de factoresculturales, económicos, políticos y tecnológicos.En cualquier sociedad los paradigmas tecno-lógicos organizan la gama disponible de tec-nologías en torno a un núcleo que incremen-ta el rendimiento de cada una de ellas. Elinformacionalismo es el paradigma tecnológi-co que actualmente proporciona la base paraun nuevo tipo de estructura social: la socie-dad red, una estructura social formada porredes de información que las tecnologías dela información hacen posibles. Esta es actual-mente la forma dominante de organizaciónsocial. La innovación, tanto cultural como tec-nológica, es el origen del desarrollo informa-cional, y la innovación depende principalmen-te de la existencia de universidades y centrosde investigación libres y de alta calidad en elmarco de una sociedad libre. En la libertad delinformacionalismo, la ciencia y el poder inte-ractúan en el marco de un círculo virtuoso.

EL SEXTO PROGRAMA MARCO PARALA INVESTIGACION Y EL DESARRO-LLO TECNOLOGICO DE LA UNIONEUROPEA: RETOS Y OPORTUNIDA-DES PARA CATALUÑAXabier Goenaga y Ifigeneia Pottaki

El Sexto Programa Marco para la Investiga-ción y el Desarrollo Tecnológico (2002-2006)ofrece a las regiones europeas excelentesoportunidades para mejorar la eficiencia eco-nómica y la competitividad internacionalmediante la mejora de la capacidad tecno-lógica de su sector empresarial, la inversiónen capital humano, la intensificación de losvínculos entre universidades y empresas,

incluidas las pequeñas y medianas (PYME), elincremento de las actividades de innovación yla promoción comercial de las innovacionestecnológicas, así como la colaboración consocios de otras regiones de Europa y otraspartes del mundo y la posibilidad de accedera las mejores instalaciones de investigacióneuropeas. La plena participación en el pro-grama permitirá a regiones como Cataluñahacer frente en mejores condiciones a losprincipales retos económicos y tecnológicosde la próxima década. Favorecerá enorme-mente el dinamismo de la economía local ytodo su potencial, incluidos los recursoshumanos. También traerá consigo un mayorpoder de atracción para las inversiones pro-cedentes de otras áreas geográficas, y unamejora de la competitividad y al mismo tiem-po de la capacidad de cooperar con éxito,tanto a escala europea como global.

LA LEY DE UNIVERSIDADES DECATALUÑA. UN MARCO JURIDICOPROPIO PARA LAS UNIVERSIDA-DES DEL SISTEMA UNIVERSITARIOCATALANRoser Martí i Torres

La Ley 1/2003, de 19 de febrero, de universi-dades de Cataluña, es la primera Ley aproba-da por el Parlamento de Cataluña que de unamanera general integra los diferentes aspec-tos que conforman la competencia en materiade universidades. La autora estudia el conte-nido de la Ley y explica cómo el legislador haprocurado recoger el sentir de la sociedadcatalana y más concretamente el de la comu-nidad académica para diseñar un modelo ade-cuado a la realidad y a las necesidades de launiversidad catalana.

El artículo hace referencia al concepto de sis-tema universitario, que aglutina las diferentesuniversidades establecidas en Cataluña y lasque en el futuro sean creadas o reconocidaspor el Parlamento catalán; explica la nuevaconcepción de comunidad universitaria que

se integra participativamente en Europa, ha-ciendo especial hincapié en el modelo catalánde personal docente e investigador contrata-do por las universidades y en los instrumen-tos de movilidad, cooperación y colaboracióninteruniversitaria; recuerda la importancia dela acción de los estudiantes y de los antiguosalumnos y los espacios de participación quela Ley crea para todos ellos, así como sus de-rechos y deberes respectivos; hace referenciaa la lengua catalana como signo de identidadpropia de las universidades de Cataluña; ex-plica la evolución seguida por la Agència Ca-talana de Qualitat del Sistema Universitari, quealcanza, en virtud de esta Ley, importantesfunciones sobre el profesorado y la valoraciónde la actividad académica universitaria y, final-mente, señala las principales novedades en elConsell Interuniversitari de Cataluña, principalórgano de coordinación universitaria, y en lacomposición de los consejos sociales, a finde que puedan continuar ejerciendo la impor-tante tarea de representación de la sociedaden la universidad.

EL PROYECTO DE FUENTE DE LUZ DESINCROTRON EN EL VALLESRamón Pascual

El 14 de marzo de 2003 se ha firmado, entre elMinisterio de Ciencia y Tecnología y el Depar-tamento de Universidades, Investigación ySociedad de la Información de la Generalitat deCatalunya, el convenio de constitución del con-sorcio para la construcción, equipamiento yexplotación del Laboratorio de Luz de Sincrotrón.

La luz de sincrotrón, la radiación emitida porlas partículas cargadas cuando describen unatrayectoria acelerada como pasa cuando loselectrones circulan por los aceleradores circu-lares y, más concretamente, por los sincrotro-nes o por los anillos de almacenaje, se haconvertido en una herramienta cada vez másútil tanto en la investigación básica como enla aplicada. Su uso va desde el diseño defibras sintéticas al estudio de las estructurasde las proteínas.

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Actualmente, en el mundo, hay más de seten-ta fuentes de luz de sincrotrón a disposiciónde empresas (como las que fabrican ordena-dores), de comunidades nacionales de paísesmás o menos avanzados o de colectivos su-pranacionales. En Europa, al suroeste de lalínea que va de París a Trieste no hay ningu-na fuente de luz de sincrotrón (salvo la deGrenoble, donde el ESRF da servicio a die-cisiete países de Europa y a Israel). El interésde un equipamiento científico de este tipo y la ausencia de ninguna en un área tan exten-sa del suroeste de Europa hizo decidir en elaño 1992 al Gobierno de la Generalitat atomar la iniciativa de construir uno. Se expo-ne el estado de la cuestión y las principalescaracterísticas del proyecto.

EL MODELO DE DISTRIBUCION DELA FINANCIACION DE LAS UNIVERSI-DADES PUBLICAS CATALANAS

Esther Pallarols, Santiago Lacruz y Josep Ribas

Cataluña, como la mayoría de países avan-zados, utiliza (desde el 2002) un modelo dedistribución de la financiación de las universi-dades públicas catalanas basado en indica-dores y fórmulas objetivas. El objetivo dedicho modelo es establecer criterios de repar-to de las disponibilidades presupuestariasque los poderes públicos establecen para lassiete universidades públicas catalanas. Elmodelo se basa en el principio de igualdadentre los estudiantes del sistema, y se refierea los gastos de funcionamiento de las univer-sidades.

El modelo se estructura en cinco subvencio-nes diferentes: la subvención fija, igual paratodas las universidades, para los gastos míni-mos de estructura de éstas; la subvenciónbásica para financiar la actividad académicaordinaria de las universidades establecida pormedio de una fórmula de distribución quepondera cuatro variables; la subvención deri-vada, que hace frente a los gastos generadospor la contratación del personal docente y

investigador contratado de las universidades;la subvención estratégica vinculada a la con-secución de objetivos de calidad y a plantea-mientos estratégicos de política universitaria(contratos-programa), y la subvención por con-currencia para las actuaciones que afectansimultáneamente a todas las universidades(convocatorias públicas y programas abiertosa todas las universidades).

EL PRESUPUESTO DEL DEPARTA-MENTO DE UNIVERSIDADES, INVES-TIGACION Y SOCIEDAD DE LAINFORMACION Y SUS ENTIDADESDEPENDIENTES PARA EL 2003Anna Tarrach Colls

El presupuesto de una organización es laexpresión cuantificada de sus objetivos en elejercicio económico de referencia y refleja laslíneas políticas priorizadas. Para el año 2003,el Departamento de Universidades, Investiga-ción y Sociedad de la Información se planteaunos objetivos orientados a la mejora de lacalidad del sistema universitario –con actua-ciones que inciden en la financiación de lasuniversidades públicas–, a la potenciación delsistema catalán de I+D –incidiendo en el au-mento de infraestructuras de investigación yen la potenciación de los recursos humanos– yal fomento del uso de las nuevas tecnologíasen el conjunto de la población –a través deldesarrollo de infraestructuras de telecomuni-caciones en el territorio y del despliegue delproyecto Administración Abierta de Cata-luña, entre otras acciones.

CONCESION DE AYUDAS ESTATALESPARA LA CREACION Y DESARROLLODE REDES TEMATICAS DE INVESTI-GACION BIOMEDICA Robert Tomas Johnston

En diciembre del año 2002 se resolvió la con-vocatoria del Instituto de Salud Carlos III,

destinada a financiar la creación y desarrollode redes de investigación en el área biomédi-ca. Es la primera convocatoria de este tipoque se lleva a cabo en España. El origen de lafinanciación de esta convocatoria es el fondocreado a raíz del pacto entre el Ministerio deSanidad y Consumo y Farmaindustria. El im-porte total de las ayudas adjudicadas en elprimer año de la convocatoria es de 55 mi-llo-nes de euros. Los resultados de Cataluña eneste primer año de la convocatoria han sidomuy positivos, siendo esta la comunidadautónoma a la que se han adjudicado másrecursos. Además varios centros y grupos deinvestigación de Cataluña juegan un papeldestacado en la coordinación de las redesfinanciadas en esta primera convocatoria.

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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 forCatalonia 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 Martí i Torres

The syncrotron light source project in El Vallès (Catalonia) Ramon Pascual

NOTES

The funding distribution model of the catalan public universitiesEsther Pallarols, Santiago Lacruz and Josep Ribas

The 2003 budget for the Department d’Universitats, Recerca i Societat de laInformació (DURSI) and dependent bodies Anna Tarrach Colls

State grant awards for setting up and developing biomedical research networks Robert Tomas Johnston

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