Coneixement i Societat núm. 13. year 2007 - Generalitat de Catalunya

gencat.cat

Coneixement i Societat núm. 13. year 2007 - Generalitat de Catalunya

13

CONEIXEMENT I SOCIETAT

Knowledge and Society. Journal of

Universities, Research and Innovation.

Number 13. Year 2007.

http:// www.gencat.cat/universitatsirecerca/coneixementisocietat

Science and technology parks as tools for constructing the knowledge economy Assessing academic

production on the history of Catalonia The legal system governing Catalan contracted teaching and

research staff, as regulated by law 1/2003 on universities in Catalonia, in the context of the new Statute of

Autonomy of Catalonia and the modification of the Spanish organic law on universities New opportunities

for university-industry relations Catalan policies and experiences on cooperative repositories International

centre for numerical methods in engineering (CIMNE). Twenty years on IRTA: Researching the present to

bring the future closer


CONEIXEMENT I . SOCIETAT

Knowledge and Society. Journal of Universities.

Research and the Information Society.

Número 13. Any 2007

ISSN (english e-version): 1696-8212

ISSN (catalan printed version): 1696-7380

ISSN (catalan e-version): 1696-8212

Legal deposit (english e-version): B-38745-2004

Legal deposit (catalan printed version): B-27002-2003

Legal deposit (catalan e-version): B-26720-2005

Chief editor

Josep M. Camarasa i Castillo

Coordinator

Blanca Ciurana i Llevadot

Editorial board

Joan Bravo i Pijoan, Joan Cadefau i Surroca, Iolanda Font de Rubinat i García, Xavier Lasauca i Cisa,

Esther Pallarols i Llinàs, Emilià Pola i Robles, Alba Puigdomènech Cantó, Josep Ribas i Seix, Jordi

Sort i Miret, Ignasi Vendrell i Aragonès, Fina Villar i López

Coordinating editor and production

Glòria Vergés i Ramon

Desing

Quin Team!

Layout

Inom,sa

English translation

Alan Lounds Jones, Ailish M. J. Maher, Charles Southgate

© Generalitat de Catalunya

Departament d’Innovació, Universitats i Empresa

Comissionat per a Universitats i Recerca

The contents of the articles and notes are the sole responsability of the authors. CONEIXEMENT I SOCIETAT

does not necessarily identify with the author Reproduction of articles and notes is allowed, provided that the

original author and source are specified.

Subscription to the printed Catalan version of CONEIXEMENT I SOCIETAT is free. It can be obtained from:

Departament d'Innovació, Universitats i Empresa

Comissionat per a Universitats i Recerca

Via Laietana, 33, 6è

08003 Barcelona

tel. 935 526 700

Fax. 935 526 701

e-mail: coneixementisocietat.cur@gencat.net

Also available on-line in Catalan and in English on the DIUE web site:

www.gencat.cat/universitatsirecerca/coneixementisocietat

www.gencat.cat/universitatsirecerca/knowledgeandsociety


13

CONEIXEMENT I SOCIETAT

Knowledge and Society. Journal of

Universities, Research and Innovation.

Number 13. Year 2007.


ARTICLES 04 Science and technology parks as tools for constructing the

knowledge economy Pere Condom i Vilà and Joan Roure 06 Assessing academic production

on the history of Catalonia Josep Maria Figueres i Artigues 26 The legal system governing

Catalan contracted teaching and research staff, as regulated by law 1/2003 on universities in

Catalonia, in the context of the new Statute of Autonomy of Catalonia and the modification of

the Spanish organic law on universities Roser Martí i Torres and Encarnació Grau i Corominas 58


New opportunities for university-industry relations Montserrat Vilalta Ferrer 94 NOTES

115 Catalan policies and experiences on cooperative repositories Miquel Huguet, Lluís

Anglada and Ricard de la Vega 116 International centre for numerical methods in engineering

(CIMNE). Twenty years on. Eugenio Oñate 132 IRTA: Researching the present to bring the

future closer Josep Tarragó 144 RESÚMENES EN CASTELLANO /

RESUMS EN CATALÀ 161


06

a

Science and technology

parks as tools for

constructing the

knowledge economy

Pere Condom i Vilà

and Joan Roure


ticles

26

Assessing academic

production on the history of

Catalonia

Josep Maria Figueres i Artigues

58

The legal system governing

Catalan contracted teaching and

research staff, as regulated by

law 1/2003 on universities in

Catalonia, in the context of the

new Statute of Autonomy of

Catalonia and the modification of

the Spanish organic law on

universities

Roser Martí i Torres

and Encarnació Grau i Corominas

94

New oportunities for

university-industry relations

Montserrat Vilalta Ferrer


CONEIXEMENT I SOCIETAT 13 ARTICLES

SCIENCE AND TECHNOLOGY PARKS AS TOOLS FOR

CONSTRUCTING THE KNOWLEDGE ECONOMY

Pere Condom i Vilà* and Joan Roure**

This article summarises the results of a study of four science and technology parks, namely, the Heidelberg

Technology Park in Germany, AREA Science Park in Trieste (Italy), Manchester Science Park in the United

Kingdom, and Barcelona Science Park in Spain. The goal was to identify the characteristics of these parks and to

pinpoint differences between them, with the ultimate aim of providing useful information and proposing points for

reflection in terms of using science and technology parks to foster economic development. The project was

funded by the Genome Spain Foundation, and its results have recently been published in “Benchmarking sobre

parques científicos”, of which this article is a synopsis.

KEY WORDS: Innovation policies, knowledge economy, science and technology parks, regional economic

development, technology transfer.

Contents

1. Introduction

2. What are science and technology parks?

3. Four parks

3.1. Heidelberg Technology Park

3.2. AREA Science Park (Trieste)

3.3. Manchester Science Park

3.4. Barcelona Science Park

4. Science park comparison

* Pere Condom i Vilà is Director of the Univeristy of Girona Science and Technology Park.

** Joan Roure is a lecturer in entrepreneurship at the Centre for Family Business and Entrepreneurship of IESE Business School.

6


5. Main conclusions

5.1. A setting geared towards the knowledge economy

5.2. A suitable industrial setting

5.3. The creation of new companies versus services to existing companies

5.4. Interactions

5.5. Services and the brand versus physical space

5.6. Property developer involvement

5.7. A clearly defined mission

5.8. Personal leadership

5.9. Park management

5.10. Success factors

5.11. Locomotive companies

6. Issues for the future

1. Introduction

This article –a summary of a larger work on

science parks 1 – is based on three main activities

undertaken as part of our research. First of all, we

examined the state of the art as far as science

and technology parks are concerned, with the

bibliography mapping out the basic concepts that

guided our field study, such as, for example, the

types and models of existing parks, their aim and

purpose, explanations for their success or failure,

their historic development, and the main elements

associated with their management.

Secondly, we visited four parks and held

interviews with the park management and with

1 ROURE et al, 2005.

SCIENCE AND TECHNOLOGY PARKS AS TOOLS FOR CONSTRUCTING THE KNOWLEDGE ECONOMY

7

other agents in the respective innovation

systems. These visits were complemented by the

compilation of information on each of the parks

from a range of sources.

Finally, we prepared a summary of the information

on each of the parks and made a final comparison

between them. Our reflections on science and

technology parks were also included is our analysis,

forming the basis for extracting conclusions and

making recommendations to managers of Spanish

science parks and to public authorities in charge of

defining innovation policies in Spain.

This article is a summary of the main results of the

project. However, rather than merely describe each


CONEIXEMENT I SOCIETAT 13 ARTICLES

of the parks, 2 we have placed special emphasis on

the final conclusions (Section 5), in the expectation

that these will be of particular interest to the

authorities and to the managers of these

infrastructures, which play a key role in building a

knowledge economy. In order to focus the

discussion, however, we will first of all briefly discuss

the science park concept and provide a short

description of each of the four parks in our study.

2. What are science and

technology parks?

The origins of the science park are sometimes

attributed to property development initiatives

undertaken in the USA at the beginnings of the

20th century, with the aim of making industrial land

available to companies. Business communities

responded positively to the idea of concentrating

companies in the same area and a number of

initiatives of this type were launched, particularly

after the Second World War 2 , when industry

began to perceive the advantages of being

The first science park was created in 1950 in

Stanford in the USA, and the concept was

taken up shortly after in Europe.

associated with, and located close to, a university.

The concentration of industry that occurred near

universities gave rise to the concept of the science

park.

8

The first science park was created in 1950 in

Stanford in the USA, and the concept was taken up

shortly after in both the United Kingdom and

France. At the end of the 1960s, a number of British

universities undertook initiatives aimed at creating a

setting that would facilitate the development of

technology-based companies. Britain provided

some early examples of science parks, such as, for

example, that of the University of Cranfield dating

from 1968, or the Cambridge Science Park dating

from 1972. Although growth was slow and impact

minimal in the first decade, 3 in the 1980s the British

government began to link university funding with

cooperation with the private sector, thereby

imposing a requirement on universities to improve

their focus on the needs of industry. These

pressures led to the development of a second wave

of parks, resulting in over half of British universities

entering into some kind of agreement with science

parks in the 1980s and 1990s.

In France, the most important initiative was the

construction of the Sophia Antipolis Technology

Park, 4 located on the Côte d’Azur between Nice

and Cannes, which commenced in 1970.

Belgium was another country that took this

concept on board in the 1970s, followed by

Germany, Italy, Finland and Sweden in the early

1980s. In Asia the concept of the science and

technology park was adopted in the early 1970s.

The first Asian park was Tsukuba Science City in

Japan, designed in the 1960s, built in the 1970s

and completed in 1980. China built its first park in

the mid-1980s.

Between 1985 and 1992, eight technology parks

were constructed in Spain. Although the earliest

2 Full details of the four parks and a comparison between them can be found in the book on which this article is based (ROURE et al, 2005).

3

ROWE, 2003.

4

CASTELLS & HALL, 1994.


parks in Spain were not built around universities, 5

by the 1990s the parks came to be considered as

key innovation policy instruments and the role of

universities came to be more clearly defined.

From 1995, universities began to show a clear

interest in the concept and, by 2004, a total of 21

Spanish universities had created their own

science parks and another 42 had developed

links with parks.

The last decade has witnessed an explosion in

the number of park projects in Spain, 6 the result of

a process of temporal and geographic diffusion

of the science and technology park concept. In

fact, according to some authors, 7 the science

parks themselves represent an innovation.

According to this perspective, parks undergo the

typical process that governs the diffusion of

innovations, by means of which any innovation or

new technology is adopted in three stages. In the

first stage, innovations are only taken up by a

limited number of early adopters who lead the way

in the adoption process. Once an innovation has

been tried and tested, large numbers of agents

adopt the innovation in a relatively short period of

time. The final phase, unlike the second phase,

unfolds over a relatively long period of time and is

featured by a significantly reduced rate of adoption

–there is no stimulus and so there is no novelty. The

innovation process typically generates two curves:

a normal curve representing growth in the number

of agents who adopt an innovation over time, and a

sigmoid curve that represents the cumulative

number of adopters. Competition eventually

becomes a feature of the adoption process,

affecting both users and providers. A park is an

5 ONDATEGUI, 2002.

6 The Association of Spanish Science and Technology Parks (APTE).

7 LINK & SCOTT (2003a & 2003b).

8 SANZ, 2004.

9 DRESCHER, 1998.

SCIENCE AND TECHNOLOGY PARKS AS TOOLS FOR CONSTRUCTING THE KNOWLEDGE ECONOMY

9

innovation in the sense that new parks eventually

appear (competitors) in response to a growth in the

numbers of potential park tenants (customers or

users who adopt the innovation).

Gradual temporal and geographic diffusion of the

science/technology park concept since the first

park was created in the USA over 50 years ago

has led to new interpretations of the concept of

science or technology park. This in turn has led to

the development of different kinds of parks with

their own particular features, making it difficult to

arrive at a suitable general definition.

Indeed, a number of terms exist to describe

developments that are more or less similar,

A number of terms exist to describe

developments that are more or less similar:

research park, technology park, business

park, innovation centre, technopolis,

science city, etc.

including research park, science park, technology

park, business park, innovation centre, etc, not to

mention other terms such as technopolis,

incubator or science city. To this list can be added

more recent terms such as technology precinct or

innovation business park, 8 and others such as

science centre, business innovation centre,

advanced technology centre, etc. 9 The terms


CONEIXEMENT I SOCIETAT 13 ARTICLES

science park and technopole are more typical in

Europe, whereas research park is the preferred

term in the USA and Canada.

– Science park / technology park. There is very

little difference between these two concepts,

except in terms of size and the possible

inclusion of productive activities. According to

Sanz (2004), the science park is the British

model, typical of the UK, whereas the

technology park is the Mediterranean model,

typical of countries such as France, Spain, Italy

and Portugal.

– Technopolis / technopole. Castells & Hall

(1994) define technopole in a broad sense as

representing a set of activities aimed at

promoting high-technology industry in a

specific geographic area. This term includes,

therefore, high-technology industrial

complexes, technology parks and science

cities. According to Sanz (2004), the

technopolis is a coordinated set of research

entities located in a city or region. The

technopolis, science park and technology park

are located in a physical space in which quality

Table 1

Main differences between the science park and the technology park.

Science park Technology park

Small or medium in size Medium or large in size

Closely associated with a university Sites or premises available for sale or lease

Focused on business R&D activities and spin-offs Production and manufacturing activities (industry) permitted,

Little emphasis on manufacturing

Commercial focus on sale or lease of constructed sites

with certain limitations

Source: Sanz, 2004.

10 BRITISH COUNCIL, 2002.

11 See footnote number 9.

12 COOK, 2001.

10

and design play a key role. Moreover, in all

these initiatives, selection criteria –related, in

general, to innovation and technology– are

applied to the candidate tenants. Finally,

another common feature is their respect for the

environment.

According to some sources, 10 the terms

technopole and science park are very similar.

Both these terms are broader than technology

park, given that they embrace not just physical

buildings but also the network of relationships

established between universities, research

centres and industry, 11 with the science park

representing the paradigm in this aspect. Existing

technopolises have not reaped the expected

rewards, given the lack of mechanisms for

developing interactions between agents. The

vision underpinning the concept of the technopolis

is that of a linear innovation system and not an

interactive system with networks and contacts

between the actors. 12

– Cluster. The term cluster covers a much

broader concept –geographically, in terms of

size, and in terms of scope. For this reason it


would probably be more appropriate not to

include it in our comparison. The concept

originated with Porter, who defined clusters as

groups of interlinked businesses and

institutions, holding certain features in

common, concentrated in a specific

geographic location, and competing in the

same business or sector. This term is used

widely, and the definition of cluster has, in fact,

led to it sometimes being used to refer to any

collection of companies in a science park, and

even to industrial sectors at the national level. It

is therefore important to take precise meaning

into account in discussing and interpreting the

impact of a cluster. 13

– Incubator. A business incubator or nursery is an

organization –public or private– that fosters

new companies by providing them with

resources and services and by facilitating their

development in the early stages. The private

model –which is typical in the USA– is similar to

a business centre. In this model, resources and

services are loaned in exchange for a

proportion of sales or sometimes in exchange

for a share in the new company. These centres

are sometimes eligible for public subsidies.

Publicly funded incubators are typically a

feature of measures aimed at promoting local

and regional development. In Spain, public

business nurseries tend to be initiatives

undertaken by local and regional authorities.

Incubators generally establish a maximum

occupancy period for new businesses (usually

two or three years). The USA is very active in

promoting this type of infrastructure, and the

US-based National Business Incubation

13 See footnote number 10.

14 KLOFSTEN et al, 1998.

15 CABRAL, R (1) .

SCIENCE AND TECHNOLOGY PARKS AS TOOLS FOR CONSTRUCTING THE KNOWLEDGE ECONOMY

11

Association, with some 800 members, is the

world’s largest incubator support association.

In Europe, the Business Innovation Centre

programme of the European Commission is

aimed at fostering the creation of incubators.

Klofsten et al 14 list nine types of resources that

incubators need to make available to new

technology-based companies: capital, personnel,

premises, production equipment, financial and

accounting knowledge, market knowledge,

product knowledge, human resource management

expertise, and management and business

administration expertise. Incubators may focus on

a specific knowledge area or sector or may be

multisectoral. A common type of incubator focuses

on the biotechnologies (bioincubators) or on the

information and communications technologies.

These tend to be more strict in regard to the

resources and services provided, especially in

the case of the bioincubators.

Companies are created and developed in an

incubator but must eventually leave, which is

not the case with science parks.

An incubator can be viewed as being located at a

development stage that precedes the science

park. Companies are created and developed in

an incubator but must eventually leave, which is

not the case with science parks, 15 although

companies created in an incubator may


CONEIXEMENT I SOCIETAT 13 ARTICLES

eventually form part of a science park. A science

park may contain an incubator, and this

represents, in fact, a common strategy to develop

a park’s function of promoting new technology

companies.

– Science city. The science city, unlike the

models described above, is defined as a strictly

scientific research complex with no direct links

to production or manufacturing activities.

Typically planned in great detail by public

authorities, the mission of the science city is to

achieve scientific excellence by isolating

researchers in a science city setting. Examples

of science cities include Akademgorodok in

Siberia, Taedok in South Korea, and Tsukuba

and Kansai in Japan. It would appear, however,

that these initiatives are not generating the

expected results –concentrating scientists in

the same location is in itself clearly insufficient

to stimulate innovation. 16

A science park is typically associated and has

links with a technologically advanced centre,

normally a university.

A science park is defined by certain basic

characteristics. 17

– It is typically associated and has links with a

technologically advanced centre, normally

16 CASTELLS & HALL, 1994.

17 BRITISH COUNCIL, 2002.

18 SANZ, 2004.

19 CAPELLO & MORRISON, 2004.

20 .

12

a university (this is the single most important

feature of a science park).

– It aims to encourage the creation and

development of knowledge- and technologybased

companies.

– It aims to provide –directly or indirectly–

advanced support services to businesses.

A science park –a quality centre in terms of

image, infrastructures and advanced service

provision– provides added value and a

competitive edge to tenants operating in

a globalized market. 18 What our analysis reveals,

however, is that the key element in the science

park is not the site itself but the services made

available to the tenants. Another key aspect is

that the proximity between businesses and

universities or other research centres leads to

benefits in terms of knowledge spillovers. 19

3. Four parks

Below we summarize the main features of the four

science parks studied, located in Germany, Italy,

the UK and Spain.

3.1. Heidelberg Technology Park 20

The driving forces behind the Heidelberg

Technology Park are Heidelberg Town Council

and the local Chamber of Industry and

Commerce. The park has the legal form of a

company but is not equipped with its own human

resource infrastructure. It is managed, rather, by

the Heidelberg Economic Development


Corporation (HWE), a company attached to

Heidelberg Town Council and in charge of

promoting economic development in the region.

The park is configured as yet another agent in an

innovation system established by Heidelberg

Town Council with the aim of stimulating the local

economy. It does this by fostering dialogue and

developing close links between different agents in

the system, with the HWE organizing seminars,

meetings, forums, etc, in order to promote

debate, discussion and exchanges between

these agents.

The underlying and fundamental aim of this

initiative is the economic development of the city

of Heidelberg. The park, which fulfils this role

within the framework of other actions undertaken

by Heidelberg Town Council, has the mission of

coordinating and further developing the powerful

biotechnological cluster that has grown up in the

area. It is important, however, to take into

account the broader context in order to interpret

the park’s role and to understand the innovation

system within which it fits. The Heidelberg area

has an enormous concentration of both public

and private research institutions, mainly in the

area of the life sciences, which –as generators of

knowledge– are a fundamental pillar in a

biotechnology cluster that is fully supported and

strengthened by state and federal initiatives

aimed at promoting biotechnology. This park

has developed on the basis of strong leadership,

and its recent history has been marked by the

leadership of two individuals in particular:

the visionary mayoress of the city, Beate Weber, and

the person responsible for executing this vision,

Klaus Plate, Chief Executive Officer of the park,

Director of the HWE, and Head of the General

21 .

SCIENCE AND TECHNOLOGY PARKS AS TOOLS FOR CONSTRUCTING THE KNOWLEDGE ECONOMY

13

Administration, Economy and Employment

Department of Heidelberg Town Council.

The private sector contributed funds for the

construction of the park, and property

development companies have continued to be

responsible for managing and leasing individual

units in the park. The innovation services

Heidelberg Science Park has the mission of

coordinating and further developing the

powerful biotechnological cluster that has

grown up in the area.

associated with the science park are provided by

200 associated members, one of which is the

University of Heidelberg. The concept of a network

of relationships has also been extended to the

international arena in the form of collaboration

agreements entered into with science and

technology parks from all over the world. Very

varied in nature, these agreements further reinforce

contributions to the tenants of the science park.

The future of the park is dependent on the science

city concept that is being developed for

Heidelberg and which is included in the strategic

plan for the city.

3.2. AREA Science Park 21

AREA Science Park is a multidisciplinary park

occupying a large surface area in Trieste. Created

in 1982, it was a pioneering initiative in Italy, the

result of cooperation between a range of public


CONEIXEMENT I SOCIETAT 13 ARTICLES

and private players operating at the local, regional

and state level. The park contains a large number

of big-science centres, which is hardly surprising,

as Trieste is a city with a high concentration of

research centres. One of its differentiating

characteristics with regard to the other parks

discussed in this article is the fact that the park is

officially classified as a public research entity

attached to the Italian Ministry of Universities and

Research.

AREA Science Park is a multidisciplinary park

occupying a large surface area in Trieste and

it is officially classified as a public research

entity attached to the Italian Ministry of

Universities and Research.

Legally configured as a consortium with its own

management structure, the park provides a broad

range of innovation services to its tenants through

a powerful human infrastructure consisting of 100

employees. Another of the differentiating

elements of this park is that its services are not

only offered to the tenants of the park but to all

the companies in the region (the park is, for

example, the regional representative of the

Innovation Relay Centre). 22 In its role as a regional

development agent, the park plays a central role

in the innovation system for the Friül-Venecia Julia

region and a key technology transfer role on

behalf of the University of Trieste.

14

The park is mostly occupied by research centres,

which is hardly surprising, as it was originally

designed as a research park. By now, however, it

is also a home to businesses, and the inclusion of

a number of companies –a relatively recent

phenomenon– clearly marks a second stage in its

development.

The park was founded with the aim of

regenerating the city and the region and

promoting new forms of economic development.

The public authorities have focused particularly

on consolidating a science city characterised by a

high concentration of research entities. As for the

immediate future of the park, the intention is to

combine initiatives undertaken at a general

regional development level with the development

and management of technology transfers on

behalf of the park’s research institutions.

3.3. Manchester Science Park 23

Manchester Science Park is an initiative forming

part of a series of actions aimed at developing the

city of Manchester following severe industrial

decline. The initiative includes a significant urban

regeneration component for particular areas of

the city of Manchester.

The driving force behind the park is the city itself,

represented by a large number of local

promoters; it is impossible to attribute the

initiative to any single institution, as a large

number of agents participated in the design and

development of the park. In fact, one of the main

differentiating factors of this park is the fact that it

is just a single component within an innovation

22 The mission of the Innovation Relay Centers in Europe is to support innovation and technological cooperation. More information: .

23 .


system consisting of many agents (research

centres, technology transfer units, centres for

promoting and supporting technology

companies, etc). Unlike the AREA Science Park,

which is pivotal in a geographically concentrated

innovation system, the innovation system in

which the Manchester Science Park (the whole of

the United Kingdom in fact) operates is much

more diversified and includes far more players.

For example, the Manchester setting furnishes a

series of well-defined instruments aimed at

facilitating and channelling the growth of

technology companies– university incubators (for

the earliest stages), a Bioincubator Building, Core

Technology Facility, the park itself, the

Technopark, and, finally, industrial estates.

As well as developing close relationships with

agents in the local innovation system, the park

has entered into a number of international

agreements. It is legally configured as a company,

with representatives of the triple helix –public

authorities, research institutions, and the private

sector– featuring among its shareholders;

private property developers also participate in the

initiative. The park has a relatively small human

infrastructure and provides few services directly;

innovation services are generally provided by

other agents in the system. Although the park is

currently multidisciplinary, in the medium-term it

is intended to develop the biotechnology area

further. Compared with the other parks analysed

in this article, this park occupies a relatively small

surface area. Factors which have contributed to

its success includes its location (within the city

and close to universities and industrial areas), the

flexibility afforded to its tenants, and the business

growth opportunities it affords. The leadership

24 .

SCIENCE AND TECHNOLOGY PARKS AS TOOLS FOR CONSTRUCTING THE KNOWLEDGE ECONOMY

15

provided by John Allen was crucial at a specific

moment in the history of the park.

The park expansion plans for the medium term

are based on developing its brand and image so

as to be able to open in other locations. It is also

planned to reinforce the relationship between the

park and its tenants with research institutions,

particularly with the University of Manchester.

Finally, given that its future is envisaged in terms

of initiatives to develop Manchester as a

knowledge city, the park will be required to both

play a more active role in the innovation system

and to act as a driving force behind innovation

agents.

Innovation services are not provided directly

by Manchester Science Park but by other

agents in the system.

3.4. Parc Científic de Barcelona 24

Barcelona Science Park, created in 1997, is a

pioneering park in Spain in terms of the notion of

linking a park with a university. It has therefore

defined the concept of science park for Spain and

represents a model for subsequent developments

in the country.

The fact that the public authorities, companies

and the University of Barcelona were playing an

institutional leadership role left them without any

Spanish reference for the proposal, which, in turn,


CONEIXEMENT I SOCIETAT 13 ARTICLES

led to difficulties in developing the concept and in

implementing it in its early years. As happened

with some of the parks analysed above, however,

a determining factor in terms of consolidating the

park was the leadership provided by a specific

individual, in this case Màrius Rubiralta, Director

of the PCB until relatively recently and currently

Rector of the University of Barcelona.

The park is located in an area with a high

concentration of scientific enterprises, and the

relationships that have been established between

the main science centres (including the University)

have led to the development of powerful

synergies within the park.

Barcelona Science Park, created in 1997, is a

pioneering park in Spain in terms of the

notion of linking a park with a university.

The park specializes in the pharmaceutical and

biotechnology areas. Nevertheless, despite this

specialism in terms of theme, it has diversified its

functions to include the creation of companies,

technology transfers, the creation of technology

platforms, the provision of innovation services,

the dissemination and communication of science,

etc. This broad range of functions has given the

park a central role in the innovation system, for

which it has had to develop a human

management and services structure, although it

continues to coordinate some activities and

services with the University of Barcelona. It has

focused greatly on developing technological

infrastructures and the provision of scientific

services as a basis for research excellence and as

16

a selling proposition for potential tenants. Its

relationship with the business sector, furthermore,

has led to the development of mixed units.

4. Science park comparison

AREA Science Park, Manchester Science Park

and Heidelberg Technology Park all date from the

same period, and so are well established in

comparison with Barcelona Science Park. Unlike

Manchester Science Park, which followed on

from a decade of science parks, the Trieste and

Barcelona parks introduced the concept of

science park to Italy and Spain, respectively,

whereas Germany’s first park had been created

just two years previous to that of Heidelberg.

Barcelona Science Park is the smallest in terms

of surface area, but has the highest number of

tenants. The average unit is, therefore, smaller

than that of the other parks, perhaps because it

has a large number of research groups attached

to the University of Barcelona or to one of the

many research organizations with which

agreements have been signed. AREA Science

Park has the largest surface area and also has the

largest units. Table 2 summarises additional

comparative information for the four parks.

5. Main conclusions

5.1. A setting geared towards the knowledge

economy

A science park is an instrument for promoting

industrial growth in terms both of employment and

production. Nonetheless, the essential element in

the concept is surely the fact that the initiative is

based on advanced technologies and launched on


Source: Roure et al., 2005.

the basis of governmental or university planning. 25

It could be stated that the immediate aim of a

science park is to facilitate business development,

whereas its ultimate aim is to promote regional

development. Authors who are highly

knowledgeable about science parks 26 indicate that

a geographic region or area typically creates a

science park for one of two main reasons.

One reason is to reindustrialize and replace

traditional sectors with high-technology sectors.

25 CASTELLS & HALL, 1994.

26 See footnote number 25.

27 COOKE, 2001.

SCIENCE AND TECHNOLOGY PARKS AS TOOLS FOR CONSTRUCTING THE KNOWLEDGE ECONOMY

Table 2

Comparison between four science parks: Area-Trieste, Heidelberg, Manchester and Barcelona.

Heidelberg Area Manchester Barcelona

Year founded 1985 1982 1984 1997

Number of tenants 58 73 80 99

Total employment by tenants 900 1,600 1,000 1,214

Surface area (m2 ) 50,000 75,000 24,000 23,448

Surface area for occupant (m2 ) 862 1,027 300 237

Employees for occupant 15.5 22 12.5 12.3

Park type Biotech Multi-themed Multi-themed/ Very much

trend towards biotechbiotech

oriented

Management structure Company Consortium Company Foundation

Total employment by management structure (HWE) 94 25 122

Main conceptual promoter Town Council Regional authorities City University

Promoters Local bodies Local, regional Triple helix (public University

and state bodies, authorities, research and banking

research bodies, bodies and the entity

other private sector)

University involvement Yes Yes Yes Yes

Agents in innovation systeme Quite a few Few Many Quite a few

Seminal leadership Klaus Plate No John Allen Màrius Rubiralta

Research bodies Few Many Very few Many

Direct services to tenants Very few Many Few Many

Incubator for new tech-based businesses Yes Yes Yes Yes

17

A closely associated notion is that a park may be

launched in order to involve a region in the

development of new high-growth sectors. This is

the case of the information and communication

technologies and biotechnology –both sectors

that boost the economy of a region. Another

reason is to generate synergies between different

agents in a local innovation system– which is why

a science park cannot be the sole element in a

regional innovation strategy. 27


CONEIXEMENT I SOCIETAT 13 ARTICLES

These reasons, corroborated by the results

obtained in our own research, would indicate that

a science park is simply another initiative among

many other possible projects for developing a

specific geographic area so that it can compete in

the knowledge economy. Concepts such as

knowledge cities or science cities are clearly

associated with the concept of science park. No

successful science park operates in isolation, that

is, in an environment in which the park itself is the

only idea, concept or development associated

with innovation, technology and the knowledge

society. This notion is present in all the parks

analysed in the project of which this is a summary.

Specifically, both Heidelberg and Trieste call

themselves science cities, whereas Manchester

describes itself as a knowledge city. Barcelona

can also be catalogued as a knowledge city, with

city authorities already beginning to take on board

this concept.

The criteria for evaluating a science park

must be based not just on proposals for the

park itself, but also on other actions to take

place in the setting in which the park is

located.

Any action has to be prioritized by the public

authorities in accordance with the context in

which it takes place. The criteria for evaluating a

science park must be based not just on proposals

for the park itself, but also on other actions to

take place in the setting in which the park is

18

located. The challenge is to consolidate areas

that compete on the basis of parameters

associated with the new economy. All the agents

in a geographic area need to cooperate by

simultaneously implementing a broad range of

actions, as a single initiative may fail to have an

impact (even if supported by a range of actors).

The discussion in the next section refers

specifically to this notion.

5.2. A suitable industrial setting

The competitivity of an industrial sector and,

consequently, of the companies that operate

therein, is determined by a wide range of factors.

Some of these factors include management and

organizational capacity, knowledge of advanced

technologies, the innovative capacity of a

company and sector, knowledge of productive

processes, a high level of productivity, highquality

manufacturing that differentiates a

company, the ability to offer better prices than the

competition, the ability to gain access to

distribution channels and raw materials, the

provision of efficient technical and customer

services, internationalization, the qualifications

and motivations of human resources, etc. All

these factors have an impact on the competitive

capacity of a business. That said, each sector

(and each company within a sector) typically has

key features that define its unique competitivity.

It has been established that effective collaboration

between universities and companies and the

transfer of technology occurs in companies in

which competitive capacity is technology-based. 28

Furthermore, this collaboration occurs particularly

in companies in which innovation is based on new

28 Of relevance are the arguments in regard to absorption capacity formulated by COHEN & LEVINTHAL (1990) and other authors.


product R&D. Put another way, external research in

a business is complemented by –never a

substitute for– internal research.

Given that a science park has, by definition,

the mission of promoting technology transfers,

the need to include companies which can link up

with research entities and organizations already

present in the park is obvious. Identifying such

companies is a simple matter: they typically are

companies that define competitivity in terms of

innovation and, more specifically, research –an

activity that normally takes place internally in a

specific R&D department.

In sum, a science park should not include simply

any kind of company; even at the risk of having

empty units. Companies from traditional sectors

that base their competitivity on costs, salaries,

productivity, access to raw materials, etc are not

eligible candidates for admission to a science

park, since they will never help achieve the aims

for which the park was created.

5.3. The creation of new companies versus

services to existing companies

In line with the ideas put forward in the previous

subsections, it is clear that the promoters of a

park and those responsible for its management

need to be fully aware of their aims and priorities.

Is the park to be created for the purpose of

regenerating an industrial environment? Does the

park aim to provide a service within the existing

industrial framework by generating synergies

between actors in the system? The type of park

and its activities will be very different in each of the

above cases. In line with our earlier comments on

the absorption capacity of the industrial

environment, if the park is to be located in an

environment composed of traditional industries,

SCIENCE AND TECHNOLOGY PARKS AS TOOLS FOR CONSTRUCTING THE KNOWLEDGE ECONOMY

19

then the park needs to focus on modifying this

environment and on creating or developing

businesses that are capable of competing in the

new economy, that is, on creating a new

knowledge-based environment.

Companies from traditional sectors that

base their competitivity on costs, salaries,

productivity, access to raw materials, etc

are not eligible candidates for admission to

a science park, since they will never help

achieve the aims for which the park was

created.

5.4. Interactions

Mentioned earlier was the fact that a park should

not be the only agent in the innovation system,

and science parks tend to emphasize their

relationships with other agents in an innovation

system. A park is yet another agent in the

network of entities and organizations that

configure a region and enable it to compete in

the new economy. Our study would indicate that

there is increasing awareness of the network

model and of the concept of a knowledge

environment (a region, a city, etc). This notion

implies traditional science and technology parks

spilling over, so to speak, into a broader

environment that goes beyond their physical

boundaries –an idea that is very attractive to

regions that wish to redirect their competitive

focus. Interaction between all the agents in an

innovation system results in creative and

innovative activities that will benefit a region.


CONEIXEMENT I SOCIETAT 13 ARTICLES

Examples of this perspective include the many

relationships established between different agents

in the Manchester region, or the Heidelberg

concept of stimulating a local economy by means

of debate and dialogue. Another example of this

interaction –again from Heidelberg– is the fact that

services to tenants are provided by the 200

members associated with the park (among them

the university), a fact that has helped to consolidate

the biotechnological focus of the region.

5.5. Services and the brand versus physical

space

Science parks of the future will place more

emphasis on innovation services provided to

tenants and less emphasis on physical spaces.

Space will continue to be a necessary but not a

central element in the science park. It will not,

The property development sector is an

important participant in Heidelberg

Technology Park, where leaseholds are

managed directly by the construction

company.

however, be necessary to directly provide

innovation services. In accordance with the network

model, rather than produce services, the issue

will be to identify, select and match service

providers with the agents already in the park on

the basis of an evaluation of their potential

contribution. Park management also should

identify unsatisfied needs.

On the basis of the innovation services provided

and the relationships developed between agents,

20

a park creates an image and a brand, which will

be prioritized over and above the physical space,

even though physical space will continue to be

necessary for specialist activities. Examples are

provided by the parks in Barcelona and

Heidelberg of the Manchester Innovation

incubator (visited as part of this study). A good

example is also provided by Manchester Science

Park management concern to shift the focus of

the park towards the biotechnologies. The

maximum expression of the perspective that

prioritizes brand over physical space and

relationships with other agents in the innovation

system is this same park, which plans to open a

number of new sites in Manchester –its

knowledge environment– aimed at bringing it

closer to other agents and improving network

functioning.

5.6. Property developer involvement

The fact that the physical space is of relatively

little interest as a competitive and differentiating

variable for science parks combined with an

evident need for finance justifies the involvement

of the private property development sector in the

development of science park initiatives. The best

example of this is Heidelberg, with both the park

itself and its activities relying on this involvement.

One example is that leaseholds are managed

directly by a construction company. Another

example is the incubator (UniTT) established by

the University of Heidelberg in conjunction with

Heidelberg Science Park; it was constructed by a

property developer which manages premises and

provides infrastructures.

5.7. A clearly defined mission

A park needs to clearly identify and define its

personality and strategy. One approach is to define


a specialization in sectoral terms –for example, the

information and communication technologies,

the biotechnologies, etc. Nonetheless, such a

definition is too broad. A park needs to make it

clear whether its main priority will be the creation of

a scientific setting that is to be linked to production

or manufacturing (a science park in the strictest

sense), or the creation of a centre for developing

new technology-based businesses (the park as

incubator), or whether it will embrace the broader

concept of innovation (as with the technology

parks), etc.

Clearly, a park may opt to include and assume

several of these concepts simultaneously, as

does AREA Science Park. Nonetheless, such a

focus has to be fully justified. AREA Science Park

has been able to take on board a wide range of

functions and responsibilities because the

innovation system in which it operates is

geographically concentrated and the number of

agents is relatively small.

5.8. Personal leadership

The promoters of a park need to appoint a leader

who will drive the project and who will be able to

capitalize on its development. The importance of

a good leader is emphasized in the literature but

is also illustrated in three of the four parks

analysed in our study, namely, Heidelberg,

Manchester and Barcelona.

5.9. Park management

Certain initiatives (for example, Manchester) and

studies have identified factors that may adversely

affect the development of a park in its early

29 CAPELLO & MORRISON, 2004.

30 LINK & LINK, 2003.

SCIENCE AND TECHNOLOGY PARKS AS TOOLS FOR CONSTRUCTING THE KNOWLEDGE ECONOMY

21

stages. One of these is poor management. Just

as a need has been identified for professional

management for research and technology

transfer and for R&D management schools, so

also should authorities responsible for defining

innovation policies consider specific training for

science park managers.

The promoters of a park need to appoint a

leader who will drive the project and who will

be able to capitalize on its development.

5.10. Success factors

The biggest problem in determining the success

of a science park is that there is no clear

consensus as to the definition of a park’s

success. Each of the agents involved will have

their own definition. Furthermore, a number of

errors are possible when measuring the

effectiveness of a park. For example, in addition

to failing to consider the points of view of each of

the participants, it is generally believed that

spatial proximity of the agents is sufficient to fulfill

the aims of a park. Furthermore, the different

types of parks are not taken into account. 29

Managers of US parks measure success on the

basis of factors such as profit generation

(particularly important in parks with a property

developer’s input), contribution to the local or

regional economy, or interaction with universities.

All these factors are linked to two specific

indicators: the number of tenants and the number

of workers employed by the tenants. 30


CONEIXEMENT I SOCIETAT 13 ARTICLES

The UK Science Park Association has defined six

factors associated with the success of the best

incubators and science parks in the UK: 31

In some science parks a determining factor

has been the draw exercised by prestigious

companies already located in the area.

1. Strict requirements and controls over the

activities of tenants so as to maintain

predetermined standards.

2. Compliance in terms of building design, land

use and density.

3. Professional and effective management.

4. Participation of a university with a consolidated

research base.

5. The availability of support services and funding.

6. The availability of incubation facilities.

Nonetheless, it is difficult to predict the success

of a particular initiative, as it is necessary to

consider the economic structure of a region, the

internal organisation of the park, relationships

with other bodies in the same setting –including

local, regional and state authorities, universities

and other research centres.

5.11. Locomotive companies

In some science parks and other cluster settings

a determining factor has been the draw

exercised by prestigious companies already

22

located in the area. For example, Hewlett

Packard acted as a major catalyst for Stanford

Research Park. This park, which was created in

1950, had five companies on its premises by

1955, including Hewlett Packard; by 1970 and

1980, respectively, the park had 70 and 90

companies as tenants. This growth led to

Stanford Research Park forming the core for

Silicon Valley. Likewise, leading multinationals

have gradually located in the area of Route 128 32

in Massachusetts. Other parks have witnessed

how specific companies –typically large,

dynamic and innovative– have assumed the role

of locomotive companies. 33

The importance of locomotive companies is also

underlined by Luke Georghiou, the prestigious

director of PREST (Policy Research in

Engineering, Science and Technology, a unit

attached to the University of Manchester) and

representative of the University of Manchester

on the Board of Directors of Manchester

Science Park. Georghiou, who has pointed to

the absence of research multinationals as the

greatest problem faced by this park, argues that

the large companies act as a magnet in

attracting smaller companies.

6. Issues for the future

Science and technology parks, in general, face

similar problems and challenges, many of which

have been discussed above. In this section we

will review those with a particular bearing on the

future of parks.

31 DIEFENDORF, 1997.

32 Route 128 links universities in Boston and Cambridge in one of the world’s leading tecnology concentrations in the world (primarily electronics).

Landmark companies in Route 128 development include Digital Equipment Corporation, Raytheon and Lotus Development.

33 YLINENPÄÄ, 2001.


A first issue is the need to identify differentiating

factors. 34 As indicated in subsection 5.7 above,

one of these factors is specialization. For

example, there is an increasing number of parks

specializing in biotechnology. Germany is one

country that has opted for this sectoral focus.

Specialization needs to be fully linked to the

priority areas or research lines being pursued by

the centre producing the knowledge associated

with the park. For example, prior to defining what

Barcelona Science Park would be and do, the

University of Barcelona commissioned a

consultant’s analysis as to the research strengths

of the university. The chosen specialization will

also clearly affect the costs of the initiative.

Biotechnology, for example, is costly in terms of

buildings and equipment, and this is one of the

main concerns of the management of the science

parks in Barcelona and Manchester, both of

which specialize in this area.

That said, parks will increasingly attribute

relatively less importance to physical aspects and

more to synergies and diversity. Ondategui refers

to this phenomenon as dematerialization (the

brickwork progressively loses value). The same

author also refers to the new network model and

to the concept of knowledge city, thereby placing

the traditional science and technology parks in a

broader setting –very appropriate for parks that

wish to redirect their manner of competing. Sanz 35

also discusses possible future scenarios for

science and technology parks and considers that

less importance should be attributed to tangible

factors (for example, bricks and mortar) and more

34 ONDATEGUI, 2002.

35 SANZ, 2004.

36 ANGLE, 2003.

SCIENCE AND TECHNOLOGY PARKS AS TOOLS FOR CONSTRUCTING THE KNOWLEDGE ECONOMY

23

to intangible factors. The role of universities and

of the incubator function will also receive a great

deal more attention –within a context of more

private enterprise participation, a globalized

world, and increased use of the information and

communication technologies.

It must be ensured that the private sector is

fully aware of a park’s potential and

possibilities.

A strategic analysis conducted in the UK on the

role of science parks makes a number of valuable

recommendations for the future, 36 primarily that

the science park concept has to be enhanced in

such a way as to locate it appropriately in the

marketplace and to ensure that the private sector

is fully aware of its potential and possibilities. The

added value that can potentially be created needs

to be quantified, as this would be the best way to

market the parks. Likewise, client needs in terms

of value-added services should be analysed and

measures developed to ensure the provision of

advanced support services. The parks also need

to make their role in regional development policies

more visible and to transmit their vision to those in

charge of defining regional innovation policies and

economic promotion strategies. Finally, it is

necessary to involve the private property sector in

the development of new science parks.


CONEIXEMENT I SOCIETAT 13 ARTICLES

Referències

ANGLE. Evaluation of the past & future economic contribution of the UK Science Park Movement. ANGLE Technology Group, 2003.

BRITISH COUNCIL. Science Parks, Business Incubators and Clusters. British Council. Briefing Sheet 18, December 2002. By Professor John

Allen, Chairman of Manchester Science Park and Pynthia Consulting Ltd.

Available from: [Consulted: June 2007].

CABRAL, R. (1) The Cabral–Dahab Science Park Management Paradigm.

Available from: [Consulted: June 2007].

CAPELLO, R.; MORRISON, A. “An Evaluation of the Effectiveness of Science Parks in Local Knowledge Creation: a Territorial Perspective”. Paper

presented to the Schumpeter Society Conference. Milan: Bocconi University, 9-12 June 2004.

CASTELLS, M.; HALL, P. Tecnópolis del mundo. La formación de los complejos industriales del siglo XXI. Madrid: Alianza Editorial, 1994.

COHEN, W., LEVINTHAL, D. “Absorptive Capacity: A New Perspective on Learning and Innovation”. Administrative Science Quarterly, Núm. 35,

(1990), p. 128-152.

COOKE, P. “From Technopoles to Regional Innovation Systems: The Evolution of Localised Technology Development Policy”. Canadian Journal

of Regional Science, XXIV: No. 1(2001), p. 21-40.

DIEFENDORF, S. Incubators and Science Parks in the United Kingdom. A Review of Science Park and Innovation Centre Operation in the United

Kingdom. Report for the the Alameda Center for Environmental Technologies, 1997.

DRESCHER, D. Research Parks in the United States: A Literature Review for PLAN 261 Department of City and Regional Planning. Report for the

University of North Carolina at Chapel Hill, 1998.

GEORGHIOU, L.; CASSINGENA, J. Contribution of Universities to the Knowledge Capital: A Scenario for Success in 2008. Foresight exercise

conducted by the Centre for Policy Research in Engineering, Science & Technology (PREST). University of Manchester, 2003.

KLOFSTEN, M.; JONSSON, M.; SIMON, J. “Supporting the pre-commercialization stages of technology-based firms: the effects of small scale

venture capital”. Venture Capital No.1 (January 1998), Vol. 1, p. 89-93.

LINK, A.N; LINK, K.R. “On the Growth of U.S. Science Parks”. Journal of Technology Transfer, 1, (January 2003), Vol. 28, p. 81-85.

LINK, A.N; SCOTT, J.T. “The Growth of Research Triangle Park”. Small Business Economics, 2, (March 2003a), Vol. 20, p. 167-175.

LINK, A.N; SCOTT, J.T. (2003b). “U.S. Science parks: the diffusion of an innovation and its effects on the academic missions of universities”.

International Journal of Industrial Organization, 9, (2003), vol.21, p. 1323-1356.

ONDATEGUI, J.C. “Parques Científicos e Innovación en España: 15 años de experiencia”. Economía Industrial, 346, (2002), p.147-160.

ROURE et al. “Benchmarking sobre parques científicos”. La Biotecnologia española: impacto econòmico, evolución y prespectivas, No. 5.

Madrid: Genoma España 2005. ISBN 84-609-6396-9.

ROWE, D. Science Parks in the United Kingdom. Today and Tomorrow. Technology Innovation Group, Inc. Presented at the Conference of the

Association of Spanish Science and Technology Parks (APTE), 2003.

24


SCIENCE AND TECHNOLOGY PARKS AS TOOLS FOR CONSTRUCTING THE KNOWLEDGE ECONOMY

SANZ, L. Fundamentals of Science Parks: Tools for Regional Development, 2004.

Available from: [Consulted: June 2007].

YLINENPÄÄ, H. Science Parks, Clusters and Regional Development. Paper presented at the 31st European Small Business Seminar in Dublin,

Sept 12-14, 2001.

25


CONEIXEMENT I SOCIETAT 13 ARTICLES

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY

OF CATALONIA

Josep M. Figueres*

Following the invitation made by the Catalan University System Quality Assurance Agency, AQU Catalunya, for

public participation in the debate on accreditation assessment, the article seeks to contribute to reflections

being made on the criteria for assessing scientific production connected with the history of Catalonia (HC) that

is submitted for evaluation and accreditation by specialised Catalan research and university bodies. It states

that the fact that scientific articles on HC published in renowned journals, whether they are from the Institute

of Catalan Studies (IEC), the university or academic institutions, are not considered will affect

historiographical production in the future in that Catalan language journals are not assessed, with

consideration being given only to those indexed in the Journal Citation Reports (JCR). The article also states

that HC is the foundation for Catalan identity, and journals on the subject that serve as the basis for many

teaching careers are only assessed by publications dealt with by the aforementioned index. The nonconsideration

of Catalan journals may place the scientific projection of HC in a position of subsidiarity and

result in a decrease in research work and articles in scientific journals in this field. The low level of discussion

on academic journals on HC – understood in practice to be “of low impact” – affects the public dimension of

Catalan culture, which calls, amongst other things, for consummate careers in language, literature, history and

geography. The response by new historians to skill assessment and accreditation as a way of progressing in

their university careers is to publish research in other areas of history and in other languages as this offers

them wider possibilities for positive assessment. Various statistical tables with the main series of publications

on history serve to illustrate the points made by the author.

Key words: academic evaluation, Catalonia, evaluation of the history of Catalonia, history, history of Catalonia,

historiography.

* Josep M. Figueres is an historian. He teaches History of Journalism at the Autonomous University of Barcelona (UAB), has been a member of the

editorial board of Trípodos (URL) and Treballs de Comunicació (Societat Catalana de Comunicació, IEC) and is currently on the editorial board of Anàlisi

(UAB). He contributes regularly to the Índice Histórico Español and is the director of Gazeta (IEC) and Materials d’Història de Catalunya (ACCAT), and of

the collection of books “Memòria del segle XX” (Cossetània).

26


Contents

1. Aim

2. The history of Catalonia and society

3. The production and dissemination of the history of Catalonia

4. Platforms for the history of Catalonia

5. Academic assessment of the history of Catalonia

5.1. Assessment and its repercussions

5.2. Criteria for accreditation assesment

6. Conclusion and final remarks

7. References

1. Aim

This paper aims to examine how articles dealing

with the history of Catalonia (HC) are assessed

within the academic context of the regional

Autonomous Community of Catalonia, especially

regarding the new academic accreditations of the

Catalan University Quality Assurance Agency (AQU

Catalunya). This paper examines how the

assessment process influences historiographical

production, bearing in mind that assessment does

not take place in a vacuum, nor does it deal merely

with a textual subject. It can influence the process,

objectives, content and even the chosen language

of a given text. It therefore affects the very core of

research into HC, due to the fact that the majority

of researchers either aspire to an academic

appointment, or already hold one. In order to gain

or maintain such status, assessment must

invariably be favourable. Criteria are established

with this in mind and assessment, as to being an

innocent process describing an objective reality,

27

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

becomes something that interferes with this reality,

setting objectives that influence researchers

wishing to pursue an academic career.

As to an innocuous and merely descriptive

process of reality, assessment interferes with

reality and conditions researchers wishing to

pursue an academic career.

This paper begins with an observation on the role

of doctoral theses as an important element of

historiographical production in the field of HC.

Both quantitative and linguistic considerations are

dealt with, due to the recent decrease detected in

both the production and number of doctoral

theses produced in the Catalan language. This is

followed by an analysis of bibliographical

production within the scope of General History, a


CONEIXEMENT I SOCIETAT 13 ARTICLES

subject which might seem, at present, to be in

good health. This good health, however, is

enjoyed despite, among other things, market

forces favouring historiographical production in

Spanish and the fact that many of the cultural

platforms of HC are not positively appraised in

academic career assessment. This last factor is of

marked and growing importance. The main body

of this paper deals with articles published in the

quality journals, which, along with conferences

and to a lesser extent books, represent the

greater part of the research on which assessment

is based. The undervaluing of Catalan HC cultural

platforms, such as local, provincial, national,

university and other academic journals and

periodicals, labelled indirectly as being of “lowimpact”,

and also of the Catalan language and

subject matter on Catalonia, may lead to a

reduction of research and articles in scientific

journals published in Catalan and to the

relegation of HC to secondary status.

The aim is for publications on the history of

Catalonia that already display objectively

high quality levels to be justly appraised by

Catalan authorities, irrespective of whether

or not they are included in the Journal

Citation Reports (JCR) index.

It is an obvious injustice that research into HC is

not positively appraised when it appears in

Catalan periodicals, as in the case mentioned

above. By taking into account only the Journal

Citation Reports (JCR) index, clear levels of

priority are established which exclude HC, with

diverse negative effects going far beyond the

28

harm done to those receiving a negative

assessment. The absence of a European

response to the American model of assessment

makes matters worse, at least as far as Catalonia

is concerned. At Spanish state level, the Spanish

Assessment Agency (ANECA) leaves criteria

open as far as quality Spanish journals are

concerned, whereas the Catalan University

Quality Assurance Agency (AQU) is moving

towards a restrictive consolidation of the

assessment system, with only a limited

consideration being given to specialist Catalan

publications. The Catalan assessment

authorities’ observance of general criteria is

leading to a situation where abstract justifications

are imposed, to the detriment of thematic and

linguistic prioritisation. The Catalan History

journals do not receive the recognition they

deserve, nor are they encouraged to improve by

a general plan of renovation – an idea which

could only be fully discussed in a separate paper.

This process has a negative effect on Catalan

culture, because newly-published historiography

will lack the academic prestige required by every

scientific community. The result will be to

reinforce the trend towards the academic

production of research on HC in Spanish, to the

detriment of research in Catalan. This also has

negative effects on recognition and approval,

which should combine rigour and quality with

standardisation of the level of influence or impact

enjoyed by each publication. Catalan

historiography is published primarily, almost

exclusively, in Catalonia. By ignoring this fact, we

make the mistake of following the criteria of North

American homologators, becoming mere

associates and losing our European appreciation

of home-grown production in the process. It is

not suggested that harmonisation and the

standardisation of academic titles are not


important and even, in the final analysis,

necessary, if international standards and a

constant level of growth are to be achieved – in

rigour, exigency and quality – by publishers,

writers and the scientific network of social

projection as a whole. The aim is for publications

on HC that already display objectively high quality

levels to be justly appraised by Catalan

authorities, irrespective of whether or not they are

included in the JCR index. If other reputable

authorities, like Latindex 1 , already do so, why

should we be obliged to follow the North

American model and not the Latin American one?

2. The history of Catalonia and

society

Like the Catalan language, HC has long been

considered a keynote of Catalan identity and

something of a cultural battleground due to the

very strictures it has suffered. As an academic

subject, HC has only very recently been taught at

university. Professor Jaume Sobrequés, in a

conference given to the then recently opened

Autonomous University of Barcelona (UAB), 2

recalled how, right up until the 1960s, the

teaching of HC had to be “camouflaged” under

the umbrella of the “History of the Crown of

Aragon.” The quest for knowledge of Catalan

history is an old one in Catalonia. Language,

literature, law and geography were employed in

the campaigns of the Romantic Movement, which

argued that History should be present in

university curricula. At the beginning of the

twentieth century, the so-called “noucentistes”

29

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

created new private institutions such as the

Estudis Universitaris Catalans and the Institut

d’Estudis Catalans (IEC) and it was from this

genuine groundswell that a formidable cultural

force became manifest. One bibliographic

exhibition alone would suffice to demonstrate the

splendid results achieved in research,

popularisation, academic teaching, methodology,

and the production of dictionaries and atlases

that transformed HC into a separate instrument of

cultural identity, as important and valid as either

language or literature. It has taken a great effort

by a society without a state - unique in Europe -

to situate HC in the position it currently enjoys.

Catalonia boasts a level of culture and

scientific production comparable with twenty

other states that have difficulties with their

own platforms of cultural projection and are

often forced to obviate them.

Catalonia boasts a level of culture and scientific

production comparable with twenty other states,

whether they are old like Denmark or Belgium or

new, like the Czech Republic or Slovenia. The

latter have difficulties with their own platforms of

cultural projection and are often forced to obviate

them or, in some cases, to create new platforms

in English to fully make their presence felt within

the context of the present-day international

scientific community.

1 Latindex is an on-line bibliographic information system dealing with publications and scientific journals from Latin America, Spain and Portugal. For more

information: .

2 SOBREQUÉS. Diàleg a la Pedrera, Fundació Viure i Conviure. Barcelona, 12 May 2007.


CONEIXEMENT I SOCIETAT 13 ARTICLES

It is obvious, however, that this extensive and

valuable production lacks the necessary

mechanisms for dissemination within the cultural

context of its own language community 3 , let alone

to the wider world. 4 The current panorama of

scientific exchange has remained unchanged for

the last ten years, leaving the field to the

traditional pathway of private initiatives, historical

journals, a few academic research groups sharing

an interest in a particularly interesting point of

analysis and a few other enterprises. 5

Historiographical production, however, remains

important and continues to increase.

Figures showing bibliographical production

are important and clearly demonstrate the

cultural and social value of history for

understanding society as a community.

In order to fully appreciate the importance of

History in the current context, the following

observations, among many others that could be

made - especially about the publishing world - are

necessary. The history of Catalonia finds itself in

crisis. This can be understood as a moment of

30

change or a turning point, due to a growing

reliance on factors that affect production rather

than distribution - factors that affect the language

one chooses to publish or share one’s research in,

rather than affecting its ultimate dissemination.

3. The production and

dissemination of the history of

Catalonia

Books dealing with HC (journals are examined

later) have long been influential and socially

important in Catalonia, from both a qualitative and

a quantitative point of view. From the

Renaissance till the end of the nineteenth century,

books on HC have played a key role in the

consolidation of an identity frequently hidden or

erased, as well as in the struggle against a hostile

political system, which suppressed the Catalan

university at the first opportunity in 1714 and did

not authorise its reinstatement until over a century

had passed. HC became important as a means of

cultural description of Catalonia. It therefore has a

different function from that found in other well

defined regions that aspire only to historical

knowledge. Figures showing bibliographical

production are important and clearly demonstrate

the cultural and social value of HC, despite being

3 Books published by the Autonomous Government of Valencia, for example, are not to be found here in Catalonia, while books published by the

Autonomous Government of Catalonia are equally absent from Valencia or the Balearic Islands. The Catalan Government has, however opened up one

bookshop in Madrid. This took precedence over Valencia or Palma, Malllorca. In the same way, the historiographical production of these regions is

unknown in Catalonia.

4 In 1996, during the composition of the Guia Bibliogràfica d’Història de les Illes Balears i Pitiüses (1997), commissioned by the Government of the

Balearic Islands, the situation was observed at first hand. It was patent from discussions with history teachers from the UIB and local publishers that they

were upset that books produced in the islands were not distributed in Catalonia. There was – and still is – a wall preventing the spread of Balearic history

into the rest of Catalonia and vice versa.

5 The tremendous importance of these initiatives should not be underestimated. For example, the Catàleg de les Biblioteques Universitàries de Catalunya

(http://www.cbuc.es) which places more than two million books at the disposal of Internet users in Catalonia, or the Catàleg Col·lectiu de les Universitats

de Catalunya (CCUC). To these initiatives can be added the doctoral theses now available on-line at TDX (Tesis doctorals en xarxa:

http://www.tdx.cbuc.es/), which offers the entire text in the form of a .pdf document and contains more than eighty-thousand bibliographical references

of a historical nature. This was set up by the Banc de Bases d’Història Local, linked to the UAB and the Diputació de Barcelona,

(http://www.uab.diba.es). An important attempt is also being made to draw the scientific community’s attention to research material published in journals,

such as ARCA (Arxiu de Revistes Catalanes Antigues: http://www.bnc.cat/digital/arca/index.html) and RACO (Revistes Catalanes amb Accés Obert:

http://www.raco.cat), providing the general public with access to the contents of relevant periodicals, both current and discontinued.


Table 1

Historiographical book production (1997-2006)

Catalonia Spain

1999 494 3122

2000 434 3035

2001 541 2399

2002 335 2470

2003 360 2690

2004 494 10041

2005 472 3434

2006 498 3765

Source: Instituto Nacional de Estadística.


under attack due to problems associated with the

social dissemination of the Humanities or other

factors, such as the difficult situation currently

faced by bookshops specialising in Social

Sciences.

The authors of the report of the Institut d’Estudis

Catalans (IEC) about the research on the History of

Catalonia (HC) 6 demonstrate the pre-dominance of

History in the register of doctoral theses, showing

that History «appears as the dominant discipline

within the field of Social Sciences. A significant fact

is that doctoral theses dealing with historical studies

Table 2

Linguistic trend of doctoral theses on History (1981-1985)

6 BALCELLS2 .

31

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

make up 47.7% of the total number of theses

presented between 1973 and 1988, within the entire

range of Social Sciences departments of the eight

universities existing at that time in Catalonia and

other Catalan speaking regions.» But if we now

examine Table 5 and take, for example, only one

university, the UPF, we find that in the period 2000-

2006, the number of theses on History (35) does not

make up even 10% of the total number of 376

theses. If the figures are further broken down

according to language, the result is striking and

precludes the necessity of further comment.

Table 2 indicates the relationship between the

number of theses and language in the five years

from 1981-85 and Table 3 does the same for the

years 1990-95. In Table 2, we find that linguistic

production is quite even. It becomes evident that

the legalisation of the Catalan language in the

years following the political transition did not lead

to normalisation in this field, as doctoral theses

submitted in Spanish were still slightly superior in

number to those submitted in Catalan.

It can been seen from Table 3 that, in the period

afterwards in the 1990s, the IEC statistics show

that the production of theses remained roughly

1980 1981 1982 1983 1985

Catalan Spanish Catalan Spanish Catalan Spanish Catalan Spanish Catalan Spanish

UB 4 11 11 8 5 6 8 5 10 13

UAB 2 2 9 8 9 1 7 5 1 1

TOTAL 6 13 20 16 14 7 15 10 11 14

Total Catalan 56

Total Spanish 61

Source: Índex d’Estudis Socials. Years: 1980, 1981, 1982, 1983 and 1985.


CONEIXEMENT I SOCIETAT 13 ARTICLES

Table 3

Doctoral theses on History (1990-1995)

Catalan Other Total of

languages approved theses

UB 23 16 39

UAB 10 11 21

Total 33 27 60

Source: Reports de la Recerca a Catalunya. Història, p.30., 1998.

Table 4

Doctoral theses on Modern and Contemporary History (2000-2006)

32

equal between languages. It can therefore be

demonstrated that in a very evenly balanced

context, in which important factors such as

assessments can make a decisive impact on the

course of events, there is a risk that theses written

in Catalan could become a minority in the field of

history, a field traditionally closely linked with HC.

Table 4 shows the current figures.

UB* UAB Total

Catalan Spanish Catalan Spanish Catalan Spanish

2000 2 3 1 0 3 3

2001 0 1 – – – 1

2002 2 2 4 2 6 4

2003 1 3 3 2 4 5

2004 2 1 2 1 4 2

2005 5 4 1 2 6 6

2006 3 2 0 1 3 3

Total 15 16 11 8 26 24

* Figures from the UB apply to academic years. Figures from the beginning of 2000-01 are included in the year 2000, etc. Theses submitted in French

are not included (1,2005) or Italian at the UPF (1, undated).

Source: i

Table 5

Doctoral theses submitted to the Universitat Pompeu Fabra (UPF) (1990-2006)

Total Catalan Spanish English French Italian

Departament de Ciències Exp. i de la Salut 57 23 22 11 1 -

Departament de Ciències Polítiques i Socials 11 4 7 - - -

Departament de Dret 80 13 66 1 - -

Departament d’Economia i Empresa 96 4 6 86 - -

Departament d’Humanitats

Departament de Periodisme

26 4 20 - 1 1

i de Comunicació Audiovisual 25 15 9 1 - -

Departament de Tecnologia 13 - 1 12 - -

Departament de Traducció i Filologia 6 2 4 - - -

Institut Universitari de l’Audiovisual - - - - - -

Institut Universitari de Cultura 11 - 1 - - -

Institut Universitari d’Història J. Vicens i Vives 35 25 9 - - 1

Institut Univ. de Lingüística Aplicada 26 13 11 2 - -

Total 376 103 156 113 2 2

Source:


The reason for the lack of growth in the number of

doctoral theses during the period 1970-2000,

when the University population experienced the

highest quantitative growth in its history, might be

attributable to curriculum content. The curriculum

plays a clear role in promoting History, which, as a

vocational objective within the humanist sphere

drifted, during the period of post-Franco political

transition, from centre stage to an increasingly

marginalised position, as shown by statistics

revealing the preferences of up and coming

students.

Local History is a complex area, due to the very

necessary and important work carried out therein.

There has recently been a marked increase in the

growth of local study centres and umbrella

organisations linking them together. These

organisations receive institutional support from the

Catalan government and are also usually treated

generously by county councils. Local History is

and will continue to be highly sensitive to changes

in the research policies of the history departments

of local and neighbouring universities, and also the

decrease in scientific research that is seemingly

motivated by a lack of consideration towards HC.

Important changes are beginning to take place in

the ambit of local history, a traditional bastion of

historical research. 7

Be that as it may, there has been a striking decline

in the importance and social relevance of HC.

33

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

This is shown by the lack of general knowledge

among the public at large and, more seriously,

amongst higher secondary school students, even

though HC is included in the curricula.

There is a risk that theses written in Catalan

could become a minority in the field of

history.

4. Platforms for the history of

Catalonia

Research carried out in any scientific community

is generally made available through books and

journals, conferences and seminars. Internet also

plays a growing role as a dynamic medium,

especially in the case of doctoral theses which

are available online ever more promptly and with

enhanced efficiency and quality. Those

conferences or lectures not publishing books

also display their content online, coinciding with

the appearance of the relevant book or CD.

Digital journals dealing with doctorates, Masters

and third cycle teaching have begun to appear.

These publish research projects worth nine

credits, which replace the traditional Master’s

degree thesis or dissertation. Generally

7 The following news item clearly illustrates this. The report states that: “Antoni Simon, Professor of Modern History from Girona, claimed yesterday that

less theses were being written on the history of Girona today than in the 1970s and explained that, except in very few circumstances, research into

the city’s history has all but stopped, despite the incredible wealth of the city’s archives. Simon regretted that the Quaderns d’Història de Girona,

which the Town Hall and County Council had agreed, back in 1986, to publish within a timeframe of five or six years, still had four or five volumes waiting

to go to press. Simon spoke out yesterday evening in Girona Town Hall, during the presentation of a book by Montserrat Jiménez, an historian from

l’Escala. The book, Girona, 1793-1795. Guerra Gran i organització política a la monarquia dels Borbons is published by the Girona City Council, which,

according to Simon, is the exception that proves the rule. Professor Simon was at pains to explain that although research into rural history, archaeology

and ancient history was being carried out, “we know very little about Girona in the sixteenth century and the second half of the seventeenth century and

there are blank areas of our knowledge about the nineteenth and twentieth centuries.” It may well be true, as the Professor of Modern History, Joaquim

M. Nadal, affirmed on the same occasion, that “the current panorama is better than it was twenty-five years ago,” but his declarations are still grave

enough, especially bearing in mind the individual character of historiographical research in Catalonia, which is usually carried out without support or the

coordinated help of consolidated research groups.


CONEIXEMENT I SOCIETAT 13 ARTICLES

speaking, the conventional media are now

judged not for the prestige they enjoy, but for the

influence they wield. We might refer to “highimpact”

platforms, meaning that they display a

series of attributes –seriousness, exigency and

intellectual rigour– that must necessarily

accompany all academic research. In this sense,

we could be forgiven for asking the following

question: should an article appearing in an

academic journal of the Institut d’Estudis

Catalans (IEC) following due approval by an

editorial board and professional readers, etc., be

valued less than an article appearing in a “highimpact”

journal, just because the latter has seen

the light in Michigan or Oregon, in accordance

with the policy of a company that selects it?

Because of the quantity, type and subject

matter of material on the history of Catalonia,

it is obvious that the so-called “high-impact”

journals cannot absorb the bulk of it, even if

they were so inclined.

In the field of historiography, local journals such

as Quaderns de Vilaniu, from Valls, Ausa from Vic

and many others from Figueres, Sabadell,

Girona, etc., are absolutely indispensable to the

understanding of HC. According to the IEC,

these are the essential and opinion-forming

platforms of contemporary thought. By

designating them second-class titles, we hamper

the publication of research in these periodicals,

research that might not otherwise see the light of

day. Researchers could feel impelled to deal with

subjects they find more profitable in the short

34

term, in order to further their careers. The pursuit

of an academic career involves achieving

objectives within an established academic

itinerary. A permanent post and regular work are

handed out on the appraisal of one’s research

record. Therefore, no young researcher today will

carry out the bulk of his or her research in the

field of local history and publish the results only in

the specialist platforms. Because of the quantity,

type and subject matter of this regularly

increasing material, it is obvious that the socalled

“high-impact” journals cannot absorb the

bulk of it, even if they were so inclined.

The vitality of Local History journals is a visible

demonstration of its potential and capacity.

Cultural centres such as the Institut d’Estudis

Ilerdencs, the Centre d’Estudis del Baix

Llobregat or the Centre d’Estudis del Bages,

display these same qualities and show what can

be achieved when a hundred such diverse

centres are gathered together under the umbrella

of a coordinating committee. The new

universities with Humanistic departments

(Girona, Tarragona, Lleida and Vic), in

conjunction with the enterprise of publishers at

county level (Eumo, Cossetània, Arola, Pagès),

have already raised the standing of Local History

platforms in all ambits. Obviously, no-one would

dream of suggesting that a publisher in Vic were

inferior to a similar one in Pi Street, Barcelona or

that a publisher in Lleida were inferior to one in

Ausiàs Marc Street in the Catalan capital. What

counts is the final result, the end product. In the

field of historical journals, however, periodicals

foreign to Catalonia unfortunately hold sway, on

the basis of decisions taken thousands of miles

away. Meanwhile, our own platforms are

silenced, simply due to the slavish observation of

criteria adopted by the major world political and

economic super-power.


The importance of the due appraisal of university

journals or IEC publications precludes the need for

further comment. We will therefore refer only to local

journals which are, and have always been, vital to an

understanding of HC, especially if we do not wish to

confuse it with the History of Barcelona. The local

platforms must be taken into account if we are to

avoid centralism and give due weight to the territorial

and demographic value of knowledge. Ausa is a

good example of a publication achieving a model

35

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

Table 6

Publications on HC considered important and significant by the Institut d’Estudis Catalans (IEC)

Acta Historica et Archaelogica Mediaeavalia

Analecta Sacra Tarraconensia

Anales de la Universidad de Alicante

Annals de l’Institut d’Estudis Empordanesos

Annals de l’Institut d’Estudis Gironins

Anuario de Estudios Medievales

Arrahona

Arxiu de Textos Catalans Antics

Ausa

Barcelona. Quaderns d’Història

Butlletí de la Fundació Ramon Berenguer IV

Butlletí de la Reial Acadèmia de Bones Lletres de Barcelona

Butlletí de la Societat Catalana d’Estudis Històrics

Cahier Noir

Cardener

Centre d’Estudis Comarcals de Banyoles

Cercles d’Història Cultural

Citerior

Cota Zero

Cuadernos de Arqueología Mediterránea

Cypsela

Empúries

Estudis Altafullencs

Estudis d’Historia Agrària

Estudis del Baix Empordà

Estudis Històrics i Documents d’Arxius i Protocols

Finestrelles

Fonaments

Fulls del Museu i Arxiu de Santa Maria

Ilerda

Source:

L’Avenç

L’Erol

Laietania

Lambard

Manuscrits

Mayurqa

Medievalia

Miscel·lània Aqualatensia

Miscel·lània d’Estudis Bagencs

Miscel·lània Penedesenca

Miscell·lània Cerverina

Modilianum

Pedralbes

Pirenae

Quaderns de la Selva

Quaderns de Vilaniu

Quaderns del Cercle d’Estudis Històrics i Socials de Girona

Recerques

Revista d’Arqueologia de Ponent

Revista d’Història Medieval

Revista de Catalunya

Rubricatum

Terme

Territori i Societat a l’Edat Mitjana

Treballs d’Arqueologia

Treballs d’Arqueologia del Pròxim Orient

Treballs d’Etnoarqueologia

Universitaris Tarraconensis

Urgellia

Urtx

Unfortunately, in the field of historical

publications, journals foreign to Catalonia

hold sway, simply due to the slavish

observation of criteria adopted by the major

world political and economic super-power.


CONEIXEMENT I SOCIETAT 13 ARTICLES

perspective of cultural dissemination. It recently

published a summing-up of its own publishing

record, comprising 63 tables and graphs and 44

well-documented pages put together by R. Ginebra. 8

Journals from all around Catalonia that

publishing history-related material with such

high standards of rigour and exigency should

be given their due recognition.

The survey reveals that the journal publishes an

average of 174.22 pages per year, making a total of

8,494 since it has been in existence. Each edition

carries an average of 6.62 articles, adding up to a

total of 808 articles divided between 321 authors. A

correlation with Lotka’s law is demonstrated. 9 Out

of a total of 816 subjects, 74 could be classed

under HC, 80 under the history of Osona and 97

under the history of Vic. There are 138 biographies

and 8 bibliographies. This means that nearly half of

the texts correspond to either history or biography.

There are 256 articles and 2,522 pages dedicated

to history, the most popular subject, followed by

Biography with 138 articles and 1,242 pages. The

sciences follow, with 84 and 592; then art, with 74

articles and 768 pages, language and literature with

69 articles and 659 pages, then archaeology

with 59 and 577, etc. According to the author:

“History has always been, and continues to be, the

journal’s principal subject matter. Over time, a body

of work has taken shape that is essential to the

study of the history of Catalonia at both a general

36

and a local level. The 256 articles and 2,522 pages

of text of historical study carried out under the

auspices of the Patronat d’Estudis Osonencs

make up an incomparable collection of a

recognised high standard. The journal continues to

be, in this sense, the principal channel for the

dissemination of this sort of article.”

The study concludes:

“Thus ends a bibliometric study taking in the whole

fifty years of Ausa’s existence. Despite the

unattractive nature of cold statistical analysis, what

emerges from the figures, and what we have seen

unfold, is practically the entire history of the journal,

of the Patronat d’Estudis Osonencs, of Osona’s

society in general and the science and culture of

Osona in particular.

Beyond the thousands of pages, the hundreds

of articles and the dozens of editions, is a body of

study and research adding up to a first rate

bibliographic source. Statistical analysis of the

scale, subject matter, authorship, language of

publication and progress made in all these areas

yields a fair reflection not only of an entity, but also

of a society and a community. The history and the

political, cultural and even socio-economic

progress made in Osonian society during the last

fifty years are faithfully portrayed. It is for these

reasons that Ausa journal can today be considered

a historical testament of incomparable magnitude.”

It is in many ways exceptional that in Catalonia and

other Catalan speaking regions as a whole, there

are periodicals and annuals publishing historyrelated

material with such high standards of rigour

8 GINEBRA and MOLINS, 2002.

9 For more information about Lotka’s Law (lwhich demonstrates the inverse square of author productivity): .


Table 7

List of publications forming part of RACO

Anàlisi: quaderns de comunicació i cultura

Animal Biodiversity and Conservation

Annals d’arquitectura

Annals de l’Institut d’Estudis Gironins

Anuari de la Societat Catalana de Filosofia

Anuari de la Societat Catalana d’Economia

Anuari de la Societat Catalana d’Estudis Jurídics

Anuario internacional CIDOB

Aplec de treballs

Artnodes: revista d’art, ciència i tecnologia

Arxiu de Textos Catalans Antics

Arxius de l’ESAB

Arxius de Miscel·lània Zoològica

Athenea digital

Ausa

Beceroles

Bibliodoc: anuari de biblioteconomia, documentació,…

BiD: textos universitaris de biblioteconomia i documentació

Biomecánica: órgano de la Sociedad Ibérica de Biomecánica

y Biomateriales

Boletín de la Real Academia de Buenas Letras de Barcelona

Butlletí de la Institució Catalana d’Història Natural

Butlletí de la Societat Catalana de Matemàtiques

Butlletí de la Societat Catalana de Pedagogia

Butlletí de la Societat Catalana d’Estudis Històrics

Butlletí de les Societats Catalanes de Física, Química, Matemàtiques

i Tecnologia. 2ª èp.

Carrer de la ciutat: revista de arquitectura

Catalan Journal of Linguistics

Catalan Working Papers in Linguistics

CEP

Ciències: revista del professorat de ciències de Primària i Secundària

Cinematògraf

Collectanea Mathematica

Comprendre. Revista catalana de Filosofia

Coneixement i Societat

Contributions to science

Cuadernos de Arqueología Mediterránea

Cuadernos internacionales de tecnología para el desarrollo humano

DCidob

Digithum: revista digital d’humanitats

Documentos de la Escuela de Ingenieros Industriales de Barcelona

Documents d’Anàlisi Geogràfica

Dossiers agraris

37

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

Dovella

Ebre 38: revista internacional de la Guerra Civil, 1936-1939

Educació i Història: revista d’història de l’educació

Educar

ELCVIA: Electronic Letters on Computer Vision and Image Analysis

Enrahonar: quaderns de filosofia

Enseñanza de las Ciencias

Estudi General

Estudis Romànics

Faventia

Formats: revista de comunicació audiovisual

Gimbernat: revista catalana d’història de la medicina i de la ciència

Hipertext.net

HMiC: Història Moderna i Contemporània

Ide@sostenible: espacio de reflexión y comunicación en desarrollo

sostenible

IDP: revista d’Internet, dret i política

Intangible Capital

Ítaca: quaderns catalans de cultura clàssica

Item: revista de biblioteconomia i documentació

IUSLabor

Lauro: revista del Museu de Granollers

Links & Letters

Llengua i literatura

Locus Amoenus

LSC – Llengua, societat i comunicació

Manuscrits. Revista d’història moderna

Mathware & soft computing

Memorias de la Real Academia de Buenas Letras

Miscel·lània d’estudis santjustencs de Barcelona

Miscel·lània litúrgica catalana

Notes

Orsis: organismes i sistemes

Papers de la Càtedra Unesco

Papers. Revista de sociologia

Periodística: revista acadèmica

Perspectivas Urbanas

Publicacions de la Secció de Matemàtiques

Publicacions Matemàtiques

Quaderns agraris

Quaderns de la Selva

Quaderns de l’Institut Català d’Antropologia

Quaderns d’història de l’enginyeria

Quaderns d’Italià


CONEIXEMENT I SOCIETAT 13 ARTICLES

Quaderns: revista de traducció

Quark

QÜESTIÓ (Quaderns d’Estadística i Investigació Operativa)

Raïls

Recerca

Recerca Musicològica

Redes: revista hispana para el análisis de redes sociales

Reduccions: revista de poesia

Resclosa, La

Revibec: Revista iberoamericana de economía ecológica

Revista Catalana de Dret Privat

Revista Catalana de Musicologia

Revista Catalana de Pedagogia

Revista Catalana de Sociologia

Revista CIDOB d’afers internacionals

Revista de Dret Històric Català

Revista de física

Revista de geografia

Revista de la Societat Catalana de Química

Revista de Tecnologia

Revista del Centre de Lectura de Reus

Revista d’Ensenyament de la Psicologia: Teoria i Experiència (REPTE)

Source:

and exigency. If new generations of historians

choose to undervalue them and focus their

attention on publishing in foreign journals of type A

- where it is difficult to publish HC-related material -

they will have to channel their efforts into publishing

material divorced, in the strictest sense, from HC

itself. Ausa is available online via the RACO access

service, an extremely useful tool in which a fine

selection of academic journals, many dealing with

history, is to be found. Even though these

publications do not feature in the AQU list, they are

important instruments of knowledge that should be

included in whatever category necessary – A, B, or

C, - and given the recognition due to them.

Latindex 10 is an important initiative in the drive to

create an effective database making specialist

10 See foot note number 1

38

Revista d’etnologia de Catalunya

Ripacurtia

RUSC: revista de universidad y sociedad del conocimiento

Scientia gerundensis

Scripta Nova: revista electrónica de geografía y ciencias sociales

Senienc, Lo. Memòria, natura i llengua

Sessió Conjunta d’Entomologia

SORT (Statistics and Operations Research Transactions)

Sostenible?

Tamid

TECA. Tecnologia i Ciència dels Aliments

Temes de disseny

Terme

Tradumàtica: traducció i tecnologies...

Treballs d’Arqueologia

Treballs de Comunicació

Treballs de Física

Treballs de la Societat Catalana de Biologia

Treballs de la Societat Catalana de Geografia

Treballs de sociolingüística catalana

Trípodos.com: revista digital de comunicació comunicació

UOC Papers: revista sobre la societat del coneixement

information available for academic use. It applies

internationally recognised criteria, which is

decisive in the field of academic publications.

Latindex is made up of a network of institutions

working together to garner information. It

currently has a directory of 15,815 journals, a

catalogue of 2,653 and 2,517 journals available

via the electronic resources index. It gathers

together titles from the Iberian Peninsula and

South, Central and North America and is based

at the Universidad Nacional Autónoma de Méjico

(UNAM). Latindex also includes publications in

the Basque and Catalan languages. These are

listed amid the Spanish titles and easily located

by an efficient search engine. There are a total of

171 journals in Catalan, from a list of more than

fifteen thousand. Publications from Valencia and


Table 8

List of Spanish History periodicals included in Mexico University’s Latindex database

Afers. Fulls de recerca i pensament

Anales de Historia Contemporánea

Antilia. Antigüedad y cristianismo

Anuari de la Societat d’Estudis d’Història Eclesiàstica moderna

i contemporània de Catalunya

Anuario de Estudios Americanos

Anuario de Estudios Atlánticos

Anuario de Estudios Medievales

Anuario de Historia de la Iglesia

Aportes. Revista de historia contemporánea

Archivos leoneses. Revista de estudios y documentación de los

reinos hispano-occidentales

Argensola. Revista de Ciencias Sociales

Arrahona

ARYS. Antigüedad: religiones y sociedades

Asclepio

Ayer

Baluarte. Estudios gaditano-cubanos

Barcelona. Quaderns d’història

Boletín americanista

Boletín de la Asociación Española de Orientalistas

Boletín do Museo Provincial de Lugo

Byblos. Revista de Historiografía Histórico-Jurídica

Complutum

Compostellanum

Contrastes. Revista de Historia Moderna

Cuadernos de Estudios del Siglo XVIII

Cuadernos de historia contemporánea

Cuadernos de Historia del Derecho

Cuadernos de historia moderna

Cuadernos de investigación histórica. Seminario Cisneros

Cuadernos del Instituto Antonio de Nebrija

Cuadernos Dieciochistas

Documenta et Instrumenta

Duoda

Dynamis

Emblemata. Revista Aragonesa de Emblemática

En la España Medieval

Espacio, tiempo y forma. Historia contemporánea

Espacio, tiempo y forma. Historia medieval

Espacio, tiempo y forma. Historia moderna

Estudios humanísticos. Historia

39

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

Estudios mindonienses

Estudis d’història agrària

Florentia Iliberritana. Revista de Estudios de Antigüedad clásica

Gerión

Gladius. Estudios sobre armas antiguas, armamento, arte militar

y vida cultural en Oriente y Occidente

Glossae. Revista de historia del derecho europeo

Hispania

Hispania antiqua

Hispania Epigraphica

Hispania Sacra

Historia Agraria

Historia, antropología y fuentes orales

Historia contemporánea

Historia. Instituciones. Documentos

Historia social

Historia y comunicación social

Historia y Política. Ideas, procesos y movimientos sociales.

Iberia. Revista de la Antigüedad

Ilu. Revista de Ciencias de las Religiones

Ilu. Revista de Ciencias de las Religiones. Anejos

Investigaciones de historia económica

Investigaciones históricas. Época moderna y contemporánea

Itaca

Itsas memoria

Iura Vasconiae

Liceo franciscano. Revista de estudio e investigación

Manuscrits. Revista de historia moderna

Mayurqa

Medicina e Historia

Melanges de la Casa de Velázquez

Memoria y civilización. Anuario de Historia

Migraciones y exilios. Cuadernos de la AEMIC

Minius. Revista do Departamento de Historia, Arte e Xeografía

Miscelánea medieval murciana

Mundaiz

Notitia Vasconiae. Revista de Derecho Histórico de Vasconia

Palaeohispánica. Revista sobre lenguas y culturas de la Hispania

Antigua

Papeles de historia. Revista de la Asociación Papeles de

Historia de Ubrique

Pasado y Memoria. Revista de Historia Contemporánea


CONEIXEMENT I SOCIETAT 13 ARTICLES

Polis. Revista de ideas y formas políticas de la Antigüedad Clásica

Príncipe de Viana

Quaderns d’arqueologia i història de la ciutat de Barcelona

Qurtuba. Estudios Andalusíes

REDEN. Revista española de Estudios Norteamericanos

Revista agustiniana

Revista complutense de historia de América

Revista española de historia de las ciencias de la naturaleza y de la

tecnología

Revista de Demografía Histórica

Revista de Estudios ibéricos Revista electrónica

Revista de Historia Actual

Revista de historia económica. Journal of Iberian and Latin

American Economic History

Revista de historia industrial

Revista de historia moderna

Source:

the Balearic Islands are also present. 11 The list

demonstrates the cultural potential of the

Catalan language and the threat posed to its

international prestige, if accreditation parameters

are not widened and the predicted desertion by

the academic world occurs.

Latindex demonstrates the cultural potential of

the Catalan language and the threat posed to

its international prestige, if accreditation

parameters are not widened and the predicted

desertion by the academic world occurs.

There are consequently two aspects affecting

accreditation trends: the quest of HC itself and

publication in the Catalan language, and the

11 List available at: .

40

Revista de historiografía

Revista de Indias

Revista de la Inquisición

Revista internacional de los estudios vascos

Rudimentos legales. Revista de Historia del Derecho de la

Universidad de Jaén

Saitabi

Studia historica. Historia Antigua

Studia historica. Historia Contemporánea

Studia historica. Historia Medieval

Studia historica. Historia Moderna

Studia Monastica

Tiempos de América. Revista de historia, cultura y territorio

Trienio. Ilustración y Liberalismo. Revista de Historia

TsT.Transportes, Servicios y Telecomunicaciones. Revista de Historia

Vasconia. Cuadernos de Historia-Geografía

undervaluing of Catalan culture when it is not

considered as either a worthwhile language or an

object of study.

The Centro de Información y Documentación

Científica (CINDOC) (part of the CSIC) produces

another general list of Spanish publications. This

features an interesting and representative

selection of publications from the field of Catalan

culture, making up approximately a quarter of the

total. The series includes individualised

descriptions with objective information about

each publication, and represents a dependable

body of data and value measurements, such as

quotations, Latindex criteria, etc. It could provide

a good starting point for establishing objective

criteria for assessments in Catalonia, in the

absence of a similarly trustworthy and practical

list emanating from the Catalan government’s

own assessment agency.


Table 9

Scientific journals considered “high-impact” by CINDOC

Afers. Fulls de recerca i pensament

Afers. Fulls de Recerca i Pensament

Analecta Calasanctiana

Analecta Sacra Tarraconensia

Anales de la Universidad de Alicante. Historia Medieval

Anuario de Estudios Medievales

Aportes. Revista de Historia Contemporánea

Archivo Iberoamericano

Áreas. Revista de Ciencias Sociales

Arenal. Revista de Historia de las Mujeres

Asclepio. Revista de Historia de la Medicina y de la Ciencia

Avenç, L’

Aventura de la Historia, La

Ayer

Barcelona. Quaderns d’Història

Boletín de la Real Academia de la Historia

Cercles. Revista d’Història Cultural

Chronica Nova

Contrastes. Revista de Historia Moderna

Cuadernos de Historia Contemporánea

Cuadernos de Historia de España

Cuadernos de Historia Moderna

Cuadernos de Investigación Histórica Seminario Cisneros

Cuadernos de Investigación Histórica: Brocar

Cuadernos dieciochistas

Dynamis

Edad Media. Revista de Historia

Edades. Revista de Historia

Emblemata. Revista Aragonesa de Emblemática

Espacio, tiempo y forma. Historia Contemporánea

Espacio, tiempo y forma. Historia Antigua

Espacio, tiempo y forma. Historia Medieval

Espacio, tiempo y forma. Historia Moderna

Estudis d´Història Agrària

Estudis Històrics i Documents dels Arxius de Protocols

Estudis. Revista de Historia Moderna

Gaceta Numismática

Gerion

Gladius. Estudios sobre Armas Antiguas, Armamento, Arte Militar y Vida

Cultural en Oriente y Occidente

Hispania

Hispania Antiqua

Source: , CINDOC.

List of publications in Social Sciences and Humanities, CINDOC.

41

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

Hispania Sacra

Historia Agraria

Historia Contemporánea

Historia Moderna

Historia Social

Historia y Política. Ideas, Procesos y Movimientos Sociales en la

España Medieval

Historiar. Revista Trimestral de Historia

Investigaciones Históricas. Época Moderna y Contemporánea

Ius fugit. Revista Interdisciplinar de Estudios Histórico-jurídicos

Llull. Boletín de la Sociedad Española de Historia de las Ciencias

Manuscrits. Revista d’Història Moderna

Medicina e Historia

Medievalismo

Memoria Ecclesiae

Memoria y Civilización. Anuario de Historia

Migraciones & Exilios. Cuadernos de AEMIC

Militaria. Revista de Cultura militar

Obradoiro de Historia Moderna

Pedralbes. Revista d’Història Moderna

Polis

Recerques

Revista Agustiniana

Revista de Demografía Histórica

Revista de Historia Canaria

Revista de Historia Económica

Revista de Historia Industrial

Revista de Historia Jerónimo Zurita

Revista de Historia Militar

Revista de Historia Moderna

Revista de la Inquisición

Revista del Centro de Estudios Históricos de Granada y su Reino

Revista d’Història Medieval

Revista Internacional de los Estudios Vascos

Rudimentos legales. Revista de Historia del Derecho de la Universidad

de Jaén

Studia Historica

Studia Historica. Historia Medieval

Studia Historica.Historia Antigua

Torre de los Lujanes

Trocadero. Rev. de Hist. Moderna y Contemporánea

XX siglos


CONEIXEMENT I SOCIETAT 13 ARTICLES

Another initiative currently under evaluation by the

AQU are the lists of journals dealing with

Humanities and Social Sciences produced by the

Catalan government’s Directorate General for

Research, (DGR) – the so-called CARHUS lists.

These, according to the web page of the Catalan

Ministry of Innovation, Universities and Industry

(DIUE), “are a support instrument for activities

related to research assessment.”

42

In these lists, (table 10), criteria are employed

that go some way to meeting the demand that

production and evaluation should consider not

only those titles included in the ISI and JCR

indices, but also take into account science

produced in Catalonia and included in the high

quality publications. The list displayed on the

DIUE’s web page is not as exhaustive as it would

need to be in order for the research work of

Table 10

Proposal for lists of Humanities and Social Science publications within the field of Contemporary History. Rating value

included. (CARHUS lists)

Annales historiques de la revolution française A

Journal of contemporary history A

Awraq B

Ayer B

Historia contemporánea B

Revista de historia industrial

Revue d’histoire de la 2eme. guerre mondiale et des conflicts contemporaines /

B

Guerres mondiales et conflits contemporains B

Anales de historia contemporánea C

Bulletin d’histoire contemporaine C

Cahiers de l’institut d’histoire du temps present C

Contemporani, El. Revista d’història del Centre d’estudis historiogràfics de la UB C

Ebre 38 C

España contemporánea C

Estudis d’història contemporània del País Valencià C

Historia del presente C

Historia y fuente oral C

IIles i imperis: estudis d’història de les societats en el món colonial i postcolonial C

Oral history review C

Pasado y memoria. revista de historia contemporánea C

Prohistoria: debates y combates por la historia que viene C

Quaderns d’història contemporània C

Rassegna storica toscana C

Risorgimento C

Siglo XIX C

Siglo XX / 20th century C

Spagna contemporanea C

Storia contemporanea C

Trienio: ilustración y liberalismo C

Vingtième siècle. Revue d’histoire C

Source: . (Last updated: august 2005)


those applying for accreditation to be fully

assessed.

The list is still open and even though it is valid until

2008, it seems that the DGR wishes to establish an

open debate and receive feedback from the wider

scientific community, ranging from the IEC to the

Universities.

The DGR states:

“Proposal for lists of publications on Humanities

and Social Sciences (CARHUS lists): the lists of

publications on Humanities and Social Sciences

(CARHUS lists), drawn up by the Directorate

General for Research, are a support instrument for

activities related to research assessment. In

drawing up the lists, primary consideration has

been given to the proposal made in the year 2000

by the Consell d’Avaluació Científica i Tècnica

(CONACIT), suggestions about modifications

received in recent years, publications deemed

“high-impact” by the Information Science Institute

(ISI), the Journal Citation Reports, the Social

Sciences Edition, the journals accepted in studies

carried out by the Centro de Información y

Documentación Científica (CINDOC) and others,

publications suggested by researchers in opinion

polls carried out during the survey Estudi sobre

l’avaluació de la recerca en humanitats i ciències

socials, as well as consultations made by the DGR

to researchers working in different fields. The list is

a work in progress, designed to provide guidance

for reviewers, researchers and publishers. It will be

modified over the course of time, according to

feedback received from the scientific community.” 12

This is all well and good. In the meantime, however,

the assessment of objectives and the accreditation

12 Source:.

43

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

of research and advanced research carry on

inexorably, depending on the committees and

panels assessing them. Assessments usually

include the fateful sentence: “Negative assessment

given for period X, corresponding to research

objective Y.” The explanation follows: “None of the

publications cited in the research submitted are

included in the Journal Citation Reports index or

have been subjected to a peer review process.”

Publications on the field of Catalan culture

making up approximately a quarter of the

total of the Spanish Center of Scientific

Information and Documentation (CINDOC)’s

index of Spanish publications.

Specialisation should also be taken into account

during the approval process. Not all historical

research takes place within History departments.

political history, social history, economic history,

the history of religion, science, communication,

journalism, publicity, medicine etc, are not only

present in the academic realm in their specific

scientific disciplines. They also have their own

publications, which could be recognised and

approved equally well by either the Thomson

company from the United States, or by our very

own Catalan assessment agencies.

5. Academic assessment of the

history of Catalonia

Accreditation is, as we have seen up until now,

decisive in determining historiographical research


CONEIXEMENT I SOCIETAT 13 ARTICLES

and also exerts an influence on its social aspect.

The following section examines this in more detail.

5.1. Assessment and its repercussions

Defining assessment criteria and indicating the

platforms apt for assessment is a perfectly legitimate

practice in any collective process in which

judgments are made about individual merits. There

is a wide selection to choose from in Catalonia, with

a wide range of hues and sensibilities - meaning that

diverse factors intervene in the necessary process of

establishing standards. The options open include:

44

selecting only university publications; selecting only

those publications fulfilling certain criteria; selecting

all academic publications (by institutions and

universities), or selecting only the publications

appearing in the international registers, irrespective

of whether they are in Catalan or not. We seem to

have opted for the latter, most debatable option,

although this is fortunately now undergoing revision.

There are numerous journals. The CBUC

summary of titles, shown in Table 11, shows a

sample of this great variety, even though only

those dedicated to research have been selected

rather than to popularisation.

Table 11

Journals on the history of Catalonia from the Catàleg de Biblioteques Universitàries de Catalunya (CBUC)

Afers. Fulls de recerca i pensament

Analecta sacra tarraconensia

Annals de l’Institut d’Estudis Empordanesos

Annals de l’Institut d’Estudis Gironins

Anuario de estudios medievales

Arraona. Revista d’història

Arxiu de textos catalans antics

Aula historia social

Ausa

Avena, L’

Barcelona. Quaderns d’història

Boletín de la Real Academia de la Historia

Butlletí arqueològic

Butlletí de la Societat Catalana d’Estudis Històrics

Butlletí interior Societat d’Onomàstica

Cercles. Revista d’història cultural

Compactus. Revista d’arxius i biblioteques

Cota zero

Cypsela

Documents d’arqueologia clàssica

Dovella

Ebre

Empúries

Eridu

Estudis del Baix Empordà

Hmic. Història Moderna i Contemporània

Iber

Source: < http://sumaris.cbuc.es/>

Índice histórico español

Laietania

Lligall. Revista catalana d’arxivística

Miscel·lània Cerverina

Miscel·lània d’estudis santjustencs

Monte catano. Rev. del museu mun. “Les maleses”

Notes

Papers del Montgrí

Pedralbes. Revista d’història moderna

Quaderns de la Selva

Quaderns de Vilaniu

Recerca

Recerques. Història, economia, cultura

Resclosa, La

Revista d’arqueologia de ponent

Revista d’arxius

Revista de Catalunya

Revista de dret històric català

Revista de Girona

Revista de la Societat Catalana d’Amics del Pròxim Orient Antic

Rubricatum. Revista del museu de Gavà

Tamid

Treballs d’arqueologia

Tribuna d’arqueologia

Urgellia

Urtx. Revista cultural de l’Urgell

Vitrina


On the other hand, the majority of these publications

are published in Catalan. In those university

publications aspiring to achieve international

recognition and approval, an increase in the

presence of articles written in Spanish has been

detected. These are written by Catalan speaking

authors who have both studied history and

habitually write in Catalan. The perception is that

research will be viewed more positively if presented

in Spanish, bearing in mind that the tribunals and

commissions reviewing their work in the future will

not themselves be made up by Catalan speakers.

In the academic journals of the university world,

there exists an added, environmental pressure.

This is due to the unwritten rule that an author

must submit himself for assessment by Professors

and Associate Professors from around Spain

whose task it is to approve or reject stages of

research. These Professors will be dealing with

people who have taken their degrees in Catalonia

and who have published articles exclusively in

Catalan! This phenomenon, which occurs with

several academic journals, and the misgivings of

researchers, leads to an undermining of the

presence of Catalan in favour of Spanish. 13

As far as the assessment of articles is concerned,

the Catalan University Quality Assurance Agency

(AQU) makes its accreditations policy towards

applicants clear by alluding to the research and

teaching capacity demonstrated in accordance with

article 46 of the law 1/2003 of 19 February on the

Universities of Catalonia. In the document Criteris en

l’emissió de les acreditacions de recerca, displayed

on the AQU’s web page, it states: 14

45

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

“In journals:

Transference of research results and publication in

journals will be assessed jointly and assigned equal

value. As far as articles are concerned, only

publication in indexed periodicals will be

appraised; in other words, after having been

submitted to peer review and appearing in the ISI,

or similar, data base.* To duly assess the full

repercussions of an applicant’s research, the

publication’s impact category will be taken into

account whenever possible, as well as the number

of citations received by each article. The degree of

creativity, thematic diversity and innovation found

in the research shall also be considered.

In the academic journals of the university

world, there is an added, environmental

pressure to publish research in Spanish.

The system of assessment establishes the

following three categories of journals (A, B and C).

a) Internationally recognised journals, displaying

the highest level of quality within specific fields

and situated in the upper echelons of

international indices and enjoying the highest

impact coefficients.

b) Internationally recognised journals, with a lower

impact coefficient in international indices than

those of group A, as well as non-indexed journals

of a proven high level in specific areas, an

13 At present, the preponderance of texts in Catalan existing in university journals during the 1980s has decreased substantially. If we take the case of the

well-known journal Anàlisi, the trend has been reversed, the reason being that assessment obliges authors to write their texts in the language deemed

most useful and beneficial to their interests. This is a widespread tendency.

14 Source:< http://www.aqucatalunya.org/uploads/pagines/arxiu%20pdf/CriterisAR_cat.pdf >.


CONEIXEMENT I SOCIETAT 13 ARTICLES

international readership, a rigorous assessment

system and an international scientific committee.

c) Good quality journals in specific fields,

employing a rigorous assessment system.

Applicants must publish a minimum of ten articles

in all three categories. At least four of them must be

in categories A or B.” **

* The DIUE’s CARHUS system is not currently compatible, because it is

still under review.

** This is not a case of an absolute minimum requirement, but a general

yardstick within the field of Social Sciences. Each case must be

compared with the general level of quality shown in other publications, as

well as average productivity in the corresponding area.

It is surprising that criteria established by a

private company are more easily accepted

than those which might be expected from a

European assessment policy that, at present,

refuses to value its own objectively highquality

journals, but accepts, without

criticism, North American ones.

The AQU’s denial of research accreditations to

applicants who have published, for example, twenty

research articles in university journals, whilst only ten

are required within categories A and B, has led to a

reverse in trends in historiographical research. Many

researchers are now opting to publish in quality

journals in languages other than Catalan.

In 2003, the year in which the new regulations

began to be rigorously applied, there were 183

15 GIMÉNEZ TOLEDO, (2006).

46

journals on the ISI list. Not one of them came from

the realm of Catalan culture, whereas there were

two from the Spanish area, the same as from

Mexico. The wide variety of publications displayed

on this list embraces the entire world, from

Australia to Europe up to, and including, the

Balkans. There is, however, a massive

predominance of titles from the English-speaking

world, even including, if one looks carefully

enough, titles which are no longer even published.

By examining the area of pure History, without

paying attention to specialist publications, we find

only one journal published in Barcelona: Studia

monastica, whilst the quality scientific journals of

the IEC or the universities are conspicuous by their

absence. Journals covering far-away territories or

cities in the United States that pay due attention to

their own history are to be found –the New York

history journal, for example. The surprising fact

emerges that there are almost as many journals

covering the history and culture of Spain published

in the United States as there are in Spain itself.

At the end of the day, it is surprising that criteria

established by a private company are more easily

accepted than those which might be expected

from a European assessment policy that, at

present, refuses to value its own objectively highquality

journals, but accepts, without criticism,

North American ones. In the same way, the AQU’s

restrictive interpretation of criteria is not shared by

the Spanish accreditation agency, ANECA, which

does bestow research qualifications for merit on

the very people whom the AQU has rejected.

In other areas, Spanish academics are equally

negative in their opinion of the criteria. In the field of

journalism, for example, we find that: 15


“One of the unlooked-for consequences of the

criteria set by the various assessment agencies

is that titles featuring in the Web of Knowledge or

the Journal Citation Reports are inundated by a

sea of manuscripts and have had to increase

their rejection rates, while other journals, both

national and international are finding it hard to get

enough interesting material to fill up each and

every edition. For the year 2005, there are 35

Media Science-related journals included in the

JCR lists. The fact the journals listed in the ISI

database are all of high quality does not mean

that there are no quality journals among those

Table 12

List of History-related journals taken from the Journal Citation Reports.

(Included in the section: Arts & Humanities. Index citation: History)

Acadiensis

Acta poloniae historica

African economic history

Agricultural history

Agricultural history review

Al-qantara

American heritage

American historical review

American history

American indian culture and research journal

American jewish history

Americas

Annales de Bretagne et des pays de l’ouest

Annales historiques de la revolution francaise

Appalachian journal

Architectural history

Archiv fur reformationsgeschichte-archive for reformation history

Archiv fur sozialgeschichte

Archivio storico italiano

Arkansas historical quarterly

Australian historical studies

Australian journal of politics and history

Beitrage zur geschichte der arbeiterbewegung

Bibliotheque de l’ecole des chartes

Bulgarian historical review-Revue bulgare d’ histoire

Bulletin of the institute of history and philology academia sinica

Cahiers du monde russe

47

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

not listed. In other words, all those present are

good titles, but not all the good titles are present.

A mere glance at the origin of Media Science

Journals on the JCR list is enough to reveal the

bias existing as regards linguistic and

geographical representation. Out of these 35

titles, 21 are published in the United states, 12 in

the United Kingdom, 1 in Slovenia and another in

the Netherlands.”

The History-related journals are found in Table 12.

The same bias existing in Media Science can be

detected in this field.

California history

Canadian historical review

Caravelle - Cahiers du monde hispanique et luso-bresilien

Catholic historical review

Central european history

Chinese studies in history

Church history

Civil war history

Colonial latin american historical review

Comparative studies in society and history

Diplomatic history

Dix-septieme siecle

Economic history review

England life and letters

English historical review

Environmental history

Estudos ibero-americanos

Ethnohistory

European history quarterly

French historical studies

Geschichte und gesellschaft

Guerres mondiales et conflits contemporains

Hahr-hispanic american historical review

Harvard journal of asiatic studies

Hispania-revista española de historia

Histoire sociale-social history

Historia


CONEIXEMENT I SOCIETAT 13 ARTICLES

Historia mexicana

Historian

Historia-zeitschrift fur alte geschichte

Historica

Historical journal

Historical methods

Historical reflections-reflexions historiques

Historical research

Historicky Jasopis

Historische zeitschrift

Historisches jahrbuch

Historisk tidsskrift

History

History and theory

History of political thought

History of religions

History workshop journal

Holocaust and genocide studies

Indian economic and social history review

International history review

International journal of african historical studies

International labor and working-class history

International review of social history

Irish historical studies

Jahrbucher fur geschichte osteuropas

Journal of african history

Journal of american ethnic history

Journal of american history

Journal of asian history

Journal of british studies

Journal of contemporary history

Journal of early christian studies

Journal of ecclesiastical history

Journal of economic history

Journal of imperial and commonwealth history

Journal of interdisciplinary history

Journal of mediterranean studies

Journal of military history

Journal of modern history

Journal of modern italian studies

Journal of pacific history

Journal of religious history

Journal of social history

Journal of southern history

Journal of the early republic

Journal of the history of sexuality

48

Journal of the society of archivists

Journal of the southwest

Journal of the west

Journal of urban history

Journal of womens history

Journal of world history

Kritika-explorations in russian and eurasian history

Labor history

Labour-le travail

Late imperial china

Literature & history-third series

Mariners mirror

Mexican studies-estudios mexicanos

Michigan historical review

Militargeschichtliche zeitschrift

Montana-the magazine of western history

Mouvement social

New England quarterly-a historical review of new New Mexico historical

review

New York history

New zealand journal of history

Northern history

Numen-international review for the history of religions

Nuova rivista storica

Oregon historical quarterly

Otechestvennaya istoriya

Pacific historical review

Pacific northwest quarterly

Past & present

Patterns of prejudice

Pennsylvania magazine of history and biography

Preservation

Proceedings of the american antiquarian society

Prologue-quarterly of the national archives and records administration

Public historian

Publishing history

Quaderni storici

Radical history review

Rassegna storica del risorgimento

Religion and american culture-a journal of interpretation

Rethinking history

Reviews in american history

Revista de Indias

Revue belge de philologie et d’histoire

Revue d’histoire de l’amerique francaise

Revue d’histoire ecclesiastique


Revue d’histoire moderne et contemporaine

Revue de l’histoire des religions

Revue du nord

Revue historique

Rhetorica-a journal of the history of rhetoric

Risorgimento

Rivista storica italiana

Russian history-histoire russe

Russian review

Saeculum

Scandinavian journal of history

Scottish historical review

Sixteenth century journal

Social history

Social science history

South african historical journal

Southern cultures

Source: .

In response to the public invitation made by the

AQU on its web page relative to scientific journals

and their assessment, the suggestion made here is

that a list of journals should be drawn up according

to more finely tuned criteria, such as the RESH 16

requirements employed by Latindex. This could be

a temporary measure until the EU or UNESCO has

drawn up their own lists along European lines. All

research work published in titles on this list could

indeed be graded under either category A), B) or C)

but it would not be possible to exclude them from

all of these groups, as currently happens to the

core of publications featured in this article. The idea

49

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

Southwestern historical quarterly

Studi romani

Studi storici

Tijdschrift voor geschiedenis

Transactions of the royal historical Society

Urban history review-Revue d histoire urbaine

Vierteljahrshefte fur zeitgeschichte

Voprosy istorii

War in history

Welsh history review

Western historical quarterly

William and mary quarterly

Womens history review

Zeitgeschichte

Zeitschrift fur geschichtswissenschaft

Zeitschrift fur historische forschung

here is to create a local data base which avoids

putting into the same category – category C, for

example – a university journal with a thirty-year

publishing history that satisfies all 33 RESH

requirements alongside an erratic journal of two

year’s standing that satisfies only half of them.

The then Ministry of Universities, Research and

the Information Society (DURSI) respected the

AQU’s autonomy when listing Catalan scientific

history-related journals as high-quality journals

on the DURSI 17 web page. The AQU, however,

refused to consider them as valid. 18

16 RESH is the conjunction of parameters defining editorial quality that all journals included in the Latindex must observe if they wish to be included in the

catalogue of printed journals or the catalogue of digital journals. These parameters are guaranteed by the CINDOC, the CSIC and the Ministry of

Education and Science (MEC). It is a public document and generally very well thought of within the academic community. There are 33 points for printed

scientific journals and 36 points for digital journals. The required data sets very high standards of rigour and quality.

17 Up until 2005, the Directorate General for Research (DGR) offered a list of more than two thousand titles dealing exclusively with History, the

assessment coeffiecients of which are easily accessed, together with a study. Professor Urbano, from the Departament de Biblioteconomia i

Documentació de la Universitat de Barcelona, directed the survey on which this document is based.

18 When the DGR asked for our expert opinión on the list of publications that we considered should be included, we were inclined to include the scientific

journals of Spanish universities, of the IEC and those of important local study centres and institutions accrediting a high level of quality in terms of course

of development, rigour, etc.. The list was ignored, due to the way in which the autonomous AQU tribunes function and the inadequacy of any general

rules. A paradox was arrived at whereby researchers who had published almost half a hundred articles in journals included on this list were not accredited

by the AQU. Fortunately for their academic careers, the ANECA did consider that their published articles were of sufficient scientific merit.


CONEIXEMENT I SOCIETAT 13 ARTICLES

“Information system for identifying and assessing

scientific journals.

This list of journals, which is available for

consultation, is the result of a bibliographic and

bibliometric survey carried out by Dr. Cristóbal

Urbano, of the Departament de Biblioteconomia i

Documentació de la Universitat de Barcelona, at

the behest of the DGR. The survey takes the form

of a database of scientific journals within those

areas of the Humanities and the Social Sciences,

in which a large number of journals are also

present in international databases, thus permitting

the correlation of grades based on teaching

indices. Whenever possible, related university

disciplines have been taken into consideration

within each field. […] The information is arranged

in three types of list:

– In each discipline, the journals are arranged

according to an ICDS (compound secondary

diffusion index) point score, as well as a list of

journals organised alphabetically. Each of the

subject areas (MEC-MCYT) has a list of journals

arranged according to the ICDS points score

and, finally, all of the journals are listed

alphabetically.”

(Available at: )

(Last updated: 22 April 2005)

The DURSI listing thereby follows along the lines of

the Latindex criteria and also permits the

juxtaposition of variable assessments.

Nevertheless it doesn’t solve an old problem: the

zero point score given to many local publications.

These do not count precisely because they are

both local and in Catalan, whilst similar periodicals

in English achieve a higher score.

19 Previously named the DURSI.

50

As we have already seen, non-consideration of our

own Catalan research platforms creates problems

because tribunals may or may not then assess

favourably the research records of those applying

for accreditations. Bearing this in mind, the

negative effects on HC could be summed up as

follows:

The effects of the non-consideration of HCrelated

journals on the accreditation process in

Catalonia.

– The loss of social and scientific prestige

suffered by HC related journals in Catalan.

HC is mainly published in the Catalan language

and in local journals. If HC is not present in the

lists of high-impact journals, the plight of

historians who prefer to work in this field is

worsened. It becomes more difficult for them to

gain accreditation and thereby access to teaching

posts, as is their right under current legislation.

This differs from other disciplines, such as

Medicine or Technology, where the general nature

of the core material makes it easier to publish in

English. The non-consideration of HC related

journals in the basic lists means that there is a

certain process of discrimination occurring.

– The penalising of researchers specialising in

HC, in flagrant contradiction of the Ministry

of Innovation, Universities and Industry’s

avowed aim of promoting research into

Catalan culture. A non-Catalan speaking

researcher publishing in a language other than

Catalan in “high-impact” journals will be

assessed positively, while a Catalan speaker who


publishes in Catalan in journals not featured on

the list of “high-impact” publications, will be

negatively assessed, if guidelines prioritising the

journals within categories A), B) and C) are

followed to the letter.

– Disregard for statutory regulations linking

the Catalan Government with the culture,

language and science of Catalonia, within

the framework of teaching staff assessment.

Catalan culture has a series of publications

considered as “high-impact” by the scientific

community. The Autonomous Government of

Catalonia could grade high-impact journals by

creating its own list, to include publications from

the universities, the IEC, etc. The Statute of

Autonomy for Catalonia is clear on the scientific

use of the Catalan language and cultural

production, and stops short of undervaluing them

in the face of foreign initiatives, however

internationally prestigious the latter might be. The

right to equal treatment is negated when all

cultural platforms and publishers are not

assessed objectively.

– Decrease in research production due to a

lack of stimuli.

This is a merely subjective opinion which would

need to be backed up by full bibliometric studies.

5.2. Criteria for accreditation assessment

The fulfilment of research objectives that are

rewardable both financially and in terms of credits

is controlled by various parameters. One of the

most important is the publication of research in

the so-called “high-impact” journals. In other

words, it is more important to get one article

51

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

published in a journal of these characteristics,

than to publish ten articles of similar contribution,

length and quality in those journals considered to

be “local”. (A Catalan, of course, would consider

them to be “national”.) The main problem resides

in the relative benefits accruing to an author when

publishing on certain History-related subjects.

The same could be said about certain aspects of

Language, Literature, Geography and related

material. The results derived from publishing on

certain subjects are not as favourable as those

gained by publishing in the high-impact journals.

Researchers holding legitimate aspirations about

their academic future are, as a result, relegated to

a subordinate position due to the application of

criteria that might even be described as

“colonialist”. This becomes even clearer when the

AQU does not consider Catalan publications in

accreditation assessment, while Spanish and

international publications are given a higher

valuation.

It is mainly down to the Catalan cultural

platforms to publish history of Catalonia.

This implies that research is gravitating towards

specialised platforms. Here, the chosen language

is important, but so is subject matter and subject

matter is always determined by typology. It is

much easier, for example, for French journals to

publish on aspects of French history rather than

aspects of HC. More importantly, articles on HC

which are not linked to French history will be very

rare indeed. The case is clear: it is down to the

Catalan cultural platforms to publish HC. We

would like to make this very clear, because it is an

important point; if these journals are not


CONEIXEMENT I SOCIETAT 13 ARTICLES

considered, a new generation of historians, with

legitimate aspirations to an academic career, will

be penalised. They will have to undergo a twentyyear

long process of constant assessment,

precisely at an age when they might be expected

to carry out the major part of their lifetime’s

research.

The purpose of accreditations and merit given

by agencies such as AQU and ANECA.

Merit for:

– Other categories, such as associate lecturers

(professors associats)

– Accreditation for assistant lecturers (professors

ajudants)

– Accreditation for lecturers

– Research accreditation for assistant pHD

– Advanced research accreditation for university

professors

– Merit for research work, Catalan categories

– Certification for civil servant lecturers

– Certification for civil servant professors

– Merit for research work, Spanish categories (civil

servants)

The aim, in all of these cases, is to demarcate the

range of research. This may work with Science,

but when applied to History, this approach has

several shortcomings. In the first place, changes

in the university system have already led to a

reduction in doctoral theses. Today, the thesis is

not a prerequisite for obtaining a doctorate. One

completes the necessary doctoral credits and is

52

not obliged to present a thesis as a conclusion.

Secondly, research on history is mainly a solitary

activity. Working parties or research teams are

much more commonly found in technological

fields. The very fact that History research is

solitary demands additional effort from the

researcher, on top of that already required to

achieve the results guaranteeing the fulfilment of

short term objectives, which are taken on during

the normal course of preparation for a stable

teaching position.

Finally, in Catalonia’s case, thematic material is

limited within narrow bands of space and time,

and the fact that it is difficult to publish this

material in “high-impact” journals prevents

research work from being properly carried out

because it does not always result in publications,

despite there being sporadic institutional

assistance. 20

The AQU’s accreditations criteria are generally

similar to those expressed in the policy statement

previously referred to, drawn up by the Research

Accreditation Committee (Social Sciences). The

same criteria apply to Humanities and can be

consulted on their web page, in the section

dealing with criteria for teaching staff. 21

6. Conclusion and final remarks

In the specific case of accreditations, it is obvious

that only by duly accepting local Catalan

peculiarities can accurate decisions about the

relevance of research be arrived at. The setting up

20 We need only list the funding received by certain researchers working on temporary commissions, such as the Comissió Institucional Lluís Companys,

the Centre d’Història Contemporània de Catalunya, the Programa del Memorial Democràtic, etc., and show how many of the projects in receipt of

funding go on to be published, either as articles, books or in other formats.

21 http:.


of a database which includes the presence of

specialist journals within categories A), B) and C),

with criteria based on local knowledge might be,

along with other measures, an important step in

the right direction regarding the cultural projection

of HC. Committees may determine the number of

articles in each category necessary for

accreditation, but in denying the validity of some

platforms, a whole series of local Catalan

publications is relegated to second-class status.

There needs to be reconsideration and a new

approach made towards these journals. If not,

there is the risk of a blow being dealt to the

scientific community and its network of scientific

publications, which could affect the prestige,

volume and standing of the articles they print and,

ultimately, their place in the public imagination of

Catalan culture. Naturally, a specialist or teaching

journal that does not adhere to the Latindex

criteria is not the same as a quality university or

academic publication that applies nearly all of

them. Selection criteria need to be diverse,

according to the public for whom they are

intended – secondary school social studies’

teachers, History students at university,

professional historians, etc, and there need to be

two different categories, but they must be

considered. It reflects very badly on the state of

Catalan culture and science when these two

kinds of journal are not fully appraised. Policies

tending towards the consolidation of research

production in HC need to undergo diverse

modifications. The ideal situation, of course,

would be the establishment of a truly Catalan

higher education system, offering real equality

between differing subjects and disciplines and

making its own decisions regarding dynamic

policies and their application and repercussions.

Until that day, policies could at least be developed

that shoulder the temporary or sporadic role of

promoting HC.

53

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

Policies to consolidate research production

in the history of Catalonia need to undergo

diverse modifications.

Measures aimed at revitalising the social

projection of HC.

– The setting up of a general database of all

Catalan historiographical production, including

both foreign and homespun production, which

could be made freely available on the Internet. It

should take into account all bibliographical

production related to Catalan historiography.

(methodology, auxiliary sciences, etc.)

– Coordination of criteria for technical support

given to scientific journals of a local, private or

academic nature. This should enable them to

raise standards, allowing for improvement and

thereby inclusion in one of the quality categories.

This would in turn grant researchers and

students publishing therein due recognition for

assessment purposes.

– The launch of new initiatives to internationally

promote Catalan historiography, such as the

creation of a journal in English.

– A yearbook or bulletin, in a traditional and/or

digital format. This should include all the latest

bibliographical developments and especially the

latest writing on History from around the Catalan

speaking world, along the lines of the

Bibliographie Annuelle de l’Historie de France

which has been published yearly by the Centre

National de la Recherche Scientifique at the

Institut d’Histoire Moderne et Contemporaine, in

Paris, since 1954.


CONEIXEMENT I SOCIETAT 13 ARTICLES

Other innovations still await implementation,

despite the fact that they were proposed by

Catalonia’s foremost academic institution, the

IEC, in a report published ten years ago. There

have been some advances, with the appearance

of powerful new instruments such as Dialnet, 22

which offers more than four thousand journals, or

the aforementioned RACO, a fine service that is

constantly expanding. Both portals are becoming

ever more useful due to the sheer volume of

information they have stored.

The IEC’s observations on the situation of HC

– “A database containing all the research

publications made by university teaching staff is

required. It must be accessible, standardised and

well organised, in order to facilitate future reports

on research. The work of research students

should also be included.

– A journal – or an accessible database – dealing

with the bibliography of Catalan history is also

needed. This should contain exhaustive

information on books and articles, clearly

differentiating between research and teaching.

An agreed index of research journals should be

drawn up, to facilitate assessment of individual

and collective research efforts.

– In order to counter current trends, the

geographical scope of these activities must be

extended, if possible, throughout all Catalonia

and other Catalan speaking regions.

– The future of the index of Social Sciences theses

presented at the universities of Catalonia,

22 .

23 IEC Report , Barcelona, 1998, p. 36.

54

Valencia and the Balearic Islands must be

assured and its dissemination promoted. This

model instrument, which was initially sponsored

by the Fundació Jaume Bofill, now comes under

the auspices of the Universitat de Barcelona.

– The use of Catalan as a historiographical

language in Catalonia must not be renounced,

despite its status as a minority language and the

subsequent questions surrounding its

dissemination abroad. This is a matter of vital

importance in the process of Catalan enhancing

its status as an official language, even though it

might cause commercial problems in the

marketplace. There should be more HC

published in journals from other countries and

other languages, and this important point should

not be overlooked.”

Source: IEC Report, 23

It is fair to say that some of these initiatives have

already been put into action. Recent high quality

innovations, such as the aforementioned RACO,

have already begun to alleviate the existing

paucity of information. The Catalan University

libraries’ catalogue offers an expanding digital

database where abridgements of publications of

all kinds are to be found. The full copies can be

supplied by libraries to teaching staff, as an aid to

continuous education. Another useful measure is

the CCUC, containing internal references like the

TRACES literature database, with many history

related entries, or the aforementioned local

History database coordinated by Professor Borja


de Riquer, which is an important methodological

aid due to the comprehensive bibliography that it

offers. A debate should be held, however, on a

whole series of recommendations aimed at

situating HC within its corresponding context of

the wide range of both public and private

institutions involved with it, such as archives,

museums, cultural organisations and the like.

This would facilitate the instigation of a generic

campaign to plan and implement the publication

of a Catalan history journal in English; to allow

access to primary research or, at least, the

dissemination of Catalan historiographical

bibliography in the “high-impact” quality journals;

the assumption by UNESCO of the responsibility

for gathering together publications from a

European perspective and above all, more open

towards the non-English speaking world; the

inauguration of a common database containing

the historiographical bibliography of all the lands

historically linked to the Catalan language and

culture – the Principality of Catalonia itself, North

Catalonia (in France), Andorra, the Autonomous

Community of Valencia, the Balearic Islands etc.

and, finally, a collection of contributions made

towards HC in other languages and ambits.

At present, the lack of a European reaction

reaffirms the existing assessment system, thus

maintaining the European scientific quality

journals in a position of subsidiarity. The

consolidation of the assessment system, with

scant consideration for Catalan journals shown

by assessment authorities, coupled with the

personal attitude of certain reviewers,

strengthens the case for an ad hoc prioritisation

along linguistic or thematic lines, without taking

into consideration the difficult situation currently

faced by Catalan scientific journals, at a time

when English is the most dominant scientific

55

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

language. Another noxious effect is the relegation

of Catalan scientific journals, of both local and

national coverage, to a subsidiary and outmoded

position, given that they are not receiving highquality

contributions from the universities.

Only an efficient independent higher

education system, able to make the final

decision about placements, posts and

research objectives, can achieve results

exercising a positive effect on the state of

Catalan historiographical research.

At the end of the day, it is clear that only an

efficient independent higher education system,

able to make the final decision about placements,

posts, research objectives etc, can achieve

results exercising a positive effect on the state of

Catalan historiographical research. This will need

to be accompanied by all Catalan agencies

applying criteria that are in touch with reality.

Encouragement is needed for the setting of

European quality standards, improvements made

to cultural platforms wherever possible and the

highest levels of creativity called for in research, at

the same time that research conditions are

positively assessed in order for the results to be

socially and intellectually useful to society. This is,

after all, the motive force behind the pursuit of

knowledge. Catalan universities must face up to

their responsibilities. The UNAM, with its powerful

Latindex has become a fundamental point of

reference, together with the Universidad de

Granada group’s “Assessment of science and


CONEIXEMENT I SOCIETAT 13 ARTICLES

scientific communication”. 24 At this point in time,

they are essential components of a new

assessment framework that is looking to provide

an alternative European-Latin American

perspective to the North American model.

24 .

56

In the case of Catalonia, it is not just a question of

corporate interests or teaching staff accreditations,

but rather of general social ambition. After all,

where will HC be researched and published, if not

in Catalonia?


References

57

ASSESSING ACADEMIC PRODUCTION ON THE HISTORY OF CATALONIA

BALCELLS, Albert. (In collaboration with Jordi Casassas i Ymbert; Antoni Riera i Melis; Isabel Roda de Llanza and Antoni Simon i Tarrés). Reports

de la Recerca a Catalunya. Història. Barcelona: Institut d’Estudis Catalans, 1998.

BALCELLS , Albert. (In collaboration with Josep M. Fullola; Albert Ghanime; Antoni Riera and Antoni Simon). Reports de la Recerca a Catalunya,

2

1996-2002. Història. Barcelona: Institut d’Estudis Catalans. Available at: http: www.iec.es/recerca/reports/pdf2/historia9602.pdf

[Consulted on 18/9/07].

GIMENEZ TOLEDO, Elea: «Estudio de las revistas españolas de periodismo». Comunicación y sociedad, vol. XIX n. 2, (2006), p. 107-131.

GINEBRA i MOLINS, Rafel. «Cinquanta anys de cultura i ciència des d’una perspectiva bibliomètrica. Anàlisi estadística de la revista Ausa (1952-

2001)». Ausa XX 150 (2002) p. 535-579. Vic: Patronat d’Estudis Osonencs, 2002.

OLIVER i PUIGDOMENECH, Joan. Índex d’Estudis Socials (Catalunya, Les Illes, País Valencià). Barcelona: Publicacions de la Fundació Jaume

Bofill. Corresponding to the years 1980, 1981, 1982, 1983 and 1985. Each published in the year following the one cited.

RUIZ-PEREZ, Rafael; DELGADO LOPEZ-COZAR, Emilio; JIMÉNEZ-CONTRERAS, Evaristo. «Criterios del Institute for Scientific Information para la

selección de revistas científicas. Su aplicación a las revistas españolas. Metodología e indicadores». International Journal of Clinical and

Health Psychology, volume 5, n. 2, (2006), p. 401-424.


CONEIXEMENT I SOCIETAT 13 ARTICLES

THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED

TEACHING AND RESEARCH STAFF, AS REGULATED BY

LAW 1/2003 ON UNIVERSITIES IN CATALONIA, IN THE

CONTEXT OF THE NEW STATUTE OF AUTONOMY OF

CATALONIA AND THE MODIFICATION OF THE SPANISH

ORGANIC LAW ON UNIVERSITIES.

Roser Martí i Torres* and Encarnació Grau i Corominas**

Catalonia has its own university legislation—Law 1/2003, of 19 February, governing universities in Catalonia ( in

Catalan, Llei d’Universitats de Catalunya, the LUC)— which establishes the legal context for the universities that

are the responsibility of the Generalitat de Catalunya (Government of Catalonia). The LUC places special

emphasis on regulating the employment of contracted teaching and research staff. Recent changes in the legal

scenario, however, require the system governing teaching and research staff to be assessed in order to identify

the areas in which– as a consequence of the approval of the Statute of Autonomy of Catalonia in 2006 –the

powers of the Generalitat have been recognised or reinforced and the areas which will need to be adapted to

reforms in the Spanish Organic Law on Universities (in Spanish, Ley Orgánica de Universidades, the LOU). In this

article we review the legal system governing contracted teaching and research staff employed by Catalan public

universities, as regulated by the LUC, the LOU and the Statute of Autonomy of Catalonia. We also analyse the

specific impact of reforms in the LOU on the contractual categories established by the LUC. We also review the legal

system governing staff who provide research services to universities and the different kinds of researcher

contracts currently in use. Finally, we briefly analyse the new legal system applicable to civil servants in university

teaching bodies. We conclude that the new legislative context applicable to contracted teaching and research

staff permits the model of contracted academics –as described in the LUC– to be maintained and developed.

KEY WORDS: Catalan university system, civil service teaching and research staff, EAC, LOMLOU, LOU, LUC, non-civil

service teaching and research staff.

* Roser Martí, a lawyer with the Generalitat de Catalunya (Government of Catalonia), is its legal consultant on university and research matters.

** Encarnació Grau, a lawyer with the Generalitat de Catalunya (Government of Catalonia), is attached to the Universities and Research Commission.

58


Contents

THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

1. Introduction

2. The legal regime governing non-civil service teaching and research staff in Catalan public universities

3. Analysis of the impact of the modified LOU on non-civil service teaching and research staff described in the LUC

3.1. General provisions

3.2. The regulation of specific contractual categories

3.2.1. Profesor contratado doctor (non-civil service professor or lecturer): Catedràtic (professor) and Professor

agregat (associate professor).

3.2.2. Profesor ayudante doctor (lecturer): Professor lector (lecturer).

3.2.3. Professor col·laborador (collaborating lecturer)

3.2.4. Professor associat (adjunct lecturer)

3.2.5. Professor visitant (visiting lecturer)

3.2.6. Professor emèrit (emeritus lecturer)

3.2.7. Ajudant (teaching assistant)

3.3. Leaves of absence

3.4. Non-civil service teaching and research staff remuneration

3.5. Academic research staff

3.6. The legal regime governing civil service teaching and research staff

4. Conclusions

1. Introduction

The approval of the Statute of Autonomy of

Catalonia (henceforth, the EAC) in 2006 represented

an important advance in terms of recognition

–without prejudice to university autonomy– of the

powers of the Generalitat de Catalunya

(Government of Catalonia) in the area of university

education. Section 1 and Section 2 of Article 172 of

the EAC describe, respectively, the areas where

the Generalitat has exclusive powers and the

59

areas where the Generalitat shares powers with

the Spanish State. The approach to drawing up

the EAC has been to take account of issues in

regard to which Constitutional Court doctrine over

time has recognised some degree of Generalitat

authority, and to describe other areas in regard to

which the Generalitat previously had no powers or

had assumed very limited powers.

The new EAC has awarded the Generalitat powers

shared authority in regard to regulating contracted


CONEIXEMENT I SOCIETAT 13 ARTICLES

(that is, non-civil service) teaching and research

staff and in regard to evaluating and ensuring the

quality and excellence of teaching and research

staff (Sections 2e) and 2f) of Article 172); likewise,

the new EAC has granted the Generalitat

exclusive authority over the remuneration regime

for non-civil service teaching and research staff

(Section 1h) of Article 172). These powers must be

exercised in a way that does not prejudice

university autonomy, and so the three-way

allocation of powers between the Spanish State,

the Generalitat, and the universities requires the

area corresponding to each to be clearly

delimited. It is for this reason that it is necessary to

analyse and map out the scope of the new

statutory legislation on universities in terms of

relevant legislative, regulatory, financing,

coordination and performance instruments, which

are precisely the instruments that will enable the

Generalitat to develop its own public policies on

university education with the functional intensity

that corresponds to each area and in accordance

with the principle of university autonomy.

Catalonia has its own university legislation –Law

1/2003, of 19 February, governing universities in

Catalonia (the LUC) 1 – by means of which the

Catalan Parliament has established a legal

framework for the universities that are under the

control of the Generalitat. The LUC places

particular emphasis on non-civil service teaching

and research staff.

The legal regime that has to date governed

universities, regulated by means of the Spanish

Organic Law 6/2001, of 21 December, on

60

universities (the LOU) is grounded in a division of

authority between basic legislation (primary

legislation) and implementation regulations

(secondary legislation). Recently published was

Organic Law 4/2007, of 12 April, modifying the

LOU (hereinafter, the LOMLOU). 2 This modification

to the LOU, even though not very extensive, affects

certain important aspects of the basic regime

applicable to non-civil service teaching and

research staff.

These recent legislative changes make it

necessary to review the current legal system

applicable to non-civil service teaching and

research staff in the public universities under the

authority of the Generalitat, so as to analyse, firstly,

areas where the Generalitat’s authority has been

recognised or reinforced as a result of the EAC,

and secondly, areas that will need to be interpreted

or possibly adapted in the light of the LOMLOU.

2. The legal regime governing noncivil

service teaching and research

staff in Catalan public universities

Without prejudice to the remaining applicable

legislation in force, the legal system governing noncivil

service teaching and research staff in Catalan

public universities is regulated by the EAC, the

LOU, and especially by the LUC, which refers to

particular features of the Catalan public

universities. 3

Before progressing further, we should first refer to

Section 2e) of Article 172 of the EAC, which

1 Catalan Official Journal, DOGC (20 February 2003) No. 3826, in Catalan. Diari Oficial de la Generalitat de Catalunya.

2 Spanish Official Bulletin, BOE (13 April 2007) No. 89, in Spanish. Boletín Oficial del Estado.

3 Mentioned particularly in Article 102 of the LUC and Article 48 of the LOU, and now also in “Law 7/2007, of 12 April, governing the Basic Public

Employee Statute” (BOE No. 89, 13 April 2007), whose Article 2 includes public universities within its scope of application.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

establishes that in university education matters,

and without prejudice to university autonomy, the

Generalitat shares authority with the State in regard

to the system governing civil service and non-civil

service teaching and research staff. This article

raises two important issues: first of all, it raises a

specific attribution of powers to the statutory level, 4

and secondly, it recognises the Generalitat’s

capacity to legislate with regard to civil service

academics –formerly the exclusive preserve of

the State according to the doctrine of the

Constitutional Court. 5

This new statutory authority that has been defined

as shared, thus, will be implemented and executed

in accordance with the provisions of the EAC,

whose Article 111 refers to shared authority as

follows:

“In matters in which the Statute attributes powers

to the Generalitat which are shared with the State,

the Generalitat shall be responsible for legislative

power, regulatory power and the executive

function within the framework of the bases

established by the State as principles or lowest

61

common legislative denominators in regulations

having the status of legislation, with the exception

of circumstances as determined by the

Constitution and by this Statute.” 6

The Statute of Autonomy of Catalonia

establishes that –without prejudice to

university autonomy– authority over civil

and non-civil service teaching and research

staff shall be shared between the Generalitat

and the State.

It should be recalled, however, that in accordance

with oft reiterated constitutional doctrine, the

scope of State basic legislation must be restricted

to establishing lowest common legislative

denominators that are sufficiently broad and

flexible to permit Autonomous Communities with

authority in the corresponding area to adopt their

4 To date, the attribution to the Autonomous Communities of the power to regulate the legal regime governing non-civil service teaching and research staff

had only been expressly recognised in these specific terms in Article 48 of the LOU. This power has been the subject of controversy when exercised by

Autonomous Community legislators. The Spanish government made an unconstitutionality appeal (3280/2003) against specific precepts of the LUC, in

which some of the challenged articles referred to non-civil service teaching staff. This is the case of the following articles: Article 29.3, which states that for

the purposes established in Article 48 of Spanish Organic Law 6/2001, of 21 December, on universities, the calculation of teaching and research staff is

to be based on full-time equivalent units; Article 46 a), which refers to the catedràtic (professor) within the contractual category of profesor contratado

doctor (non-civil service professor or lecturer), who must have a consolidated teaching and research career; Article 47.1 d), which establishes the

standard research accreditation of the Catalan University System Quality Agency (AQU Catalunya) as a requirement in order to be eligible for the grade of

professor agregat (associate professor), and the advanced research accreditation of the same agency as a requirement in order to be eligible for the

grade of catedràtic (BOE No. 142, 14 June 2003). The unconstitutionality appeal was admitted (BOE No. 276, 18 November 2003), and Section a) of

Article 46 and Section 1d) of Article 47 were both suspended, although this suspension was subsequently lifted by the Constitutional Court in

interlocutory proceedings on 29 October 2003. Finally, the Constitutional Court, in an interlocutory decision dated 13 February 2007, rejected the

unconstitutionality plea brought against the LUC precepts referred to above (DOGC No. 8848/2007), in the course of negotiations in relation to the

LOMLOU. This rejection clearly reinforces the LUC, as it appears that there is no constitutional interest in pursuing the appeal to its logical end, as pointed

out in the legal grounds of the interlocutory of the rejection.

5 Other articles in the EAC reinforce the regulatory powers of the Generalitat with regard to civil service academics, specifically Sections 1 h) and 2 f) of

Article 172, both of which recognise the authority of the Generalitat in this area. See STC (Constitutional Court Sentence) No. 26/1987, of 27 February,

issued in response to an unconstitutionality plea against the Organic Law on University Reform (LORU), which attributed all regulatory powers to the

State.

6 The requirement for formal status as legislation is also a general rule repeatedly established in Constitutional Court doctrine. More recent Constitutional

Court sentences include the following (FJ refers to the legal basis for the decision): STC 109/2003, of 5 June (FJ4); STC 14/2004, of 12 February (FJ10);

STC 194/2004, of 2 November (FJ7); STC 33/2005, of 17 February (FJ6), and STC 101/2005, of 20 April (FJ5).


CONEIXEMENT I SOCIETAT 13 ARTICLES

own policy alternatives and thereby preserve their

decision-making autonomy. 7

Read together, Articles 111 (referring to shared

powers) and Section 2e) of Article 172 (referring to

universities) of the EAC indicate that the legal

regime governing non-civil service teaching and

research staff in public universities under the

In accordance with of reiterated

constitutional doctrine, the scope of State

basic legislation must be restricted to

establishing lowest common legislative

denominators that are sufficiently broad and

flexible to permit Autonomous Communities

with authority in the corresponding area to

adopt their own policy alternatives.

62

authority of the Generalitat must be regulated by

means of Autonomous Community legislation—a

statutory mandate which reinforces the legislative

activity of the Parliament of Catalonia. In this area

the legislative activity of the Parliament of Catalonia

has been largely implemented by means of the

LUC. Chapter 3 of the LUC, referring to academic

staff, provides for a specific legal regime within the

framework of Article 48 of the LOU, which in its

previous wording stated as follows:

“In accordance with this law and within the scope

of their powers, the Autonomous Communities

shall establish a non-civil service teaching and

research staff regime for universities.”

Article 48 of the LOU, which was modified by the

LOMLOU, does not change this attribution of

powers to the Autonomous Communities, with the

new wording maintained in the same terms in

Section 6. In their legislation, the Autonomous

Communities must, of necessity, respect the bases

described in the LOU, as modified by the LOMLOU.

7 In defining shared authority, the EAC reference to the State bases as principles or lowest common legislative denominators responds to the material

concept of “bases”, “basic regulations” and “basic legislation” referred to in reiterated decisions of the Constitutional Court. For example: STC 1/1982, of

28 January (FJ1), referred to a “common minimum legislative base”; STC 32/1983, of 28 April (FJ3), referred to “common denominators”; STC 48/1988, of

22 March (FJ14), referred to “minimum common legislative denominators”; and STC 220/1992, of 11 December (FJ7), STC 133/1997, of 16 July (FJ6), and

STC 212/2005, of 21 July (FJ6), all referred to “lowest common legislative denominators”. This last was the term finally adopted by the EAC legislator. Also

worthy of mention is STC 131/1996 (FJ3), which—in interpreting the provisions of Article 149.1.30 of the Spanish Constitution—stated as follows: “On the

basis of these legislative provisions, the State may, by means of the authority granted it by Article 149.1.30 of the Spanish Constitution, establish the basic

conditions in relation to teaching staff, financial and economic feasibility, and the quality of university premises and equipment, given that, as has been

reiterated in previous sentences, the State may regulate, insofar as is of relevance here, the bases that guarantee the right to education by means of general

educational programming (Article 27.5), the freedom to establish educational centres with due respect for constitutional principles (Article 27.6), and the

homologation of the educational system so as to ensure compliance with the legislation (Article 27.8) (for all: STC 26/1987). It must, however, establish

these bases in a manner that is sufficiently broad and flexible to permit the Autonomous Communities with regulatory powers in the corresponding area to

be able to adopt their own policy alternatives in accordance with their specific circumstances, bearing in mind moreover, that the university autonomy

recognised in the Spanish Constitution in Article 27.10 must be respected.” This was expressly stated in the defending arguments of the Parliament of

Catalonia in response to the unconstitutionality appeal against Section 3 of Article 29, Article 46a), Section 1d) of 47, Section 2 of Article 86 and Section 2

of Article 148 of the LUC by the President of the State, who argued: “It needs to be made clear (...) that in the basic legislation-implementation regulation

schema, the Autonomous Community implementing legislation does not of necessity have to restrict itself to the policy option expressed by the State

legislator, but may develop a policy option of its own, provided that this option can be included within the general policies established by the State bases.

Not transferable to this circumstance, thus, is the concept of “implementation” that governs the legislation-regulation relationship, which assumes that the

regulation, as the subordinate and lower-level rule, is limited to merely complementing, implementing, or—expressed another way—executing the material

regulations contained in the legislation, thereby guaranteeing legislative uniformity in regard to the matter (...). The implementing legislation enacted by the

Autonomous Community in the exercise of the authority granted it by Article 15 of the EAC does not merely execute the basic State legislation, nor is it

limited to exercising or implementing the powers expressly recognised therein, given that—as previously indicated—this legislation is not basic State

legislation attributing powers; rather, it merely delimits the powers already assigned by the Constitution and the Statutes of Autonomy.” Official Bulletin of

the Parliament of Catalonia (BOPC) No. 447, 21 July 2003. Butlletí Oficial del Parlament de Catalunya.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

The constitutional framework applicable to this area

is provided by the EAC, particularly Section 2e) of

Article 172, 8 and by the Spanish Constitution, and,

furthermore, finds its necessary complement in

other sections of the same Article 172, 9 especially

Sections 2f) and 1h). Finally, we can point to other

areas of authority in regard to the legal regime

governing non-civil service teaching and research

staff, such as State authority in employment

matters, which is recognised in Article 149.1.7 of

the Constitution. This authority refers to the

essential nature of the contractual relationship

between an employee and a university, represented

by means of a contract that defines and

underwrites the relationship between the parties. A

research teacher’s relationship with a university

derives from an employment contract, without

prejudice to the fact that such contracts have to be

formulated in accordance with the legal context

provided by the LOU and the LUC, not to mention

the complementary application of the Workers’

Statute. 10 For this reason, in the event of a

convergence of different authorities, it would be

necessary to make an interpretation in regard to the

scope of rights that converge or overlap. Since it is

63

the universities that formalise employment

contracts with teaching and research staff, they

consequently have the power to execute contracts,

which are a source of rights and obligations in all

matters affecting the legal relationship between an

employee and a public body acting as an employer.

Having briefly described the different areas of

authority and the concept of State bases (basic

legislation), it is now necessary to clarify how this

basic legislation affects the legal regime governing

non-civil service teaching and research staff in

universities, bearing in mind that this area has been

defined as an authority shared by the State and the

Generalitat.

Above we documented, in the form of several

footnotes, how constitutional jurisprudence, in

referring to the material notion of bases, and in the

way it establishes how powers are to be shared out

between the State and the Autonomous

Communities, 11 considers the bases to be the

lowest common legislative denominators that

ensure the fundamental unity provided for by the

constitutional framework –creating as they do, a

8 Authority in university education matters was recognised in the previous EAC of 1979, in Article 15, which—although recognising the full authority of the

Generalitat in matters of education, bearing in mind the configuration and real functional scope accorded to this article by constitutional doctrine—

referred to the application of the basic legislation-implementation regulation schema to an area that subsequently fell under the exclusive authority of the

Generalitat. Article 15 stated as follows: “The Generalitat has full authority in terms of the regulation and administration of education in its totality, in all its

modalities and specialisms, within the scope of its powers and without prejudice to the provisions of Article 27 of the Spanish Constitution and organic

laws that develop said article in accordance with Section 1 of Article 81 of the Constitution; to the powers attributed to the State by Subsection 30 of

Section 1 of Article 149 of the Constitution; and to any inspections necessary to ensure compliance and provide guarantees.”

9 Article 172 of the EAC was challenged in the Constitutional Court. An unconstitutionality appeal (8675/2006) was brought by the Ombudsperson who

challenged its Section 2, specifically the clause “and including, at least” and the ensuing sub-sections. Another appeal (8045/2006) was brought with

regard to several precepts of Organic Law 6/2006, of 19 July, on reform of the EAC, by the Popular Party Group in the Congress of Deputies, also

challenging Section 2 of Article 172. For this reason, the acknowledged authority of the Generalitat in matters of university education may possibly be

affected in sentences handed down in regard to the EAC. The Parliament of Catalonia, on defending the EAC before the Constitutional Court, stated that

the EAC is a special state law that complied with the will of the Autonomous Community legislator but also with that of the State legislator. The decision

of the State legislator takes account of the statutory rule, given that it has been incorporated in the EAC itself. Section 2 of Article 172 is the article that

describes the core authority of the Generalitat in university education matters and, consequently, the attribution of these powers as shared powers fits

perfectly with the reservation of powers to the State in Article 149.1.30 of the Constitution. Thus, legislative or regulatory activity, which finds its

constitutional limits in Article 149.1.30 of the Constitution and to which only Section 2 refers, is conditioned by the selfsame bases established by the

State as principles or lowest common legislative denominators, in accordance with the nature and scope of the shared powers described in Article 111

of the EAC.

10 And now also that of the Basic Public Employee Statute, regulated by Law 7/2007, of 12 April, and approved very recently.

11 STC 48/1988 (FJ3).


CONEIXEMENT I SOCIETAT 13 ARTICLES

regulatory context aimed at defending the general

interest and guaranteeing general stability. The

bases strictly refer to structural rather than specific

aspects, 12 and each Autonomous Community,

acting in its own interests, may incorporate

particularities that it deems appropriate within the

sphere of authority attributed to it by its Statute of

Autonomy. 13

The impact of the new basic legislation

applicable to non-civil service teaching and

research staff on Catalan university

legislation has to be assessed in the light both

of the new Statute of Autonomy of Catalonia

and of constitutional doctrine.

In general terms, when we refer to principles or

lowest common legislative denominators we refer

to constitutional doctrine in relation to Article 149 of

the Constitution. 14 We also need to bear in mind,

however, that the unifying function referred to in

constitutional jurisprudence in regard to the bases

has also been interpreted –although with many

nuances– in constitutional doctrine itself, which in

64

reiterated sentences has admitted the possibility of

the State approving basic regulations or rules that

are differentiated according to territories and/or

Autonomous Communities. Constitutional doctrine

has also conceded that the bases would not apply

to specific Autonomous Communities or parts of

State territory if the exceptions derived from the

Constitution itself or from a Statute of Autonomy. 15

We have seen how Article 111 of the EAC

reflects, in its definition of bases, both the formal

concept of bases –by calling for a regulation with

the status of legislation for the purpose of

establishing the bases– and the material content

of bases 16 –when it predicates that these bases

must consist of principles or lowest common

legislative denominators on the basis of which the

Autonomous Communities can implement

legislation that establishes their own policies in

the area in question.

In a reading of the LOU in relation to the first issue

–the formal concept of bases– we find some direct

references to the regulations. Of note is Additional

Provision Six of the LOMLOU, which establishes

that the State must approve a University Teacher

and Researcher Statute, by means of royal

decree, within one year of the law entering into

force. 17 Legal dominion is broken in this provision

12 STC 1/1982.

13 STC 197/1996 (FJ5) and STC 197/1996 (FJ6), among others.

14 This doctrine establishes the exclusive authority of the State over the following: regulation of the basic conditions that guarantee the equality of all

Spanish people in exercising their rights and in fulfilling their constitutional obligations (Section 1); the basic legislation for the legal regime governing

public bodies and for the statutory regime governing civil servants (Section 18), which must guarantee equal treatment to all; and the basic legislation for

implementing Article 27 of the Constitution with a view to guaranteeing compliance with the obligations of the public authorities in this area (Section 30).

15 See key sentences such as STC 214/1989 (FJ26), STC 140/1990 (FJ5a), STC 147/1991 (FJ4d), STC 109/1998 (FJ3), STC 30/2000 (FJ9), and STC

222/2006 (FJ3).

16 The Constitutional Court, in its doctrinal interpretation of Article 149.1 of the Constitution, has repeatedly referred to the general rule that legislative

bases must be established by law—although an important exception has been admitted in regard to their determination by regulations, and bases have

also been admitted in acts of an exceptional nature. The EAC of 2006 reflects the essence of this constitutional doctrine by considering the principles or

lowest common legislative denominators that have been established by law to be basic legislation, with the sole exception of particular cases determined

in accordance with the Constitution and with the EAC. The constitutional doctrine proclaimed on the basis of the new EAC will gradually define the

effective scope of the exceptions that have been incorporated in the EAC and how these will affect shared authority in the areas of concern to us here.

17 This statute has to include both the regulation of a civil service career structure based on the acquisition of teaching and research merits and of the

conditions for teacher or researcher participation in the management and use of the results of their research.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

by the explicit referral from the law to a regulation.

Note that Article 111 of the EAC permits the

formal concept of bases to be modified in

exceptional cases and in circumstances

determined in accordance with the Constitution

and the EAC. Such exceptions are supported by

Constitutional Court doctrine, in which we find

sentences that recognise different degrees and

intensities in the bases established by the State,

irrespective of whether they were established by

legislative or executive means. 18

As for the second aspect referred to above

–the material content of the bases– an analysis of

the LOMLOU is necessary in order to assess

whether its precepts can be considered to be

principles or lowest common legislative

denominators in the doctrinal sense described

above, permitting an Autonomous Community, in

virtue of its shared powers with the State, to regulate

policies of its own in relation to non-civil service

teaching and research staff. Such an analysis has to

be implemented precept by precept, bearing in

mind that the LOU has been the object of a number

of unconstitutionality appeals 19 that are still pending

decisions. It is too early, therefore, for us to make

any pronouncement on the challenged precepts

and on recent modifications. It is the function of the

Constitutional Court to assess the appropriateness

of the LOU within the constitutional framework, and

65

we will need to wait for its decision in order to

understand the scope of the bases described in the

LOU and in affected parts of the LOMLOU.

The material content of the bases applicable to

non-civil service teaching and research staff, now

reformed by the LOMLOU, and the impact of the

new bases on the LUC must be analysed in

accordance with constitutional doctrine. 20 In view

of the above, we draw the following conclusions:

1. The LOU and, insofar as it modifies and

completes the LOU, the LOMLOU, are the

specific basic regulations regulating the

principles or lowest common legislative

denominators applicable to the legal regime

governing non-civil service teaching and

research staff and defending the general

interest. Other basic legislation in relation to this

matter which may be approved by the State

must respect the formal concept of the bases

and must be legislated. The EAC does not

anticipate any kind of exception that, without

solid grounds, justifies the issue of State bases

in regard to non-civil service teaching and

research staff. Consequently, State provisions

which adopt the form of regulations,

irrespective of whether there is a specific

referral to the LOU or the LOMLOU, must be

constitutionally assessed in relation to their

18 STC 1/2003, of 16 January (FJ8) and STC 148/2006, of 11 May (FJ9) are the most recent sentences.

19 Unconstitutionality appeal 1671/2002 brought by the President of the Parliament of Andalusia; unconstitutionality appeal 1725/2002 brought by over

50 deputies from the Socialist, United Left Federation and Mixed Parliamentary Groups; unconstitutionality appeal 1735/2002 brought by the Parliament

of Navarre; unconstitutionality appeal 1756/2002 brought by the Aragon Legislature; unconstitutionality appeal 1762-2002 brought by the Governing

Council of the Balearic Islands; unconstitutionality appeal 1777/2002 brought by the Assembly of Extremadura; and unconstitutionality appeal

1788/2002 brought by the Governing Council of Castile-La Mancha (BOE No. 112, 10 May 2002).

20 Of particular relevance is STC 172/1996, of 31 October 1996, which clearly synthesizes the essence of this doctrine, applied in this particular case to

civil servants: “The sense and scope of the bases must be grounded in hermeneutical criteria or techniques that are inherent to juridical logic, bearing in

mind, obviously, both function and purpose and going beyond the literal surface of the text. (...) Implementation implies not just a more detailed

complement of what is given in general terms, but also what is given in specific terms, bearing in mind the peculiarities of each sector or of the

administration.(...) The Autonomous Community legislator, in other words, shall, in these circumstances, scrupulously respect the basic legislation of the

State. That said, this respect does not mean reverence for the literal—meaning that in the case of basic legislation, sense and scope must also be

extracted from the systemic context and purpose. (...) The Autonomous Community may implement the basic legislation on the basis of its own particular

features, including the structure of its own administration and the design of its public function, and also on the basis of the administrative area or sector.”

See STC 102/1995 and STC 48/1988 for more references to the material content of the bases.


CONEIXEMENT I SOCIETAT 13 ARTICLES

consideration or otherwise as basic legislation.

The bases laid down in the LOU and the

LOMLOU must permit Catalonia to develop

public policies in defence of its own interests

within the scope of the authority assigned by the

EAC to the Generalitat de Catalunya

(Government of Catalonia) in this matter.

Currently, public policies in regard to non-civil

service teaching and research staff are regulated

by the LUC and have been implemented, since

2003, by means of regulations, specific

university teacher programmes, and other

developmental activities.

2. The LUC and other Generalitat legislation must

respect the essential content of the State bases

and preserve the guiding principle and spirit of

the basic legislation, which provides a regulatory

structure with a single purpose, aim and

intention in each case. The Autonomous

Community legislator is not permitted to adopt

contradictory regulations or regulations that

pose an impediment or obstacle in relation to the

general guarantee function required of all basic

regulations.

3. The Generalitat, while respecting the essential

function of the bases, may exercise its powers to

66

implement legislation, regulating items and

changes that do not contravene but which

complement or reinforce the purpose of the

bases. The Generalitat may also exercise its

authority to create, preserve or reinforce its own

public policies in regard to the legal regime

governing non-civil service teaching and

research staff in Catalan public universities.

3. Analysis of the impact of the

modified LOU on the non-civil

service teaching and research staff

described in the LUC

3.1. General provisions

The LOU

Article 48 as modified by the LOMLOU has

undergone a change in wording. 21

On comparing the current and previous wording of

Article 48 of the LOU and the possible effects on

the LUC, we make comments in regard to the

issues listed below.

21 It currently states as follows:

“ 1. Universities may employ teaching and research staff on the basis of a general employment contract, in accordance with the specific university

employment models regulated by means of this law or in accordance with the models described in the Workers’ Statute for the substitution of

workers with a right to retain their post. Universities may also employ research, technical or other staff on the basis of a specific work or services

contract for the implementation of scientific or technical research projects.

2. Universities may also appoint emeritus fellows in the conditions established in this law.

3. The specific university employment models are those corresponding to (names in Spanish) ayudante, profesor ayudante doctor, profesor

contratado doctor, profesor asociado and profesor visitante. The regime governing these specific employment models shall be as established in

this law and in its implementation regulations. Additionally applicable shall be the provisions of the consolidated text of the law governing the

Workers’ Statute, approved by Legislative Royal Decree 1/1995, of 24 March, and its implementation regulations.

4. Teaching and research staff (with the exception of the profesor visitante (visiting professor) shall be employed on the basis of an open public

competition which shall be given the necessary publicity. The call for applications shall be notified to the Universities Council with sufficient notice so

that the competition can be publicised in all the universities. Recruitment shall be based on the constitutional principles of equality, merit and

capacity. Preferential merit is defined as the accreditation necessary to be able to participate in open public competitions held for the purpose of

recruiting university teaching staff.

5. The non-civil service teaching and research staff total, calculated in terms of full-time equivalent units, may not constitute more than 49% of a

university’s total teaching and research staff. Staff who do not teach on courses leading to official formal qualifications and the staff of research

institutions attached to a university shall be excluded from the calculation of the non-civil service teaching staff total.

6. Teaching and research staff employed on a temporary contract may not represent more than 40% of the teaching staff total.

7. In accordance with this law, and within the framework of their powers, the Autonomous Communities shall establish a regime for non-civil service

teaching and research staff in universities.”


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

a) Recognition of authority over the regulation of

non-civil service teaching and research staff in

the Autonomous Communities.

The reference to the regulatory capacity of the

Autonomous Communities in regard to non-civil

service teaching and research staff remains

unmodified although actual position within the

article has changed.

b) Specific university contractual grades or

categories.

The modified Article 48 of the LOU refers to

specific non-civil service employment models that

may be adopted by universities, 22 listed as follows:

a) Teaching assistant (ayudante)

b) Lecturer (profesor ayudante doctor)

c) Non-civil service professor or lecturer (profesor

contratado doctor)

d) Adjunct lecturer (profesor asociado)

e) Visiting lecturer (profesor visitante)

Formerly the grades were as follows:

a) Teaching assistant (ayudante)

b) Lecturer (profesor ayudante doctor)

c) Collaborating lecturer (profesor colaborador)

d) Non-civil service professor or lecturer (profesor

contratado doctor)

e) Adjunct lecturer (profesor asociado)

f) Visiting lecturer (profesor visitante)

67

The modified Article 48 of the LOU retains

the possibility of appointing emeritus staff in the

conditions established by the LOU, and also

introduces the possibility of employing substitutes

for employees with a right to retain their post,

using the employment models for this purpose

described in the Workers’ Statute.

State legislative modifications have led to no

changes in references to the regulatory

capacity of the Autonomous Communities over

non-civil service teaching and research staff.

This article also provides for the possibility of

employing research, technical or other staff on a

work or services contract in order to carry out

specific scientific or technical research projects.

Note that this contractual arrangement is not

permitted for teaching or teaching staff. Of note in

regard to this employment possibility is the

modification to Article 15.5 of the Workers’

Statute –incorporated in Organic Law 43/2006, of

29 December, referring to the stimulation of

growth and employment 23 – as this will need to be

taken into account in regard to this contractual

category.

22 The LOU formerly referred to grades and not to employment categories. The preamble of the LOMLOU states as follows: “In regard to the employment

of teaching staff, this law, applying the precepts of Organic Law 6/2001, of 21 December, establishes a series of specific university employment models

which, given the particular nature of both the work and of the employment relationship, may not be subsumed in the grades referred to in the general

employment legislation. This law defines with greater precision the specific nature of these employment models, whether aimed at completing training, as

in the case of the ayudante and the profesor ayudante doctor, or at bringing in professional knowledge and experience from the productive sector to the

university, as in the case of the profesor asociado (adjunct lecturer), or at bringing in teachers and researchers of acknowledged prestige from other

universities, as in the case of the profesor visitante. Given the special nature of the teaching and research work carried out by universities, it is necessary to

provide for temporary employment mechanisms that promote the development of the academic process, which, moreover, shall be based on the logical

preservation of the knowledge and experience represented and contributed to the universities by the grades of profesor asociado or profesor visitante.”

23 BOE No. 312, 30 December 2006. Article 15.5 of the Workers’ Statute states as follows: “Without prejudice to the provisions of Sections 2 and 3 of this

article, employees shall acquire the status of permanent employees once they have been employed for more than 24 months in a period of 30 months,

whether continuously or otherwise, in the same post in the same company, under two or more temporary contracts, irrespective of whether they were

recruited directly or through an employment agency on the basis of the same or different contractual models of a specific duration.”


CONEIXEMENT I SOCIETAT 13 ARTICLES

c) The regime applicable to non-civil service

employment categories.

The modified Article 48 of the LOU, in its Sections

2 and 6, defines the regime applicable to the noncivil

service employment models that are specific

to public universities, in a manner, however, that is

not systematic within the text as a consequence of

many amendments and concessions made in

regard to these models in the parliamentary

progress of the legislation through both Congess

and Senate. 24

We can conclude, on the basis of a systematic

analysis, that the specific legal regime applicable to

non-civil service teaching and research staff is

described in basic terms in the LOU and in basic

regulations implementing the LOU, in the LUC, in

other regulations of the Generalitat de Catalunya

(Government of Catalonia) as appropriate, 25 and

also in the Workers’ Statute and the regulations

that implement this Statute. Recall however, that

Section 1 h) of Article 172 of the EAC defines noncivil

service teaching and research staff

remuneration as being the exclusive authority of

the Generalitat; consequently, the Generalitat is

fully responsible for regulating this area in

accordance with Article 110 of the EAC.

Approved recently was Law 7/2007, of 12 April,

referring to the Basic Public Employee Statute, 26

which establishes the general principles applicable

68

to employment relationships in the public sector.

Article 1 of the Basic Public Employee Statute states

that its object is to establish the statutory bases

governing the civil servants that fall within its sphere

of application and to also establish the regulations

applicable to non-civil service staff employed by

public bodies. Article 2 includes universities in its

sphere of application. The Statute also states that

particular regulations may be established that adapt

its application to the particular case of research staff.

This precept should be understood in conjunction

with Additional Provision Six of the LOMLOU, which

refers to a future Statute for University Teaching and

Research Staff. Until this legislation is approved,

however, the LOU and the LOMLOU are the most

specific State laws regulating the basic legal regime

applicable to teaching and research staff. 27

As established in the Basic Public Employee

Statute, once this becomes law, the Autonomous

Communities must, as appropriate, make the

corresponding adaptations to their legislation on

the public function. Currently in force in Catalonia is

Legislative Decree 1/1997, of 31 October, which

approved consolidation in a single text of the

precepts of the legislation in force in Catalonia in

regard to the public function, and including, within

its scope of application, university staff (with all due

respect for university autonomy).

Returning to the modified Article 48 of the LOU,

Section 3 makes a clear reference to the obligation

24 Amendments to Article 48 of the LOU (Official Bulletin of the Congress of Deputies (OBCD) Nos.101-9 (28 November 2006), p. 179. Butlletí Oficial del

Congrés dels Diputats, and Official Bulletin of the Senate (OBS) No. 83 (19 February 2007), p. 143. Butlletí Oficial del Senat.

25 Decree 404/2006, of 24 October, regulates the functions of non-civil service teaching staff in public universities in the Catalan university education

system (DOGC No. 4748, 26 October 2006).

26 BOE No. 89, 13 April 2007.

27 Although the Basic Public Employee Statute legislation has undergone a parliamentary debate parallel to that for the modification of the LOU, it

contains no explicit reference—as would seem advisable—to the specific legislation applicable to the public universities. The Basic Public Employee

Statute, however, does establish that teaching staff and health service staff must be regulated by specific State legislation and by the Autonomous

Communities within the sphere of their respective powers. The exclusion of university teaching and research staff has led, for example, to the problematic

application of the general obligatory retirement age of 65 years to civil service academics. This situation has led to a curious and urgent interpretation, by

the Directorate General for the State Public Function, to the effect that teachers who so wish may continue working until the age of 70 years.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

to conduct open public competitions for the

recruitment of teaching and research staff (with

the sole exception of the visiting lecturer), in

accordance with the constitutional principles of

equality, merit and capacity. Announcements for

these competitions must be notified to the

Universities Council with sufficient notice so that

the competition can be publicised in all the

universities. The most important issue as far as

merit is concerned is that a candidate have formal

accreditation –previously referred to as

habilitation– in order to be able to participate in

open public competitions for the recruitment of

university teaching staff. This regulation does not

affect the LUC –which in Article 45 provides for the

recruitment of non-civil service teachers– and so

the terms may remain unchanged.

d) Calculation of the percentage of non-civil service

teaching and research staff.

Section 4 of modified Article 48 of the LOU

specifies that non-civil service teaching and

research staff may not exceed 49% of the total

teaching and research staff of a university. The new

wording refers to the calculation being made on

the basis of full-time equivalent units. Employees

who do not teach on courses leading to official

formal qualifications or who are employed in

69

research institutions attached to the university are

to be excluded from the calculation of the

percentage of non-civil service teaching staff. 28

The State university legislation has adopted

the Catalan method for calculating the

maximum percentage of non-civil service

teaching and research staff, which is based on

full-time equivalent units.

Both the system for calculating the percentage of

non-civil service teaching staff and the percentage

reserved for civil service academics have

undergone significant changes over time. 29 The

LUC provision for calculating the maximum

percentage of non-civil service teaching and

research staff on the basis of full-time equivalent

units (also an option provided for in other

Autonomous Communities, for example,

Andalusia) has finally come to be included in the

LOMLOU, which now applies the LUC calculation

system. What this means is that the effective time

dedicated to the university by teachers as a whole

is taken into account, rather than the actual

number of contracts. 30

28 In the parliamentary progress of the LOMLOU through the Senate, added to Article 48 was Section 5, which establishes that non-civil service teaching

and research staff employed on a temporary basis may not exceed 40% of the total teaching staff. However, it was not established that this calculation

should be made on the basis of full-time equivalent units, as would have seemed technically necessary and opportune, not to mention compliant both

with Section 4 of the same Article and with Final Provision One of the LOMLOU, introduced in an amendment negotiated between political groups in the

Senate on the basis of amendment 62 of the Mixed Parliamentary Group. The calculation of this limitation to temporary employment does not necessarily

have negative repercussions on the employment of professors associats, as the function and purpose of this grade of teacher is not permanency but the

encouragement of professional, business and productive sector linkages with universities. Article 105 of Law 14/1986, of 25 April, governing health in

general, modified in accordance with Final Provision One of the LOMLOU, establishes that the number of professors associats should not be taken into

account in calculating the percentage of non-civil service staff in public universities. There would be no sense in this exclusion applying only to posts for

professors associats that have to be covered by healthcare staff who happen to be present in the health centre.

29 A former Organic Law on University Reform (LORU) established that non-civil service teaching staff could not exceed 20% of the total teaching staff in

general universities or 30% in polytechnic universities. In 2001, the LOU, which introduced university employment on a contractual basis for teaching and

research staff, increased the maximum percentage to 49%. Subsequently, Section 3 of Article 29 of the LUC specified that this percentage was to be

calculated in terms of full-time equivalent units.

30 In an unconstitutionality appeal (3280/2007) against certain precepts of the LUC, Section 3 of Article 29 of the LUC was challenged precisely because

of its uses of a system based on calculating in terms of full-time equivalent units (as the LOU previously did not permit this type of calculation).


CONEIXEMENT I SOCIETAT 13 ARTICLES

To conclude these general comments in regard to

non-civil service teaching and research staff, it

merely remains to point to the fact that the

modification of the LOU has improved options for

non-civil service staff participation in university

governing and representative bodies. 31 Academic

posts –with the exception of that of rector– are no

longer restricted to civil service academics but

can be held by non-civil service academics

employed on a permanent basis (Articles 24 and

25). The obligation for collegiate governing bodies

–school and faculty boards– to be composed of a

majority of civil service academics has also been

eliminated (Articles 16 and 18). These changes

brought in by the LOMLOU do not alter the

regulated content of Title 3 of the LUC and are

directly applicable.

Legislative changes have included improved

non-civil service teaching and research staff

options for participating in university

governing and representative bodies.

The LUC

The LUC is very specific in its definition of the

concept of academic staff in the Catalan

university system and in establishing a

70

classification that included all staff, without

exception, exercising academic functions in

Catalan universities. Chapter 3 of Title 2 regulates

the legal regime applicable to this staff.

The academic staff of Catalan public universities,

employed in accordance with the ruling

legislation, is made up of three categories of staff:

civil service teachers, non-civil service teachers,

and researchers (whether internal or affiliated).

A university’s teaching staff is made up of civil

service teachers and teachers employed on a

permanent or temporary basis in accordance with

the employment categories established by the

LUC.

According to the LUC, universities, in exercising

their powers, must ensure that the rights of noncivil

service teachers employed on a permanent

basis are equal to those of civil service teachers,

without prejudice to the provisions of basic State

legislation. 32 We have already seen that the LOU

has been modified to the extent that it has

significantly closed the gap between these two

categories of staff. Important differences remain,

however, such as, for example, the fact that the

post of rector remains restricted to civil service

academics.

In the LUC, non-civil service teachers are

classified broadly in accordance with whether

their relationship with the university is determined

31 Permanent non-civil service teachers may hold posts such as vice-rector, faculty dean, school director, departmental head, or director of a university

institute (and must hold doctorates, except in the case of faculty dean or school director), and may also participate in the Governing Council. They can be

represented on the University Board and on School or Faculty Boards (the majority of members most hold doctorates and be permanently linked to the

university).

32 This provision was included in the LUC with the aim of ensuring that the universities, in exercising their autonomy, would endeavour to ensure that

conditions for non-civil service academics would not be inferior, insofar as this was possible, to those for civil service academics, given that the LOU, even

though it created the non-civil service grades specifically for the universities, recognised that non-civil service academics compared to civil service

academics had a lower level of representation and participation in the university.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

by a permanent (open-ended) or temporary

(fixed-term) contract.

Permanent non-civil service teaching grades are

as follows:

a) Professor (catedràtic). A doctor with a

consolidated teaching and research career.

b) Associate professor (professor agregat). A

doctor with a proven teaching and research

career.

Temporary non-civil service teaching grades are

as follows:

a) Lecturer (professor lector): A doctor in the initial

stage of his/her academic career hired by a

university to carry out teaching and research

tasks.

b) Adjunct lecturer (professor associat): A

recognised expert in a specific field exercising

their professional activity outside the university,

hired for specific teaching tasks and with full

teaching capacity in their area of expertise.

c) Visiting lecturer (professor visitant): A professor

or researcher of recognised prestige from

another university or research centre, hired to

implement specific teaching and/or research

tasks.

d) Emeritus lecturer (professor emèrit): A retired

civil service academic from the same or another

university who has rendered important services

to a university. They typically assist with specific

teaching and/or research activities.

The professor col·laborador (collaborating

lecturer) is recruited on a temporary or permanent

basis as necessary, in order to carry out specific

teaching tasks. These lecturers cover teaching

needs in specific knowledge areas as established

71

by the State on the basis of a prior report by the

University Coordination Council.

Mirroring the fact that retired civil service

academics can be employed on a contractual

basis as emeritus staff, the LUC now includes the

possibility for retired non-civil service teachers to

continue carrying out teaching tasks on an

honorary basis with a university.

Non-civil service teachers enjoy full teaching

capacity and, in the case of holders of

doctorates, full research capacity.

The new academic staff structure introduced by

the LUC in 2003 for public universities under the

authority of the Generalitat de Catalunya

(Government of Catalonia) is being phased in

gradually. Data from UNEIX (a computerised

universities and research information database for

Catalonia) summarised in Table 1 shows that the

total number of non-civil service teachers as of

January 2007 was 1,325.

The legislative changes significantly close the

gap between non-civil and civil service

teachers, although important differences still

remain.

From our analysis of the legislation mentioned

above, it can be concluded that the modification

of the LOU introduced by the LOMLOU does not

affect the content of Articles 29, 42, 43, 45, 54

and 55 of the LUC, all of which can be interpreted

and applied in accordance with the State basic

legislation.


CONEIXEMENT I SOCIETAT 13 ARTICLES

Table 1

Non-civil service teachers employed in Catalan universities according to category (January 2007)

University

Catedràtics

contractats

Agregats Lectors

Col·laborador

permanent

Col·laborador

temporal

TOTAL

UB – 96 131 – 58 285

UAB – 75 170 – 17 262

UPC 5 29 79 262 41 416

UPF 4 26 54 10 25 119

UdG – 17 40 25 32 114

UdL 2 14 16 19 1 52

URV – 13 43 8 13 77

Total 11 270 533 324 187 1.325

* UB: Universitat de Barcelona; UAB: Universitat Autònoma de Barcelona; UPC: Universitat Politècnica de Catalunya; UPF: Universitat Pompeu Fabra;

UdG: Universitat de Girona; UdL: Universitat de Lleida; URV: Universitat Rovira i Virgili.

Source: UNeix portal: .

The Catalan legislation departs from the basic

nature of the academic grades established in

the State legislation and develops these

grades in such a way as to represent a

uniquely Catalan academic model.

3.2. The regulation of specific employment

categories

The LUC has paid specific attention to non-civil

service teaching staff, in that –as indicated in its

preamble– academics employed on open-ended

contracts, such as the catedràtic and professor

agregat (professor and associate professor), are

regulated for the first time since the time of the

Second Republic (1931-1939). 33

72

The LUC takes the basic nature of the academic

grades established in the LOU into consideration

and –while maintaining the essential defining

features of each– develops them in such a way as

to represent a uniquely Catalan academic model.

In summary form, the essential features of the

Catalan academic model described in the LUC can

be summarised as follows:

a) The category of profesor contratado doctor

(non-civil service professor or lecturer) as

described in the LOU is divided in the LUC into

the two grades of catedràtic (professor) and

professor agregat (associate professor). A

higher level of qualifications is required for the

two LUC grades.

b) Some non-civil service teaching grades have

their own specific terminology in Catalan

universities. This is the case of teachers

33 The preamble of the LUC refers to the new model of teacher: “A new pathway to an academic career is opened up, based on recruiting within the

framework of the general employment model, which, while no less demanding, may complement or replace recruitment within the framework of the civil

service model. Thus, for example, an individual who has completed a doctorate may commence employment as a post-doctoral researcher at a research

centre or university and subsequently obtain a contract (…) as a professor lector (LUC) or profesor ayudante doctor (LOU), either in the same or another

university or department.”


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

employed on a contractual basis as catedràtics

(professor) or as professors agregats (associate

professor) –corresponding to the profesor

contratado doctor of the LOU– and the professor

lector (lecturer), equivalent to the profesor ayudante

doctor of the LOU. These denominations mark

these grades out as specifically Catalan. The LUC

thus draws on a uniquely Catalan academic

tradition and meets with the demands of historic

Catalan university reform movements. 34

c) External evaluations and favourable reports

accrediting candidates for potential

employment in Catalan public universities are

issued by the Catalan University System Quality

Agency (AQU Catalunya). The LUC thus

clarifies and provides more detail in this

respect. The LOU, meanwhile, provides for two

evaluation options in that it permits either the

Spanish National Agency for Quality Evaluation

and Accreditation (ANECA) or AQU Catalunya

to issue external evaluations for the LOU

grades of profesor ayudante doctor (Article 50

LOU) and profesor contratado doctor (Article

52 LOU), and reports for the LOU grade of

profesor colaborador (Article 51 LOU). 35 In

accordance with the LUC, AQU Catalonia is the

competent agency for issuing evaluations or

reports on LUC academic grades, without

prejudice, nonetheless, to possible cooperation

between the Spanish and Catalan agencies or

with other external evaluation agencies. As can

be observed in Table 2, the total percentage of

individuals employed on the basis of a report or

73

evaluation issued by AQU Catalunya in eight

open public competitions held up to January

2007 was 86%, compared to 14% issued by

the ANECA. 36

The Catalan legislation establishes AQU

Catalonia as the competent agency for

issuing evaluations and reports for the

grades referred to in the Catalan university

legislation.

Table 2

Percentage of non-civil servies teachers evaluated by

AQU Catalunya (as of January 2007)

Evaluated

Catedràtics

Evaluated

by AQU

Contracted

% Evaluated

by AQU /

Contracted

i catedràtiques 11 11 100 %

Professor agregat 215 270 80 %

Professor lector

Professors

445 533 83 %

col·laboradors 470 511 92 %

Total 1,141 1,325 86 %

Data provided by AQU Catalunya on 30 May 2007.

Information on evaluations performed by AQU

Catalunya and their outcomes is provided in

Table 3.:

34 Given that certain sectors consider that the term “catedràtic” should be reserved to civil service academics, the naming of these Catalan categories of

employment has been the subject of some controversy, as reflected in an unconstitutionality appeal (3280/2003) by the State against certain precepts of

the LUC.

35 In accordance with the LOMLOU, Article 51 of the LOU is left without content, given that this employment grade is being phased out.

36 As a result of the ANECA’s activities in Spain and despite the fact that the LUC assigns the authority for evaluation to AQU Catalonia, a number of

teachers have entered Catalan universities on the basis of favourable reports issued by the ANECA. This merely demonstrates that, until the functional

sphere and authority of each agency is clearly established, mechanisms need to be established for cooperation between the two agencies and mutual

recognition, and for the approval of objective and internationally recognised evaluation protocols.


CONEIXEMENT I SOCIETAT 13 ARTICLES

Table 3

Evaluations performed by AQU Catalunya

(January 2007)

Evaluated Reports Favourable

%

Favourable

Catedràtics 611 353 57.8 %

Agregats 1,783 834 46.8 %

Lectors 2,796 1,690 60.4 %

Professors col·laboradors 3,966 2,554 64.4 %

Total 9,156 5,431 59.3 %

Source: Catalan universities and research information system UNEIX

portal

d) To be eligible for employment as a catedràtic or

as a professor agregat, candidates must hold,

respectively, an advanced research accreditation

or a standard research accreditation. 37

e) With the aim of encouraging research and interuniversity

cooperation, a system of leaves of

absence for non-civil service teaching and

research staff is provided for, without prejudice

to the system established in the applicable

collective bargaining agreement.

f) Teacher training and quality are central elements

in the Catalan academic model.

With the aim of promoting the new permanent

employment grades, Final Provision Two of the

LUC instructed the Generalitat to draw up and

furnish the Jaume Serra Húnter Plan with a

budget, 38 which was approved by a government

agreement dated 1 August 2003. The Jaume Serra

Húnter Plan is an undertaking by the Generalitat,

74

the public universities and AQU Catalonia that has

the aim of developing a policy for providing stable,

quality employment for university teachers.

Articles 46 to 52 of the LUC regulate the different

teacher employment categories. The LOMLOU

modifies the legal regime applicable to some of the

LOU employment grades in its Articles 49, 50, and

52 to 54 bis. Below we analyse the impact of these

modifications on the LUC.

3.2.1. Profesor contratado doctor (non-civil service

professor or lecturer). Catedràtic (professor).

Professor agregat (associate professor)

The category of profesor contratado doctor is

regulated in Article 52 of the LOU, which, as

modified by the LOMLOU, is worded as in the

footnote. 39

The previous wording of Article 52 of the LOU

established that a holder of a doctorate could be

employed as a profesor contratado doctor

provided he/she had been accredited with at least

three years of teaching and research activities or

primarily (post-doctoral) research and had been

awarded a positive evaluation by either the ANECA

or by an external evaluation body as determined by

Autonomous Community legislation. The LOMLOU

has removed the first requirement, leaving the

general obligation that candidates should have a

positive evaluation of their activities issued by one

of the above-mentioned agencies. For this

37 The fact that different accreditation is required of the catedràtic and professor agregat has been challenged before the Constitutional Court in an

unconstitutionality appeal (3280/2003) against certain precepts of the LUC.

38 The Serra Húnter Plan—dedicated to the memory of a rector of the University of Barcelona who led the process of constituting the Autonomous

University of Barcelona in the 1930s—provides for the creation in 12 years of 400 and 800 non-civil service places for catedràtics and professors

agregats, respectively (equivalent to some 100 contracts annually), to be cofunded by the Generalitat to the tune of 50%.

39 “Profesores contratados doctores shall be employed in accordance with the following: a) Contracts shall be entered into with holders of doctorates

who have been awarded a positive evaluation by the ANECA or by an external evaluation body as determined by Autonomous Community legislation. b)

The purpose of the contract shall be the performance, with full teaching and research capacity, of teaching and research tasks or primarily research. c)

The contract will be full-time and of indefinite duration”.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

employment model, the LOMLOU has not

established an obligation to rate as a preferential

merit the fact that a candidate has undertaken a

stay at a prestigious foreign or Spanish university

or research centre –unlike the modified Article 50 of

the LOU, in its regulation of the profesor ayudante

doctor (professor lector in the LUC) (lecturer),

discussed in more detail below.

We have seen above how Article 46 of the LUC

divides the LOU profesor contratado doctor ( noncivil

service professor or lecturer) into two grades,

namely:

a) Catedràtic (professor), with a consolidated

teaching and research career. 40

b) Professor agregat (associate professor), with a

proven teaching and research capacity.

In accordance with Article 47 of the LUC, in order

to be admitted to the recruitment process

corresponding to university calls for applications

for the post of catedràtic or professor agregat,

candidates must meet the following requirements:

a) Be holders of a doctorate.

b) Formally accredit at least three years teaching

and research activities or primarily post-doctoral

75

The profesor contratado doctor provided

for in the State legislation is represented in

Catalan legislation in terms of two distinct

grades: the catedràtic and the professor

agregat.

research.

c) Formally accredit two years of pre-doctoral or

post-doctoral teaching or research or of

activities in the technology or knowledge transfer

areas, in a post that is not academically linked to

the university to which the application for

employment is being made. This requisite is

regarded as having been met if doctoral studies

have been completed in their entirety at the

university that issued the candidate’s doctorate,

which should not be the university to which the

application for employment is being made.

d) Hold a standard research accreditation or and

advanced research accreditation that renders

the candidate eligible for employment,

respectively, as a professor agregat or as a

catedràtic. 41

40 This precept was one of those challenged by the State in an unconstitutionality appeal against the LUC. Note, however, that in the interlocutory

decision in regard to lifting the suspension of Article 46a) of the LUC (which had been challenged and whose application has been suspended), the

Constitutional Court took into particular consideration the fact that the State counsel, in arguing in regard to the suspension of this article, had

declared that the issue was one of simple social relevance, and the fact that professors or lecturers with doctorates could be employed as catedràtics

was a minor issue provided that the denomination was adhered to.

41 In the unconstitutionality appeal against the LUC referred to previously (3280/2003), Section 1d) of Article 47 was also challenged. In the interlocutory

decision of the Constitutional Court in regard to raising the suspension of some of the challenged articles, State counsel requested that the suspension of

Section 1d) of Article 47 of the LUC be maintained. According to the counsel’s arguments, the essential issue in regard to Section 1d) of Article 47 and

Section 2 of Article 148 was to consider whether the ANECA evaluations and accreditations would be valid in Catalonia without the need for a prior

agreement between the State agency and the Catalan agency, given that their validity was implicitly conditioned by a prior agreement. The Constitutional

Court recognised no obstacle in relation to the issue of accreditations by the Catalan agency but recognised a problem in relation to the fact that those

issued by the State agency might not be accepted. Consequently, the Supreme Court agreed to raise the suspension of Section 1d) of Article 47 of the

LUC. In regard to the activities of AQU Catalonia and the ANECA, the Generalitat lodged a claim in regard to a conflict of authority with the State as a

consequence of Royal Decree 1052/2002, of 11 October, governing the procedure for obtaining ANECA evaluations and certificates for university

teaching and research staff. The Generalitat brought a contentious-administrative appeal before the Superior Court of Justice in Madrid against a

Resolution of the Directorate-General of Universities of the Minister of Education and Science, of 18 February 2005, modifying several aspects of the

procedure for presenting evaluation or report requests for teaching and research staff to the ANECA. The Generalitat considers that this alters the LUC

teaching model and interferes with the authority of AQU Catalonia.


CONEIXEMENT I SOCIETAT 13 ARTICLES

The accreditation must be issued by AQU

Catalonia for the purpose of positive evaluation as

provided for in Article 52 of the LOU. Likewise,

where applicable, candidates must have a report

on their teaching activities that complies with the

procedures and criteria established by AQU

Catalonia for the purpose of positive evaluation as

provided for in Article 52 of the LOU.

The Catalan legislator’s decision to require a

higher level of quality for the non-civil

service grades of catedràtic and the

professor agregat was not contested on

constitutional grounds by the State.

The LUC also specifies that in the case of

recruitment processes that require research

accreditation, calls for applications must allow

sufficient time for the notification of interested

individuals and for the completion of the

accreditation process.

The LOMLOU modifications to Article 52 do not

require any modification to Article 47 of the LUC.

In 2003, the Catalan legislator decided to raise

the quality and experience requirements for

candidates applying for a post as a catedràtic or

professor agregat. These candidates are

required to accredit two years of pre-doctoral or

post-doctoral teaching, research, or technology

or knowledge transfer activities in a post that is

76

not academically linked to the university to which

the application for employment is being made.

The LOU does not make this a requirement for

the profesor contratado doctor, who only has to

accredit a minimum of three years teaching and

research activities or primarily post-doctoral

research. This latter requirement, however, which

was also included in the LUC, has been

suppressed by the modification made to Article

52 by the LOMLOU.

In regard to the interpretation to be given to the

quality requirements of the LUC, it should be borne

in mind that the intention is not to define or delimit

the kind of candidate who may apply for a

particular non-civil service teaching post –for

example, by requiring him/her to hold a doctorate.

Rather, these requirements have the aim of

accrediting, insofar as is possible, specific

academic activities so as to ensure that experience

and merits have been acquired independently of

the university that might eventually employ a

candidate. This issue is legislated so as to ensure

mandatory compliance in recruitment to all Catalan

public universities, without prejudice to any other

conditions that may be established –in accordance

with the principle of university autonomy– in regard

to eligibility for recruitment competitions organised

by individual universities. 42

The LUC requirement for a higher degree of quality

and experience for the profesor contratado doctor

in universities under the authority of the Generalitat

de Catalunya has not been rejected by the State;

given that it has not been challenged before the

Constitutional Court in the unconstitutionality plea

42 The recruitment, training and promotion of teaching and research staff, in accordance with Section 2e) of Article 2 of the LOU, all correspond within the

sphere of university autonomy, and also the establishment and modification of employment location lists, in accordance with Section 2i) of Article 2. This

was confirmed by STC 26/1987, of 27 February, delivered on the occasion of an unconstitutionality appeal against Organic Law 11/1983, of 25 August,

on university reform (LORU).


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

(referred to earlier, that is, 3280/2003) against

specific precepts of the LUC, the State can be

considered to have accepted it as a constitutionally

valid option.

The impact of the changes introduced by the

LOMLOU on LUC regulation of the grades of

catedràtic and professor agregat must be

evaluated in the light of Constitutional Court

doctrine, according to which –as we have seen–

the sense and scope of the State bases must be

respected in terms of both function and purpose,

whilst admitting the peculiarities of each sector or

administration. The sense and scope of the

purpose, and the systematic content of State basic

legislation should be interpreted in such a way that

this can be implemented on the basis of the

characteristics of both the Autonomous

Community and the matter or the sector.

The Catalan legislator may establish specific access

requirements for the employment categories

described in the LUC and may apply these as a

guarantee of the quality of the teaching staff

employed by universities falling under the authority

of the Generalitat de Catalunya. The relevant State

bases aim to ensure teaching and research quality

in universities, and the LUC may complement this

same aim with its own specific regulation.

Reinforcing this stance is the fact that the

evaluation and guarantee of teaching and research

77

staff quality and excellence is reflected in the EAC,

in Section 2f) of Article 172, as a power shared by

the Generalitat and the State, without prejudice to

university autonomy.

In view of the above it can be concluded that no

legislative adaptation of the LUC to the State bases

will be necessary in regard to the regulation of the

catedràtic (professor) and professor agregat

(associate professor) grades.

3.2.2. Professor lector (lecturer). Profesor ayudante

doctor (lecturer).

This academic rank is regulated by Article 50 of the

LOU. 43

The former wording established obligations for the

candidates for the post of profesor ayudante

doctor as follows:

a) Candidates may not, in the previous two years,

have been academically associated –in any

contractual, statutory or grant-aided manner–

with the university to which the application is

being made.

b) In regard to the same two-year period, candidates

must accredit the performance of teaching and

research tasks in a centre not attached to the

university to which the application is being made.

In the new wording these requirements are classed

43 Article 50, as modified by the LOMLOU, establishes as follows: “Profesores ayudantes doctores shall be employed in accordance with the following:

a) Contracts shall be entered into with holders of doctorates. It will be necessary to have prior positive evaluation of the applicant’s activity by the

ANECA or by an external evaluation body as determined by Autonomous Community legislation. Candidates who have implemented a stay in a

prestigious Spanish or foreign university or research centre, other than that to which the application of employment is being made, shall be

considered to have preferential merit.

b) The purpose of the contract shall be the performance of teaching or research tasks.

c) The contract shall be full-time and temporary. Contract duration may not be less than one year nor greater than five years. It may be extended or

renewed, by agreement, for a duration of less than the maximum term and providing total duration does not exceed the five years specified above.

The total duration for this employment grade combined with that referred to in the previous article [ayudante], whether in the same or a different

university, may not exceed eight years. Leaves for reasons of temporary incapacity, maternity and adoption or fostering during the term of the

contract will be excluded from the duration calculations”.


CONEIXEMENT I SOCIETAT 13 ARTICLES

as preferential merits that must be taken into

account in recruitment competitions held by

universities.

Previously employment was full-time and

temporary for an absolute maximum period of four

years. Now, however, the employment contract

may run to five years. The profesor ayudante

doctor may exercise, as before, teaching or

research tasks.

In order to be eligible for this grade, as before, prior

positive evaluation is required of the candidate’s

activity by the ANECA or by an external evaluation

body as determined by Autonomous Community

legislation.

The requirement for the profesor ayudante

doctor of the LOU (professor lector of the

LUC) not to have been academically linked for

a period of two years to the university to

which the application for employment is being

made is now a preferential merit that must be

taken into account in the recruitment process.

Article 49 of the LUC regulates the professor lector

(lecturer), equivalent to the profesor ayudante

doctor of the LOU, who is recruited by a university

to carry out teaching and research tasks in the

initial stage of his/her academic career. The

professor lector is employed on a full-time contract

for a maximum period of four –not necessarily

consecutive– years.

In accordance with Article 49 of the LUC, in order

to be admitted to the recruitment process

78

corresponding to university calls for applications

for the post of professor lector, a candidate must

meet the following requirements:

a) Be the holder of a doctorate.

b) Accredit at least two years of pre-doctoral or postdoctoral

teaching or research in a post not

academically linked to the university to which the

application for employment is being made. This

requirement is regarded as having been met if

doctoral studies have been completed in their

entirety at the university that issued the candidate’s

doctorate, which should not be the university to

which the application is being made.

c) Furnish a favourable report from AQU Catalonia

for the purpose of positive evaluation as

provided for in Article 50 of the LOU.

The report issued by AQU Catalonia must state

that the candidate holds a doctorate. It must also

state that in the previous two years, the candidate

has not been academically associated –in any

contractual, statutory or grant-aided manner– with

the university to which the application is being

made or, alternatively, that the candidate’s doctoral

studies were completed in their entirety at the

university that issued the candidate’s doctorate,

which should not be the university to which the

application is being made.

Additional Provision Twelve of the LUC establishes

that the twelve months subsequent to the birth of a

child to a professor lector (male or female) during

the employment period is not to be counted for the

purposes of calculating the term of a legally

constituted employment contract. This pioneering

provision of the LUC expressly awarded this right to

non-civil service university teaching staff, and,

although referring only to parenthood, it should be

interpreted with reference to other situations

provided for by the LOMLOU. In regard to the same


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

issue, Article 49 of the Basic Public Employee

Statute –referring to leave to reconcile personal,

family and working life and leave granted for

domestic violence reasons– should also be taken

into account. These precepts also link in with

Additional Provision Eleven of the LUC, which in

2003, established that the internal regulations of

each university should establish measures for

reconciling the family and working life of members of

the university community. This decision of the

legislator was adopted in line with Law 6/2002, of

25 April, establishing measures for reconciling work

and family, approved by the Parliament of Catalonia.

In view of the above, we can conclude that, in regard

to the grade of professor lector (lecturer) in the LUC,

the modification introduced in LOMLOU Article 50

affects LUC Article 49.2 in terms of maximum

contract duration for the professor lector (currently

four years compared to the five years for the

profesor ayudante doctor). It is therefore necessary

to adapt this article, without prejudice to the fact that

the LOMLOU modification to contract duration will

apply until this adaptation is made.

It would also seem technically advisable to adapt

Section 3b) of Article 49 of the LUC, referring to the

requirement for a candidate not to be academically

linked to the university to which the application for

employment is being made, given that the LOMLOU

has established this as a preferential merit.

That said, in the event that it is considered

necessary, as a guarantee of quality, to maintain

the requirement for a candidate not to be

academically linked to the university to which

he/she is applying for employment, there is no

impediment to the Generalitat de Catalunya

(Governmet of Cataloia), with the cooperation of

the Catalan public universities, using suitable

mechanisms to achieve this end.

79

3.2.3. Professor col·laborador (collaborating lecturer)

This contractual category, which was regulated at

the basic level in Article 51 of LOU, has been

eliminated from the list of university non-civil

service employment models in the LOMLOU.

Consequently, Additional Provision Three of the

LOU establishes that teaching staff employed

under a profesor colaborador contract that

continues to be valid as of the entry in force of the

new legislation, may continue to perform their

teaching and research tasks. It also states that any

such staff may directly be graded as profesor

contratado doctor in their current places of work,

provided they are holders of a doctorate or obtain

such a degree subsequently, are employed on an

indefinite contract, and are evaluated positively in

accordance with Article 52 a) of the LOU.

The contractual grade of professor

col·laborador has been eliminated from the

list of university employment models

described in the State legislation.

Transitional Provision Two of the LOMLOU

establishes that the State, on the basis of a prior

report from the Universities Council, must regulate

the terms and conditions in which universities may

additionally and exceptionally employ profesores

colaboradores from among diploma holders,

technical architects and technical engineers, who

should, however, have the corresponding

favourable report from the ANECA or from an

external evaluation body as determined by

Autonomous Community legislation. The LOU

previously required such staff to be employed from

among degree holders.


CONEIXEMENT I SOCIETAT 13 ARTICLES

In Article 48 the LUC regulates the professor

col·laborador (collaborating lecturer), who can

be employed on a temporary or permanent

basis in accordance with Sections 1 and 2 of

Article 44 of the same law. The aim of the post of

professor col·laborador is to meet a demand for

teachers in specific knowledge areas, in

accordance with provisions of the LOU to that

effect. In order to be admitted to the recruitment

process corresponding to Catalan public

university calls for applications for this post,

candidates had to be able to furnish a

favourable report issued by AQU Catalonia,

which remains valid indefinitely.

Catalan legislation permits the recruitment of

visiting professors from among teachers or

researchers of recognised prestige from

other universities or research centres.

In view of the above, we conclude that, even

though the LOMLOU has suppressed the post of

professor col·laborador (LUC), it is necessary to

retain the legal regime applicable to this post on an

exceptional and transitional basis, given that

appointments to this post continue to be permitted

in terms determined in the regulations. Catalan

legislation will only require adaptations of a

technical and systematic nature, and there will be

no need to modify regulations substantially in

regard to this contractual category.

80

3.2.4. Professor associat (adjunct lecturer)

This academic rank is regulated by Article 53 of the

LOU, now modified. 44

In the previous wording Article 53 established the

possibility of employing recognised experts who

could accredit their professional activity outside

university circles, making no reference to the duration

of the contract or to any possible extension.

Article 50 of the LUC regulates the professor

associat, employed on a part-time basis on a

temporary contract and recruited from among

specialists of recognised expertise who can

accredit their professional activity outside

university circles. The professor associat is

employed to carry out teaching tasks at the

university and has full teaching capacity in his/her

field of expertise.

Given that Article 53 of the LOU has been modified

to enable recruitment of this same category of

employee from university administration and

services departments, it would seem technically

advisable to adapt Article 50 of the LUC in this

respect, given that this employee essentially

exercises his/her professional activity outside the

academic sphere. The fundamental purpose of

the professor associat (adjunct lecturer) should be

borne in mind, nonetheless, which is to forge links

between the university, the productive and

professional sectors and society in general, and to

ensure that the consequent enrichment of

university education has effects going beyond the

university itself and extending into the community.

44 This article is currently worded as follows: “Profesores asociados shall be employed in accordance with the following: a) The contract shall be entered

into with recognised experts who can document that they exercise their profession outside university circles. b) The purpose of the contract shall be the

performance of teaching tasks in which the expert transmits his/her professional knowledge and experience to the university. c) The contract shall be fulltime

and temporary.The contract shall have a duration of four, six or twelve months, and may be renewed for periods of the same length, provided that

the expert can document that he/she continues to exercise his/her profession outside university circles”.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

3.2.5. Professor visitant (visiting lecturer)

The employment of the professor visitant is

regulated in Article 54 of the LOU whose wording

has changed as a consequence of the LOMLOU. 45

Previously the LOU referred to visiting and emeritus

fellows in a single article. Regulation in regard to

visiting lecturers referred exclusively to their origins

and the fixed-term nature of their contract, in the

same terms as in Section a) of the modified

wording.

Article 51 of the LUC permits the temporary

employment, under general employment contracts,

of teachers and researchers of recognised prestige

from other universities or research centres, in order

to carry out specific teaching and research

activities. It can be seen that Article 51 of the LUC

accords perfectly with Article 54 of the LOU, as

modified by the LOMLOU.

3.2.6. Professor emèrit (emeritus lecturer)

The new LOU Article 54 bis, introduced by the

LOMLOU, regulates this academic post, filled by

recruitment from among retired teachers. 46

The condition that a retired candidate be a civil

service academic in order to be eligible for the post

of professor emèrit has been excluded from the

new wording.

Article 52 of the LUC regulates the emeritus fellow,

who is recruited, on a temporary basis under a

general employment contract, from among retired

81

civil service academics from the same or another

university whose service to third-level education

have been outstanding. Emeritus lecturers may

participate in specific teaching or research

activities at the university.

In Article 53 the LUC regulates the employment, at

retirement age and on an honorary basis, of noncivil

service teachers who have provided or who

may provide outstanding service to the Catalan

university system. These honorary fellows may, at

the request of a university, participate in specific

teaching or research activities under such terms as

may be agreed between the parties and subject to

generally applicable social security legislation.

The Catalan legislative provision for the

recruitment of honorary academic staff from

among retired non-civil service academics of

retirement age ensures equal treatment with

emeritus staff recruited from among retired

civil servant academics.

By thus regulating the employment of non-civil

service academics of retirement age, the LUC

ensures that non-civil service academics receive

the same treatment granted by the LOU to retired

civil servant academics in terms of the possibility of

being appointed as emeritus fellows. It seems

appropriate to consider the suitability of adapting

45 In the new wording in the LOMLOU, Article 54 states as follows: “Profesores visitantes shall be employed in accordance with the following:

a) The contract may be entered into with teachers or researchers of recognised prestige from other Spanish or foreign universities or research centres.

b) The purpose of the contract shall be to carry out teaching or research tasks in which teaching or research knowledge and experience is transmitted

to the university.

c) The contract shall be temporary in nature, with a duration as agreed between the parties, and may be part-time or full-time.”

46 The wording is as follows: “Universities may, in accordance with their statutes, appoint emeritus fellows from among retired lecturers who have provided

services of note to the university.”


CONEIXEMENT I SOCIETAT 13 ARTICLES

Articles 52 and 53 of the LUC to the LOMLOU,

given that the honorary academic rank is no longer

reserved exclusively to retired civil service

academics.

3.2.7. Ajudant (teaching assistant)

This academic rank is regulated by Article 49 of

the LOU, which has now been modified by the

LOMLOU. 47

Catalan legislation considers ajudants to be

trainee researchers, along with doctoral

students and grant-aided research students.

The rank of ayudante, as regulated in Article 49 of

the LOU prior to modification, established that

doctoral students could be employed for this post

provided they had passed all their doctoral

examinations (as described in Article 38 of the LOU,

which regulates doctoral studies). The purpose of

the employment contract for this grade, which

previously was to round off research training, has

also been modified. The previous contract for the

ayudante was for a maximum of four years and

82

was full-time. The ayudante could also assist with

teaching tasks in the conditions established in the

statutes of the university.

This contractual category is, in fact, very similar to

that of trainee researcher (investigador en

formació) regulated in the Trainee Researcher

Statute, approved by Royal Decree 63/2006, of

27 January. 48 The two legal regimes, in practice,

cover very similar situations, and so it is

necessary to establish precisely where they

coincide or overlap.

The modified Article 49 of the LOU now admits the

possibility of employing the ayudante from among

students who have been admitted to or who meet

the admission requirements for doctoral courses of

study. This effectively makes the ayudante

equivalent to the current grade of grant-aided

research student (becari). Although the purpose of

these contracts was previously to round off

research training, the aim is now to complete both

teaching and research training.

The duration of the contract, which is full-time and

temporary in nature, has been raised from four to

five years. Time used up in leave for reasons of

temporary incapacity, maternity and adoption or

fostering during the term of the contract is

excluded from the duration calculations.

47 Article 49 of the LOU, as modified by the LOMLOU, establishes as follows: “Ayudantes shall be employed in accordance with the following: a)

Universities may employ as ayudantes students who have been admitted to or who meet the admission requirements for doctoral courses of study. b)

The purpose of the contract will be for the employee to round off their teaching and research training. Ayudantes will assist with practical teaching tasks

to a maximum of 60 hours annually. c) The contract shall be full-time and temporary. Contract duration may not be less than one year nor greater than

five years. It may be extended or renewed if a duration less than the maximum had been agreed and provided that total duration does not exceed the

five years specified above. Leaves for reasons of temporary incapacity, maternity and adoption or fostering during the term of the contract will be

excluded from the duration calculations”.

48 Royal Decree 63/2006, of 27 January, approving the Trainee Researcher Statute (BOE No. 29, 3 February 2004). For the purposes of this decree,

trainee researchers are defined as university graduates who are beneficiaries of grant-aided programmes aimed at training and at developing a technical

and scientific specialism through, as a minimum, the corresponding officially approved doctoral studies, without prejudice to the specialisms provided for

in Law 44/2003, of 21 November, governing the healthcare professions. The legal situation of trainee researchers may be either of the following: a) Grant

beneficiary: corresponding to the first two years of grant aid. b) Employee: once the trainee researcher has obtained his/her Advanced Studies Diploma

(or the equivalent certification corresponding to the new educational structure), he/she may be employed on a training contract that should cover the last

two years of grant aid and during which the trainee researcher will complete his/her doctoral dissertation.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

The LUC already considers ajudants to be trainee

researchers, along with doctoral students and

grant-aided research students. Article 70

establishes that under exceptional circumstances,

universities may recruit ajudants for full-time

employment on a temporary contract. These must

be recruited from among doctoral students who

have passed all their doctoral examinations. Such

contracts must be entered into within four years of

a candidate passing his/her doctoral examinations.

Subject to each university’s internal regulations,

furthermore, the ajudant may assist with teaching

tasks. Contracts, according to the LUC, must be

between one and four years in length, and

contracts entered into for a period of less than four

years may be successively extended for minimum

periods of one year, provided the maximum of four

years is complied with and subject to the terms

and conditions determined by each university. In

no case may a ajudant be employed for more than

four years, irrespective of whether employment is

continuous or otherwise.

From this analysis of the regulations, we can

conclude that the modification to the LOU affects

the current regulation of Article 70 of the LUC, in

terms of the requirement that a candidate should

have been admitted to or meets admission

requirements for doctoral studies and in terms of

the maximum duration of the contract. It should be

borne in mind that Article 49 of the LOU

establishes an annual maximum of 60 hours

assistance with university teaching tasks for the

ajudant.

3.3. Leaves of absence

The LUC introduced a system of leaves of

absence aimed at encouraging research and

inter-university cooperation, without prejudice to

the leaves provided for in relevant collective

83

bargaining agreements. Leaves of absence are

regulated in Article 56 of the LUC in the terms

described below.

Leaves of absence may be granted to permanent

non-civil service professors or lecturers, temporary

professors col·laboradors with doctorates (LUC)

and professors lectors (LUC) in the following

circumstances:

a) To participate in research programmes or

activities carried out in public or private bodies,

whether founded by or associated with the

university or in which the university has a share.

These research programmes or activities should

be related to the scientific or technical activities

of the university.

b) To create companies whose activity is directly

related to the scientific and technical activities of

the university.

c) To participate in teaching or research

programmes or activities carried out at other

universities, in public or private bodies created

by the university or in which it has a share, or in

any other public or private body with which the

university has entered into a cooperation

agreement.

The llicència is a leave of absence for which an

employee’s right to return the same position is

guaranteed. This leave is granted for a maximum

period of two years. The university determines the

remuneration, if any, to be paid to a teacher on this

kind of leave.

The excedència is a leave of absence in which an

employee’s contract is automatically suspended.

Once requested, readmission –both automatic and

definitive– is to a post in the same contractual

category and in the same department or research

centre as before the absence. This leave, for which


CONEIXEMENT I SOCIETAT 13 ARTICLES

no remuneration is received from the university

of origin, may be granted for a maximum period of

four years.

Both kinds of leaves of absence are granted by

university rectors, in accordance with the

procedures and conditions established by each

university in its internal regulations.

Subject to internal university regulations,

permanent non-civil service teaching staff are

entitled to sabbatical leave of a maximum of one

year for every six years of academic activity,

provided that the leave is used for training or

cooperation activities at a university or research

centre outside Catalonia.

Article 57 of the LUC also provides for a one-off

special leave of absence for a maximum period of

four years for permanent non-civil service

professors or lecturers (agregats and catedràtics),

temporary professors col·laboradors with

doctorates and professors lectors with at least one

year of seniority. Once requested, readmission–

both automatic and definitive– is to a post in the

same contractual category and in the same

department or research centre as before the leave.

Such leaves of absence are granted in accordance

with the procedures and conditions established by

each university in its internal regulations.

The intention of the Catalan legislator is to

encourage academic mobility and the adoption of

specific measures to facilitate technology and

knowledge transfers, and in particular, to foster

university-business mobility.

84

The LOMLOU –although to a more modest degree

than the LUC– has also introduced measures to

encourage mobility, foster research, and forge links

between universities and the private sector. For this

purpose it has created a special leave of absence

which is similar to the leaves of absence described

by the LUC but applicable to civil service

academics. Specifically, Section 3 of Article 83 of

the LOU provides for an excedència for a maximum

period of five years for civil service academics and

for permanently employed non-civil service

academics; the aim is to facilitate their participation

in technology companies created or developed on

the basis of either patents developed in, or results

generated in research projects undertaken by,

universities. Such companies must be partially or

wholly funded by public monies.

This measure is complemented by Additional

Provision Twenty-Four of the LOMLOU, which has

introduced an exception to the application of

certain restrictions established in Sections 1b) and

1d) of Article 12 of Law 53/1984, of 26 December,

governing incompatibilities for staff in public

administrations. Inexplicable, however, is the fact

that the wording as it stands limits this exception to

civil service academics. 49 The modified wording

refers to civil service teachers who participate in

technology companies established by universities

or with a shareholding by a university or by any of

the bodies described in Article 84 of the LOU

(public or private bodies, companies, foundations,

or other corporate bodies created by the university)

and created or developed on the basis of either

patents developed in, or results generated in

research projects undertaken by, universities. In

49 In its application to civil service teaching and research staff, this limitation could contradict Section 3 of Article 83 of the LOU, which extends this leave

for the creation of companies to permanent non-civil service teaching and research staff. The law on incompatibilities, which affects all public

administration staff, does not draw a distinction between civil or non-civil service staff, as the focus is more on the activities which they undertake. It will

be necessary to analyse the possibility of the LUC extending the application of this exception to non-civil service teaching and research staff by means of

a modification to Law 21/1987, of 26 November, governing incompatibilities for staff employed by the Generalitat.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

such technology companies, civil service

academics are allowed to: a) take a seat on the

Board of Directors. b) hold a share representing

over 10% of the capital of the company.

On analysing how Article 56 of the LUC coincides

or overlaps with Article 83 of the LOU in regard to

regulation of the excedència for non-civil service

research staff, the LUC clearly provides for a

broader system of leaves than the LOU, in terms

not only of objective scope, but also of subjective

scope in regard to non-civil service teaching and

research staff, permanently employed non-civil

professors or lecturers (catedràtics and agregats)

and professors lectors. 50 If we consider the

regulation of Article 83 of the LOU to represent

the lowest common legislative denominator

applicable to the entire Spanish territory, then there

is no contradiction with Article 56 of the LUC, as

purpose would seem to coincide in both cases.

That said, it would be appropriate, at some point in

the future, to adapt the LUC article by extending

the excedència from four to five years.

Finally, noteworthy is the fact that Section 2g) of

Article 41, as modified by the LOMLOU, provides

for the forging of links between universities and the

productive system through the creation of

technology companies as spin-offs from university

activities; it is also stated that university teaching

and research staff can participate in these

companies in accordance with the regime

85

described in Article 83 of the LOU. Likewise,

Sections 3 and 4 of Article 41 reinforce the

importance conceded by the modified LOU to

cooperation between universities and the

productive sector, and expressly establishes that

universities should promote teaching and research

staff mobility and foster cooperation between

universities and the productive sector in

accordance with Article 83 of the LOU. 51

The modifications to the State legislation

have drawn it closer to Catalan public

policies in terms of the promotion of

research, the encouragement of academic

mobility, the fostering of technology

companies and the transfer of knowledge.

It can be concluded that, other than with regard to

the duration of the excedència, the LUC regulation

of the system of leaves requires no adaptation. It

can also be concluded that the modifications

introduced by the LOMLOU have, in fact,

represented an approximation to public policies

described in the LUC, covering the promotion of

research, teaching and research staff mobility,

and the fostering of technology companies and

knowledge transfer.

50 The LUC has not extended the regulation of both kinds of leave to civil service academics, given that, at the time the LUC was approved, the authority

of the Generalitat in regard to civil service academics was not recognised.

51 The modified Article 83 of the LOU regulates cooperation between universities and other physical and corporate individuals and entities. The newly

included Section 3 establishes that whenever a technology company is created or developed on the basis of either patents developed in, or results

generated in research projects undertaken by, universities and when this company is partially or wholly funded by public monies, civil service and

permanent non-civil service academics who can document their participation in the project may obtain a temporary leave of absence in order to

participate in such companies. It is the responsibility of the State to regulate the conditions and procedures for granting leaves of absence, which should

last a maximum of five years. Persons granted leave on this basis will reserve the right to return to their post after the leave terminates and without

prejudice to calculations as to seniority. If, prior to the termination of the period for which the leave was granted, the academic fails to request readmission

to their post in the university, he/she will be declared by operation of law to be in a situation of voluntary leave for personal reasons.


CONEIXEMENT I SOCIETAT 13 ARTICLES

3.4. Non-civil service teaching and research

staff remuneration

Section 1h) of Article 172 of the EAC recognises

that, without prejudice to university autonomy,

the Generalitat has exclusive authority over the

remuneration system for non-civil service

university teaching and research staff and for the

establishment of additional payments for civil

service academics. 52

In the State legislation, the range of

individual merits has been broadened

beyond the teaching, research and

management merits mentioned in the

previous legislation.

The system of remuneration for non-civil service

teaching and research staff employed in public

universities is regulated in Section 2 of Article 55 of

the LOU, which in Section 1 of the same article, as

modified by the LOMLOU, assigns authority over

this system to the Autonomous Communities. In

the LOMLOU, Section 2 of Article 55 has been

worded in terms of additional payments being

linked to individual merits in the exercise of

teaching, teacher training, research, technological

development, knowledge transfer and

management functions. Within limits as

determined by the Autonomous Communities, the

Social Council, at the instigation of the Governing

86

Council of the university, may allocate additional

payments on a one-off individual basis. The range

of individual merits to be taken into account has

been broadened considerably (the previous

wording only referred to teaching, research and

management merit).

Section 3 of Article 55 of the LOU adds that the

State may create incentive programmes for

teaching, research, technological development

and knowledge transfer activities.

Finally, the modification introduced in Section 4 of

Article 55 of the LOU marks a distinction between

two kinds of evaluations of individual teaching and

research merit. Thus, payment supplements

arising from the implementation of Sections 2 and

3 of Article 55 are allocated on the basis of a prior

evaluation by the external evaluation body

specified in Autonomous Community legislation (in

the Catalan case, AQU Catalonia), whereas

additional payments linked to individual merits

arising from the implementation of State-operated

incentive programmes are allocated on the basis of

an evaluation by the ANECA.

Other articles in the modified LOU refer to the

evaluation of the professional activities of teaching

and research staff. This is the case of Section 3 of

Article 40, which provides that research and its

contribution to scientific, technological or artistic

development are relevant criteria –provided these

are properly evaluated– in determining the

effectiveness of staff in exercising their professional

activity. Section 3 of Article 41, meanwhile, states

that the transfer of knowledge awards the right to

52 Of interest are the arguments of the State counsel in an unconstitutionality appeal (8045/2006) against the EAC. In a reference to Section 1h) of Article

172, the counsel stated that the infringement of State authority (Articles 149.1.7, 18 and 30 of the Constitution) attributed to Section 1h) of Article 172.1

of the EAC was inadmissible, as by this means the Generalitat was given authority over the remuneration system for non-civil service university teaching

and research staff, whereas this authority over civil service staff was limited to the establishment of additional payments. State representatives continue to

manifest that the constitutionality of this area in the terms provided for by statute is also the result of LOU precepts.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

both evaluate the results of the transfer and to

recognise the corresponding merit as a relevant

criterion in determining the effectiveness of

individuals in exercising their professional activity.

The LUC devotes Chapter V of Title II to the

remuneration system for non-civil service

teaching and research staff. Article 71 establishes

that the remuneration system is determined by

the Generalitat and must be the same for all the

public universities. In accordance with Section 2

of Article 71, full-time non-civil service teaching

and research staff are remunerated with the

following pay components: 53

a) a base salary

b) overtime payments

c) a work post supplement

d) a grade-related supplement (which may be

structured in terms of different remuneration

levels)

e) a functional supplement for extra academic,

management or administration responsibilities

(paid only for the period during which these

responsibilities are assumed)

f) bonuses for teaching and/or research merit.

Non-civil service teaching and research staff may

also exceptionally receive payment for workrelated

services rendered on behalf of the

university.

Article 72 of the LUC establishes that the

Generalitat may establish additional bonuses for

teaching, research and management merit, to be

assigned by the Social Council at the instigation of

87

the university Governing Council and on the basis

of a prior evaluation by AQU Catalonia.

In accordance with the new Statute of Autonomy

of Catalonia (EAC), the Generalitat is now

exclusively responsible for the remuneration

system for non-civil service teaching and

research staff and for the establishment of

additional payments for civil service academics.

Since these systems are no longer subject to the

basic legislation-implementation regulation

schema, there is no further need to consider the

LOMLOU in terms of basic legislation that

predetermines the merits and activities to be

taken into account for additional payment

purposes. We can therefore conclude that, from

the exclusive perspective of the sharing of

powers, there is no need to modify Articles 71

and 72 of the LUC –this without prejudice to the

fact that the Generalitat may consider it

necessary to modify its policies for non-civil

service teaching and research staff remuneration,

which fall entirely under its authority. Still pending

is the regulation of bonuses for teaching and

research merit for non-civil service staff, an

instrument that could prove to be highly effective

in designing incentive-based academic career

paths that are focused on two aspirations of the

LUC: quality and full participation in Europe.

3.5. Academic research staff

The LUC includes a new category –academic

research staff– covering staff that provide

research services to universities and including

university teaching staff and researchers who are

53 Remuneration has been regulated, since the LUC came into force, by Decree 405/2006, of 24 October, establishing additional payments for civil and

non-civil service teaching and research staff (DOGC No. 4748, of 26 October); by Collective Bargaining Agreement No. 7902502, applicable to teaching

and research staff in Catalan public universities; and by a government agreement of 6 February 2007, which regulates merit-based teaching and research

bonuses on a transitional basis. In regard to remuneration, the collective bargaining agreement is required to specify certain aspects of the remuneration

applicable in the context of the precepts of the LUC and other legislation which the Generalitat may approve in the exercise of its powers.


CONEIXEMENT I SOCIETAT 13 ARTICLES

holders of doctorates. The inclusion of

researchers in the LUC is a consequence of the

option given to the legislator to regulate, in a

single legal text, the staff who perform research

tasks in universities or in centres attached to

universities. This category is established for

teaching and research staff and also for internal

The inclusion of researchers is the result of the

Catalan legislator’s wish to include, in a single

legal text, all staff who perform research tasks

in universities and in affiliated centres.

(in-house) and affiliated researchers. The new

classification has the effect of making the text

more systematic.

At the State level there are two regulations

applicable to researchers. On the one hand, the

LOU regulates civil and non-civil service teaching

and research staff; on the other hand, Law

13/1986, of 14 April, governing the general

promotion and coordination of scientific and

technical research, has a direct bearing on

researcher contracts. The LUC has opted to

regulate, in the same legal text, the legal regime

applicable to researchers who work in

universities or research centres in which a

university has a share or interest, given that the

Generalitat de Catalunya (Government of

Catalonia) has not as yet drafted legislation of its

88

own on research matters. This is without

prejudice to the fact that, in response to the new

statutory changes, the Generalitat will eventually

exercise its authority in this area and develop a

legal regime for research, development and

technological innovation.

Article 158 of the EAC establishes that in matters

of scientific and technical research, the Generalitat

has exclusive authority over Generalitat research

centres and infrastructures and over projects

financed by the Generalitat. This authority includes

the regulation and professional training of research

staff and research support staff (Section 1d) of

Article 158 of the EAC).

Although the LUC classifies researchers in terms

of the two categories of internal researchers and

affiliated researchers, it only does so in order to

distinguish between them in terms of their legal

relationship with the university; in other words,

there are no effective differences between the two

kinds of researcher.

Public universities may employ holders of

doctorates as internal researchers, in accordance

with the regulations in force. 54 Internal researchers

are defined as researchers with whom universities

have entered into a research contract that

complies with one of the legally established noncivil

service contractual models, as regulated by

Law 13/1986, of 14 April, governing the general

promotion and coordination of scientific and

technical research.

54 LUC Articles 61 and 102 refer to university employment of researchers in accordance with the researcher types established in Article 17 of Law

13/1986, of 14 April, governing the general promotion and coordination of scientific and technical research; with the wording given by Additional

Provision Seven of Law 12/2001, of 9 July, governing urgent measures for reforming the labour markets to create employment and improve employment

quality; and with the LOMLOU. Universities may employ research staff in accordance with the researcher types described above, when they are

beneficiaries of public grants and subsidies for the temporary employment of research, scientific or technical staff for the development of new research

programmes or projects which they are unable to undertake for reasons of limitations on their budget.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

The different types of research contract are as

follows:

a) Contracts with research, scientific or technical

staff for the purpose of implementing a specific

research project, as regulated in Article 15a) of

the Workers’ Statute.

b) Contracts with doctors aimed at incorporating

researchers in the Spanish science and

technology system –as regulated in Article

11.1 of the Workers’ Statute– for the purpose

of implementing research activities,

programmes or projects that enable non-civil

service researchers to broaden, perfect or

complete their scientific knowledge and

experience.

Without prejudice to temporary employment in

accordance with the non-civil service

employment models described above, Section 3

of Article 17 of Law 13/1986, of 14 April,

governing the general promotion and

coordination of scientific and technical research,

establishes that public universities, State

research agencies, non-State public research

centres, and non-profit institutions that

implement research and technological

development activities, may underwrite full-time

open-ended contracts with researchers

employed in accordance with the provisions of

Section 1 b) of Article 17 of said law (that is, with

doctors employed in accordance with a

researcher incorporation contract as described in

b) above). 55

89

These open-ended contracts must meet with the

following conditions:

a) A public call for applications must be issued to

guarantee the principles of equality, merit and

capacity.

b) Candidates must have obtained an excellent

evaluation of their activity.

c) Contracts must comply with the applicable

legislation and with the organisational and

functional regulations of the employing centre.

d) Contracts shall be entered into as needs for

further staff arise.

e) Contracts are subject to budgetary availability.

The purpose of these contracts is to assist

institutions in fulfilling their mission, which is

primarily the implementation of scientific research

and technology development activities.

As far as permanent employment contracts

referring to university functions are concerned,

the current applicable Catalan legislation is the

LUC. The two permanent grades that it regulates

–the catedràtic and professor agregat– have as

their contractual purpose the implementation, on

the basis of full teaching and research capacity,

of research and teaching tasks or primarily

research.

In accordance with Article 62 of the LUC,

researchers affiliated with a university are defined as

researchers who carry out research tasks in the

university for the purpose of implementing

55 The Ramon y Cajal Programme, in its current call for applications (decision of the Secretary of State for Universities and Research of the Spanish

Ministry of Education and Science dated 8 February 2007 published in BOE No. 43, 19 March 2007), has been substantially modified in that it establishes

that employment must be stable from the outset, and that on terminating the fifth year within the Ramon y Cajal Programme, the centre must provide

permanent employment suitable to the profile of the researcher. A significant proportion of researchers employed under the Ramon y Cajal Programme

are being recruited by universities and other research and development centres under the Programme of Incentives for the Incorporation of Researchers

and the Intensification of Research Activities (Programme I3), BOE No. 127, 28 May 2005). Researchers in Catalan universities are being employed under

this programme in accordance with the LUC contractual categories of catedràtic and professor agregat, without prejudice to the fact that, in accordance

with the LOU, civil service academics can also do so.


CONEIXEMENT I SOCIETAT 13 ARTICLES

research, development and innovation projects or

knowledge and technology transfer projects, on the

basis of on agreements or other forms of

cooperation with universities, research centres, or

other public or private bodies. This association with

the university occurs only for the purpose of

implementing a specific cooperation agreement.

Researchers affiliated with a university in this

manner maintain their employment contracts with

the entity of origin and so are subject to the legal

regime applicable to this entity and corresponding

to their professional category. Cooperation

agreements may expressly establish that a

researcher and the university with which he/she is

to be temporarily affiliated may enter into a

temporary contract to carry out a scientific research

The legislation currently applicable in

Catalonia in regard to the permanent

employment of academics refers to the

contractual grades of catedràtic and

professor agregat provided for in the

Catalan law on universities.

or technical project. To guarantee the researcher’s

continuity of employment, the entity at which

he/she is regularly employed must issue a leave of

absence that guarantees his/her automatic

readmission, on completion of the project, to a

position in the same contractual category.

Likewise, as a way of encouraging the

employment of young researchers and facilitating

their mobility, universities may also recruit postdoctoral

researchers, for a maximum period of

90

five years, from among doctors awarded their

doctorate by another university at least two years

previously.

Finally, the LUC indicates that universities may

employ teaching, research, technical or other

staff on a particular work or service contract or to

implement a specific scientific or technical

research project, in accordance with the ruling

legislation. This precept should be interpreted in

line with the LOMLOU, which does not permit

this contractual model to be used to employ

teaching staff.

3.6. The legal regime governing civil service

teaching and research staff

Although this study, which takes the LUC

academic model as reference, focuses on noncivil

service teaching and research staff, brief

mention must be made of the new legal regime

applicable to civil service academics, bearing in

mind that both regimes coexist in Catalan

universities and also the fact that, although the

LOMLOU closes gaps in many respects, it also

marks important differences.

Above we saw how the EAC, for the first time,

expressly reflects the authority of the Generalitat

de Catalunya (Government of Catalonia) over civil

service academics. The legal regimes applicable

to civil service academics and to the

determination of additional payments for civil

service academics are both spheres in which the

State formerly held legislative powers that were

repeatedly denied to the Generalitat by

Constitutional Court doctrine. By virtue, therefore,

of EAC Articles 158 and 172 (referring to

research, development and technological

development and to universities, respectively)

read in conjunction with Article 111 (referring to


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

shared powers), and in view of the new statutory

context, the Generalitat will now need to approve

a regulation that establishes the scope of its

public policies in regard to the civil service

teaching and research staff in the universities

under its control. 56

Section 2 of Article 172 of the EAC also attributes

shared authority to the Generalitat for evaluation

and quality guarantees in regard to teaching and

research staff. Read with Article 111 of the EAC,

this implies that the Generalitat can establish public

policies in regard to the evaluation of the quality of

civil service teachers, within the context of State

basic legislation establishing principles or lowest

common legislative denominators. University

autonomy, which is recognised by the Constitution,

must also be considered in the exercise of the

authority attributed by Article 172 of the EAC to

the Generalitat. The principle of university

autonomy covers the recruitment, training and

promotion of teaching and research staff, and also

the determination of the conditions in which staff

implement their functions.

The LOMLOU has replaced the former system of

habilitation with a new system called

accreditation which is now a requirement for all

candidate civil service academics. By insisting on

an evaluation of the merits and competences

of applicants, the new system guarantees a level

of quality in recruited civil service academics that

is in line with international standards for

evaluating teaching and research quality. It

corresponds to the State to regulate this

accreditation system.

91

The new accreditation system closes the gap

between access procedures for civil and noncivil

service teaching and research staff.

However, it will be necessary to await State

regulation in order to be able to evaluate the new

system for accrediting civil service academics.

That said, this system will need to respect the

recommendations of the European Parliament

and the European Council in terms of European

cooperation and quality guarantees for higher

education, while leaving enough room for

Autonomous Communities to exercise their

authority and for universities to exercise their

autonomy.

4. Conclusions

The impact on the Catalan Law on Universities

(LUC) of the modifications to the Spanish

Organic Law on Universities (LOU) by the

recently published Organic Law modifying the

LOU (LOMLOU) is limited to LUC precepts that

may contradict the basis legislation applicable to

the legal regime governing non-civil service

teaching and research staff when interpreted in

accordance with the Statute of Autonomy of

Catalonia (EAC).

The new legislative context applicable to non-civil

service teaching and research staff permits the

non-civil service academic model described by

the LUC to be maintained and developed in a way

that will meet the needs of Catalan universities in

the context of the European higher education and

research areas.

56 It should be remembered that the State has still not exhausted its regulatory options in this area and that the future approval of a University Teacher and

Researcher Statute –which would have to be approved by law– will lead to a new legal regime of application to these employees. Additional Provision Six

of the LOMLOU establishes a period of one year for approval of the University Teacher and Researcher Statute by means of royal decree. The statute will

include the regulation of a civil service career structure based on the acquisition of teaching or research merits and of the conditions for teacher or

researcher participation in the management and use of the results of their research.


CONEIXEMENT I SOCIETAT 13 ARTICLES

The new legislative context applicable to

non-civil service teaching and research staff

permits the non-civil service academic model

described by the Catalan legislation to be

maintained.

92

LUC regulation of academic research staff is also

reinforced by the exclusive and shared powers that

Article 158 of the EAC attributes to the Generalitat

in relation to research, development and

technological innovation. These powers could,

however, be developed more extensively by means

of specific legislation approved by the Parliament

of Catalonia that would establish specific Catalan

research, development and innovation policies.


THE LEGAL SYSTEM GOVERNING CATALAN CONTRACTED TEACHING AND RESEARCH STAFF, AS REGULATED BY LAW 1/2003 ON UNIVERSITIES

IN CATALONIA, IN THE CONTEXT OF THE NEW STATUTE OF AUTONOMY OF CATALONIA AND THE MODIFICATION OF THE SPANISH ORGANIC LAW

ON UNIVERSITIES

References

Informe sobre la Reforma de l’Estatut. Institut d’Estudis Autonòmics.. Generalitat de Catalunya. Barcelona, 2003.

“L’Estatut d’Autonomia de Catalunya de 2006”. Textos Jurídics. Institut d’Estudis Autonòmics. (Vols. I & II) Generalitat de Catalunya.

Barcelona, 2006.

EMBID IRUJO, A & GURREA CASAMAYOR, F. Legislación universitaria. Normativa general y autonómica. Editorial Tecnos. Madrid 2002.

“Normativa Catalana d’Universitats i Recerca”. Quaderns de Legislació. No. 19. Generalitat de Catalunya. Barcelona 1999.

Legislation

Law 1/2003, of 19 February, on universities in Catalonia”. Diari Oficial de la Generalitat de Catalunya (20 February 2003) No. 3826.

“Organic Law 6/2001, of 21 December, on universities”. Boletín Oficial del Estado (24 December 2007) No. 307.

“Organic Law 4/2007, of 12 April, modifying Organic Law 6/2001, of 21 December, on universities”. Boletín Oficial del Estado (13 April 2007)

No. 89.

Legislature publications (Boletines de las Cortes Generales) on draft organic legislation reforming the Organic Law on Universities (LOU).

Boletín de las Cortes Generales. Congress of Deputies. (8 September 2006). No. A-101-1. Initiative.

Boletín de las Cortes Generales. Congress of Deputies. (28 November 2006). No. A-101-9. Amendments and index of amendments to articles.

Full text.

Boletín de las Cortes Generales. Congress of Deputies. (29 November 2006). No. A-101-10. Report on speech. Full text.

Boletín de las Cortes Generales. Congress of Deputies. (12 December 2006). No. A-101-11. Decision of the Commission and documentation

in support of amendments for defence in the Plenary. Full text.

Boletín de las Cortes Generales. Congress of Deputies. (26 December 2006). No. A-101-12. Approval by the Plenary. Full text.

Boletín de las Cortes Generales. Senate. (27 December 2006). No. II-83-a. Text referred from the Congress of Deputies. Full text.

Boletín de las Cortes Generales. Senate. (19 February 2007). No. II-83-d de. Amendments (Senate). Full text.

Boletín de las Cortes Generales. Senate. (16 March 2007). No. II-83-e. Decision of the Commission and private voting (Senate). Full text.

Boletín de las Cortes Generales. Congress of Deputies. (29 March 2007). No. A-101-13. Senate amendments. Full text.

Boletín de las Cortes Generales. Congress of Deputies. (4 April 2007). No. A-101-14. Definitive approval. Full text.

Collective Bargaining Agreement for Teaching and Research Staff in Catalan Universities. Approved 21 July 2006.

Catalan universities and research information system: UNeix portal .

93


CONEIXEMENT I SOCIETAT 13 ARTICLES

NEW OPPORTUNITIES FOR UNIVERSITY-INDUSTRY

RELATIONS

Montserrat Vilalta Ferrer*

Spain, and in particular Catalonia, now finds itself amongst the group of leading economies in the world. Various

indicators point to the fact however that this privileged situation may be affected if changes in the production

model and the improvement of infrastructure are not made. With regard to the production model, there is the

need for investment in innovation by industry in research, development and training. The universities can respond

to this need by incorporating the third mission of service to society, which in practice basically means knowledge

transfer, technological development and educational modes that adapt more to social demands, in both

undergraduate and postgraduate programmes and life-long training. The article reviews the university legislative

framework relative to the aspects that promote relations between the university and the production sector and

points out the deficiencies that continue to exist, together with the need to introduce more flexible, as well as

more open and transparent measures in the functioning of the universities. An assessment is also made of the

role of public administrations in fostering and giving impetus to relations between the universities and industry.

Key words: innovation, universities/industry, university legislation

Abstract

1. Innovation: a common interest shared by industry and the universities

2. The impact of university legislation on university-industry relations

2.1. The constitution of the Spanish university– a hangover from the 19th century

2.2. The first legislation to deal with the universities in the democratic period: the LRU

2.3. The social role of the universities under the Spanish Organic Law on Universities (LOU), the second law on universities

2.4. The Catalan Law on Universities (LUC), the first Catalan legislation to deal with the universities

2.5. The reform of the Spanish Organic Law on Universities. Time to be specific

2.6. The deficiencies of the current university framework

* Montserrat Vilalta Ferrer is Professor of Mathematics at the University of Vic’s Escola Politècnica Superior, where she has held various administrative

posts.

94


3. The framework of action for industry

4. The role of government authorities

5. The commitment to territorial development

1. Innovation: a common interest

shared by industry and the

universities

The economic data for 2006 place Spain in a

privileged seventh or eighth place in the ranking of

economic powers in the world and sixth in the EU-

15 in terms of per capita income, equal to the

United Kingdom. The most important factors that

have made possible, in thirty years, the

transformation of Spain from [the idea that] “Africa

starts south of the Pyrenees” to being an economic

power, have been macroeconomic policies

–especially monetary and fiscal measures–,

technological changes, and the fact that Spain

received large amounts of European funding. The

economic growth indicators have accelerated in

recent years at a higher rate than the average for

Europe, and the short term forecasts point to this

continuing in the same way.

We are all aware, however, that being smug about

this situation is not a good idea because, despite

positive macro-economic data, there are also

other indications that point to a shift in the trend,

albeit in the long term. The ratios of

competitiveness, for example, are not getting any

better, productivity is slowing down, Spain will

soon stop receiving any European funding and

instead will have to start forking out, the

phenomenon of industrial delocation has only just

95

NEW OPPORTUNITIES FOR UNIVERSITY-INDUSTRY RELATIONS

begun, and the margin for manoeuvre in

macroeconomic policies has become very limited.

This means that all of the factors that were

determinant in the improvement of the Spanish

economy, and by extension the Catalan economy

as well, and have led to this privileged situation will

cease to play a role. The question therefore that

now needs to be answered is what needs to be

done in order for Spain to consolidate its position

in the world ranking and to change the negative

trend that certain indicators seem to point to?

The experts answer this with the suggestion of a

formula with two basic ingredients: improvements

to infrastructure –transport, telecommunications

and energy– and a change in the production

model. As regards infrastructure, the role of public

administration is essential because improvements

to infrastructures depend to a great degree on

public investment, although one should also not

underestimate the role that the universities and the

private sector have to play, which is dealt with

further on. The focus here however, because it has

a more direct effect, is the second ingredient,

namely, the need to introduce changes in the

production model or, expressed in a different way,

the need for innovation because this is where the

key to change is. Referring again to the comparison

of formulae and ingredients, we know that

innovation can only be brought about by


CONEIXEMENT I SOCIETAT 13 ARTICLES

appropriately combining two elements, training

and research. To summarise this even further, the

most essential thing in the future will be for industry

to invest in human capital, because it is not just an

increase in production that is required – as was the

case in the past – but that human capital becomes

specialised.

Innovation can only be brought about by

appropriately combining two elements,

training and research.

It is on this point where the universities, which

specialise basically in education and research, and

industry, which requires these services, meet.

Under the present Catalan government, they have

been grouped together under the same Ministry of

Innovation, Universities and Industry, which brings

together the management and regulation of these

two key stakeholders under one government

department to direct them along the necessary

path to innovation. To use a commonly-used

expression, the university-industry-government

trinomial is the triple helix required to create the

structure for the change that needs to be made.

The situation to start with can be said to be

optimistic. The universities, immersed in the

process of convergence in Europe, have been

aware for some time of the need to be more

involved with the production sector, adapt their

provision to the new social requirements and find

easier ways to transmit the knowledge generating

1 Data corresponding to year 2005. Source: National Institute of Stadistics (INE) .

2 Data corresponding to year 2005. Source: Eurostat .

3 Data corresponding to year 2005. Source: National Institute of Stadistics (INE) .

96

the research being developed there; industry,

including the unions –going by the demonstrations

that different business and union organisations

have held recently–, also recognises the need to

get along with the universities so it can obtain

qualified professionals, enable production to

become more specialised, incorporate new

technologies and improve the organisational

system; and the public administrations are intent

on promoting policies and investing resources in

order for the university-industry pairing to find

appropriate channels for the joint task they are

being called to develop. This shows that there is an

awareness of the situation and coincidence

regarding the way in which this needs to be dealt

with. The situation to start with can thus be

qualified as being optimistic.

Moving on from the sphere of awareness and

willingness to that of action, however, knowledge is

necessary of the initial data regarding the level to

be exceeded and the targets to be reached:

Investment in R&D in Catalonia is 1.36% 1 of GDP,

whereas the average for EU-27 is 1.84 2 The goal of

the Council of Europe as laid down in the

Declaration of Lisbon is to reach 3% by 2010. Within

Spain, with an investment in R&D of 1.13% of GDP

and the thirteenth place in the EU-15, the figure for

the Madrid region, Navarra and the Basque Country,

with investment of 1.81%, 1.6% and 1.49% of the

respective regional GDP, is considerably higher than

that of Catalonia. 3

The large centres for research in Spain, and

therefore public investment in research, are

concentrated in Madrid. The data for 2005 show


that public investment in Madrid accounts for

25.4% of total investment in R&D, whereas in

Catalonia public investment only accounts for

11.4%. On the other hand, investment in R&D by

industry represents 57.5% of the total in Madrid,

whereas in Catalonia it is 63.2%. This means that

two thirds of all research in Catalonia is carried out

by the private sector, a figure that is comparable

with other developed countries and would not be

bad if it was not for the total volume of investment,

which is proportionally much lower than in other

countries. 4

Research carried out in the universities is

fundamentally what is termed basic research,

which is transmitted by way of specialised journals.

Spanish universities are in ninth position in the

world in terms of scientific production diffused in

publications and indexed journals –in 2004 they

represented 2.9% of all publications in the world,

the majority of them mid-range – but in terms of

applied research they are at the bottom of the

league of leading countries. Taking the EU-25 as

reference, the data are even more overwhelming:

Spain is in a leading place in terms of the number

of scientific journals, and one of the latest in

producing patents. Moreover approximately only a

third of the Spanish universities made applications

for patents. 5

In 2004, the number of companies with innovative

activities in Catalonia was 12,860, or 35% of the

total, and expenditure in technological innovation

was 3,073.6 million euros. The indicators for

innovation intensity in Catalonia show how

expenditure in innovation in relation to the

4 Data corresponding to year 2005. Source: National Institute of Stadistics (INE) < http://www.ine.es/>.

5 MEC, 2007.

6 Institut d’Estadística de Catalunya .

97

NEW OPPORTUNITIES FOR UNIVERSITY-INDUSTRY RELATIONS

business turnover of the total number of

companies is around 0.9%, whereas in relation to

the business turnover of innovative industry it is

1.5%. 6 Expenditure for R&D of industry with

innovative activities is commissioned at a very low

level from external bodies and only a small part of

this total expenditure was set aside to contract

research projects from universities and public

research centres.

Only a small part of the total expenditure of

industry with innovative activities was set

aside to contract research projects from

universities and public research centres.

Most companies have no relation with the

universities, and many of them are of the opinion

that the universities do not constitute a driving

force for technological development, even that

they should be.

The number of university graduates is one of the

highest in Europe, but according to the wage

scales of the different countries, Catalan

graduates have jobs with salaries that are

considerably lower than those of their European

counterparts. It can be said that there is overeducation

that provides no added value in terms

of work, meaning that education given by the

university does not adapt sufficiently to the needs

of the labour market.


CONEIXEMENT I SOCIETAT 13 ARTICLES

In Catalonia, the percentage of all people

between 25 and 64 participating in any

educational activity, is lower than the figure of

5.2% for Spain as a whole and much lower than

that for the EU-15 and than the one which is the

proposed Lisbon goal for 2010. In terms of

people with higher studies, the statistics show

that 31% of all Europeans with this level of studies

never participate again in any kind of education

throughout their professional lives. This figure

goes up to 52% in the case of Spain. 7

Only 9% of university students are enrolled either in

third cycle or further training programmes,

compared to 23% in Europe. This means that the

universities are not attracting people who wish to

retrain, specialise or improve their education on a

life-long basis. 8

This, in overall terms and without going into detail,

is the panorama that presents itself. To summarise

this situation, it appears that the universities and

industry have each gone their own way, with there

being no communication between each other and

In the universities, risk, competitiveness and

accountability are not determining factors for

the managers and workers, or at least have

not been so up until now.

each one with its own interests. Now, however,

with a horizon and intentions that are more

mutually shared, there are definite reasons for

coming together. Such a process will be much

7 EUROPE IN FIGURES. Eurostat yearbook 2006-2007, p.95.

8 Eurostat, 2005.

98

easier to start if an effort is first made to understand

and find out about the realities in which both the

university and industry individually move.

To begin with and regarding their roles, there is the

fact that no institutions are as opposed in their

fundaments and behaviour as the university and

industry, and the mentalities of civil servants

and businessmen could not be more different. In

the world of industry, the risk factor, the existence

of competitiveness, the constant obligation to be

accountable and the profit motive are basic

principles that every businessperson must take

into account in all actions. In the universities, on the

other hand, –especially the public ones–, risk,

competitiveness and accountability are not

determining factors for the managers and workers,

or at least have not been so up until now. Neither is

the profit motive, a principle that is contrary to the

university’s very essence and not highly

appreciated by academic staff, who are much

more stimulated by the prestige of an academic

career than by the earnings they can made. These

differences can be qualified as being essential in

that it will be difficult to overcome them if no radical

change takes place in the conception itself of what

the university is as an institution. One example of

this is the liberalisation of the world market for

higher education, which some economists predict

in the not too distant future despite the fact that, for

the time being, such excessively liberal rhetoric has

little support and receptivity in the world of the

European university.

In spite of these differences, points of confluence

need to be found between the university and

industry where they can come together without

necessarily having to question their fundamental


principles. In order to achieve this, it is essential to

create an appropriate framework of action that,

with regard to the universities which have much

less autonomy than industry, would need to be

defined by way of regulatory measures.

2. The impact of university

legislation on university-industry

relations

A short history of the Spanish university and state

regulation will help to understand the difficulties

that it is facing in adapting to the new requirements

imposed by the new role it is being called to fulfil in

society in general and particularly in relation to

industry, and the main measures that have been

taken in recent years to deal with this.

2.1. The constitution of the Spanish university–

a hangover from the 19th century

The Spanish university as a modern institution was

set up in the mid-nineteenth century. Spain followed

the French Napoleonic model, which, as a result of

the political thinking of Napoleon, was closely tied

to the State and subordinated establishments of

higher education to the needs of the State and the

training of civil servants. This contrasted with the

English model, which was more focused on liberal

education, and the German or Humboldt model,

which put teaching and research activities at

university on a par. Throughout the twentieth

century, a mixed Napoleonic/Humboldt model was

used for the Spanish university in which training for

professionals and research that was subject to a

rigid administrative organisational system

constituted the fundamental principles of the

institution. There were various university reforms

throughout the century, due more however to the

political context of the moment than to any real

99

NEW OPPORTUNITIES FOR UNIVERSITY-INDUSTRY RELATIONS

intentions to reform the institution. Changes

involved the adaptation of the number and contents

of courses for new professions in order to adapt to

the heavy increase in demand and adopt more

open and democratic forms of government, as

called for at the end of the post-Franco era. The

institution, however, remained invariable in its

essence and form. Although the universities were set

up as public administrations that were independent

of other authorities, the truth of the matter is that the

State and, over the last thirty years, the regional

Autonomous Communities in Spain have given the

universities little margin for autonomy in terms

of funding, teaching programmes and forms of

government and organisation. Certain (Spanish)

words and expressions constantly repeated in the

Certain Spanish words and expressions

constantly repeated in the university jargon

give an idea of the centralist and

standardised character that has prevailed

up until the present day in the Spanish

university institution.

university jargon give an idea of the centralist and

standardised character that has prevailed up until

the present day in the Spanish university

institution: títulos de caràcter oficial con validez en

todo el territorio nacional (degrees officially

recognised at the national level in Spain),

homologación de títulos y de planes de estudio

(official approval of degrees and curricula) – as a

synonym for homogenisation and uniformity;

Consejo de Coordinación Universitaria

(Coordinating Council of Spanish Universities) –


CONEIXEMENT I SOCIETAT 13 ARTICLES

with many more competences other than just

mere coordination and responsible above all for

ensuring the same criteria are applied everywhere;

Cuerpo de funcionarios docentes universitarios

(civil servant university teaching corps 9 ), an archaic

name retained over the years, similar to that of other

government employees in long-established

institutions.

The most important changes of the university

reform law of 1983 (LRU) was the authorisation

for private universities to be opened and the

possibility given to the public universities of

being provided with more flexible legal

instruments to operate in the private sector,

such as university foundations and companies.

Given this scenario, it is difficult to imagine the

university successfully taking on the challenges

made on it by society in the twenty-first century

–and in particular by industry. The university will be

unable to participate in a process of innovation if it

does not innovate itself and instead continues to

cling to the centralist and uniformist do-nothing

policy that has always characterised it. Things have

begun to change however or it can at least be

affirmed with a moderate level of optimism that the

foundations are being laid in order for things to

change. A review of the latest legislative changes

regarding universities shows the appearance of a

new framework for action that, while being

100

obviously insufficient as we shall attempt to make

clear below, is in all truth also meant to be more

open, transparent and flexible to facilitate the joint

work they need to carry out with the production

sector. Only the changes that have facilitated or

facilitate a closer relationship between the

university model and that of industry, and those

that expedite their relations, are referred to here.

2.2. The first legislation to deal with the

universities in the democratic period: the LRU

Law 11/1983, on university reform, which was

passed in 1983 10 and is known as the LRU, made

few changes to the organisational model of the

university, whereas in relation to its functioning the

case was the opposite, with more open and

democratic forms being enforced. In relation to the

matter at hand, the most important changes of this

law relative to the previous Francoist legislation

was, on the one hand, the authorisation for private

universities to be opened, which gave cause for a

certain margin of competitiveness between the

universities and, on the other, the possibility given to

the public universities of being provided with more

flexible legal instruments to operate in the private

sector, such as the setting up of university

foundations and companies. The measure allowing

universities to be outside of the auspices of the

State implied the appearance of other

organisational models more proximate to the laws

of the market, and allowed for the appearance of

hybrid universities in terms of the legal system and

the system of funding. This was in reference to

models for universities that from the legal

standpoint are private but funded more or less from

public contributions. The appearance of these new

9 A literal translation (translator’s note).

10 “Law 11/1983 of 25 August, on University Reform”. (Spanish Official Bulletin, BOE (1 Setember 1983) no. 209) Boletín Oficial del Estado; repealed by

“Law 6/2001 of 21 December on Universities (LOU)” Spanish Official Bulletin, BOE (24 December 2001) no. 307.


private and public/private models that were more

adaptable and flexible undoubtedly enhanced the

university system, fostered competitiveness and

was a break from the exclusiveness of the

monolithic public model of university higher

education. As for what in legal terms were the

private structures that the universities could set up

and take title to, on many occasions these were the

only platforms for establishing relations between

the university and society, in particular with industry,

and where public universities could offer their

programmes for continuing training and, in certain

cases, also the transfer of knowledge.

2.3. The social role of the universities under

the Spanish Organic Law on Universities

(LOU), the second law on universities

The second universities law during the democratic

period only appeared at the end of 2001. Law

6/2001, of 21 December, on Universities (LOU), the

Spanish Organic Law on Universities, 11 was an

uneventful law that, once it was passed, everybody

wanted to reform. Mention can be made of the

preamble to the law, which was long and extremely

programmatical in content and not in keeping with

its enacting terms, and it therefore had very little

juridical value. Emphasis was put in the preamble on

the need to increase the autonomy of the

universities –including funding–, and special mention

is made in two sections of the role of leadership that

the university must take on in the process of social

change, and also the challenge that it must deal with

in order for it to become, as an institution, the

mainstay and backbone of the knowledge society. In

the enacting terms, specifically in the first article, this

law defines the function of the university as being at

the service of society, a point that was broken down

101

NEW OPPORTUNITIES FOR UNIVERSITY-INDUSTRY RELATIONS

into four sections and much more extensive and

detailed than that on the educational and research

function. Very precise details are given on its

functions at the service of society:

The Spanish Organic Law on Universities

(LOU) of 2001 defines the function of the

university as being at the service of society, a

point much more extensive and detailed than

that on the educational and research function.

a) The setting up, development, transmission and

criticism of science, technology and culture.

b) Preparation for the practice of professional

activities that call for the application of knowledge,

scientific methods and artistic creation.

c) The diffusion, increase in the value and transfer

of knowledge at the service of culture, the quality

of life, and economic development.

d) The diffusion of knowledge and culture through

further and life-long training.

Following on from the preamble and this first

article, there are references to the transmission of

knowledge and university-industry relations under

heading seven, which the Spanish Organic Law on

Universities devotes entirely to research. It is worth

mentioning article 41, on the promotion of

research, scientific development and technological

innovation at the university, on which the law does

in fact introduce new elements. In the first place, it

specifies that the promotion of these activities is

the jurisdiction of the State and the Autonomous

Communities, aside from the development of the

11 “Law 6/2001, of 21 December, on Universities”. Spanish Official Bulletin, BOE (24 December 2001) no. 307. Boletín Oficial del Estado. (Commonly

referred to in Spain as the LOU, “Ley Orgánica de Universidades”).


CONEIXEMENT I SOCIETAT 13 ARTICLES

universities’ own programmes, and goes on to

mention in eight sections what these government

authorities must ensure concerning the promotion

of these activities. Details are given of the two that

are the most relevant here:

a) The coordination of research between different

universities and research centres, and the setting

up of joint centres and structures between the

universities and other public and private research

bodies, and, where applicable, industry.

b) The link between university research and the

production system, as a means to structure

the transfer of knowledge that is generated and

the presence of the university in the process of

innovation of the production system and

industry. This link may, where appropriate, be

established through the setting up of university

activity technology-based enterprises, where

university teaching and research staff may

participate in activities in accordance with the

system envisaged in article 83.

The LOU enabled the public universities to

incorporate non-civil servant teaching staff

up to a maximum of 49% of the staff.

This sees the governments of the State and the

Autonomous Communities for the first time selfimposing

the duty of assuring the necessary

coordination of and linking up between the university

and the production system, with the universities

even being able to interact with this system by

setting up joint structures.

At the same time, the Spanish Organic Law on

Universities also introduced certain important and

102

innovative aspects in the functioning of the

universities and, to a lesser degree, in the

organisational system. On the one hand, it enabled

the public universities to incorporate non-civil servant

teaching staff –up to a maximum of 49% of the staff–

with the possibility of taking a well-defined academic

or research degree with categories and a much more

flexible contractual system than that of civil servants.

This was certainly a liberalising measure that gave

greater autonomy to the universities to make their

own decisions regarding teaching staff, although its

application was very limited due to the lack of

financial autonomy and therefore the impossibility of

acquiring complementary resources to recruit good

researchers under similar conditions to those offered

by the best universities in Europe and around the

world. The salaries offered by Spanish universities to

prestigious researchers, in addition to the

contemptible problems implied by precariousness

and contractual uncertainty and, in the case of

Catalonia, the high cost of housing, continue to

prevent Spanish universities from competing with the

best in the world to attract these researchers.

Aside from the flexibility of staffing arrangements,

the Spanish Organic Law on Universities also

introduced another noteworthy element, namely the

requirement that the universities be accountable to

society for their actions. For this purpose, a state

quality assessment agency, the ANECA, was set up

under the law, which also permitted the regional

authorities to set up their own agencies in

coordination with the state one. This was the first

time that the universities were made accountable for

what they do and how they do it and put under the

obligation to be assessed according to parameters

comparable to those used in other European

countries. A critical view of the application of this

measure in Spain needs to be given, however. As a

result of the modification of the article 32 of the LOU

( by the Law 4/2007 of 12 april) the ANECA is


governed by Law 28/2006, 12 concerning state

agencies and the improvement of public services,

which in theory regulates such institutions and

ensures their independence relative to the public

authorities. One look at the composition of these

agencies, however, shows that the majority of

people who make up the governing bodies are

directly designated by the State Government and

that staff are mostly government employees. It is

highly possible that their actions end up being

independent, although it is also very reasonable to

think that they won’t be. The Spanish Organic Law

on Universities also specifies that the review

committees for the certification (habilitación) –under

the new law 25/2007, accreditation– of civil servant

staff, must likewise be trained by civil servants of a

category that is at least equal to the one the

candidate is applying to. This means that highly

qualified non-university persons in society are

therefore excluded, together with teaching staff from

private universities and hired (non-civil servant) staff

from public universities. If the intention was to put an

end to the endogamy put into practice so often by

the public universities in the selection of their civil

servant teaching staff, the result appears to be a

mere externalisation of this endogamy in favour of

one theoretically independent agent that in practice

is highly committed to the same old interests.

To sum up and complete the review of the Spanish

Organic Law on Universities, it only remains to be

said that, in spite of the fact that emphasis was put

in the preamble on the need to give the universities

more autonomy, on reading it and in particular

assessing the application of the law, it was

ultimately even more interventionist than the

103

NEW OPPORTUNITIES FOR UNIVERSITY-INDUSTRY RELATIONS

previous legislation in many aspects. In spite of

the relaxation of measures and the inclusion

of accountability described above, the universities

were not given any more capacity to decide their

programming, the defined governing structure was

even more rigid and uniform than the previous one,

and no new capability or allocation was specified

for any alleged financial autonomy.

2.4. The Catalan Universities Law, the first

Catalan legislation to deal with the

universities

Making use of the very limited margin for jurisdiction

that the Spanish Organic Law on Universities made

available to the Autonomous Communities, and

with a large dose of juridical imagination to fill the

few gaps left in this law by state lawmakers, the first

law on universities in the history of Catalonia, Law

1/2003, on Universities in Catalonia 13 (Catalan

Law on Universities), was passed with a broad

consensus. This law introduced certain aspects of

special significance regarding modernisation

of the university institution and especially for the

university’s relations with industry.

In 2003, the first law on universities in the

history of Catalonia, was passed with a broad

consensus.

The flexibility of staffing arrangements made

possible under the Spanish Organic Law on

12 “Law 28/2006, of 18 july, on State Agencies for the Impovement of Public Services”. Spanish Official Bulletin, BOE (19 July 2006) no. 171, in Spanish.

Boletín Oficial del Estado.

13 Known as the LUC. “Law 1/2003 of 19 February on Universities in Catalonia”. Catalan Official Journal, DOGC (20 February 2003) no. 3826, p.

3326, in Catalan. Diari Oficial de la Generalitat de Catalunya.


CONEIXEMENT I SOCIETAT 13 ARTICLES

Universities (BOE) was carried out to the maximum

in Catalonia, with the academic career being defined

for contracted teaching staff at public universities

that was complementary to or a substitute for civil

service staff, although equally as demanding. For

the first time since the Republican government in

Catalonia, the following posts for contracted

teaching staff with an indefinite employment

contract were regulated: professor, associate

collaborating professor (professor agregat) and

permanent lecturer (col·laborador permanent). One

section was also dedicated to academic research

staff, and a special mention made to recruitment by

the universities of post-doctoral research staff, and

the linking of such staff by way of collaboration

agreements to the development of projects with no

alteration to legal entailment with the entity where

such staff may come from.

Assessment of the quality of the universities’

degree programmes, services and administration

and the publicising of the results has

been carried out since 1996 in Catalonia by the

Catalan University System Quality Assurance

Agency (AQU Catalunya).

As for accountability, the Catalan Law on

Universities assigned a more important role to the

Catalan University System Quality Assurance

Agency (AQU Catalunya) which had already begun

to operate in 1996, when it was set up under a law

by the Catalan Government’s Executive Council. 14

104

The activities of AQU Catalunya are of much

broader scope than those of the ANECA state

agency. Assessment of the quality of the

universities’ degree programmes, services and

administration and the publicising of the results has

been carried out for a considerable number of years

in Catalonia. On certain occasions and in some

processes, its independence has been questioned

due to the close links that, like the ANECA, it

maintains organically with the Executive Council

and the same public universities that are assessed.

With regard to the matter at hand however,

mention must be made of section two of heading

one of the Catalan Law on Universities, entitled

Research, technology transfer and knowledge

transmission, as this was the first law to appear in

Spain that brought together these three concepts

for regulation purposes. The nine articles in this

section contain both programmatical proposals

and specific guidelines for action that are binding

on both the universities and the Executive Council.

For the first time there was a regulatory law for the

universities on concepts such as science and

technology parks, innovation and enterprise, and

under the law these were linked to research and

the transfer of technology and knowledge. Points 1

and 2 of article 26 are reproduced below, which we

believe to be of special relevance:

«1. The corresponding government department

with regard to universities and the public

universities themselves must adopt appropriate

measures to give impetus to technology transfer

and the transmission of knowledge to society.

For this purpose, the universities may set up and

promote entities, centres and structures.

14 See “Order 355/1996, of 29 October, concerning the setting up of the Consortium/University System Quality Assurance Agency (Consorci Agència per

a la Qualitat del Sistema Universitari a Catalunya)” and the article 139 of the LUC that transforms this agecy in a public entity of the Generalitat governed

by private law.


2. The Executive Council of the Catalan

Government, within the framework of its policy on

research and innovation, must carry out support

actions that give incentive to collaboration

between the universities and between the

universities and industry and society in general.»

With these self-imposed obligations, the

Autonomous Government of Catalonia directed

various projects to stimulate the necessary

collaboration between the universities and

industry, most of which were developed by the

Centre for Innovation and Business Development

(CIDEM). Mention must also be made of award

schemes to encourage the hiring of researchers

in industry, such as the FIE pre-doctoral grants,

the Beatriu de Pinós post-doctoral grants and the

ICREA Junior enterprise (Junior Empresa)

contracts (made available by the Directorate

General for Research).

2.5. The reform of the Spanish Organic Law on

Universities. Time to be specific

It has only been with the recent Law 4/2007, of 12

April, which amended the Spanish Organic Law on

Universities, 15 that there has been a glimpse of the

state lawmakers’ clear willingness to promote

university-industry relations, above all through lifelong

training and knowledge transfer, with

references to these issues in the preamble and the

enacting clauses, which do bring in specific

measures and not just displays of willingness.

Before going into the detail of these measures,

however, it is worthwhile mentioning the feeling of

frustration of a wide sector of the Spanish university

community, in particular in Catalonia, which

expected this law to be a simple reform of those

105

NEW OPPORTUNITIES FOR UNIVERSITY-INDUSTRY RELATIONS

aspects of the Spanish Organic Law on Universities

that were either more controversial or difficult to

apply and was looking forward to a new law

reached more by consensus that would imply a

break and the removal of restraints and give the

universities a definitive autonomy of much broader

scope. In the end, the law has failed to break with

the interventionism of previous legislation –the

alleged increase in autonomy includes very little

more than the system for electing the rector– and,

according to some, there is even more interest in

defending corporate interests than under the law

that it sought to reform.

With the recent amendmend of the Spanish

Organic Law on Universities, there has been a

glimpse of the state lawmakers’ clear willingness

to promote university-industry relations.

In relation to the matter being dealt with here, the

new law does however bring in certain innovative

elements to expedite the university’s relations with

industry, which are mentioned below :

1. The Steering Committee for University Policy

(Conferència General de Política Universitària) is

conferred with the function of proposing and

assessing measures to promote collaboration

between the university and industry.

2. Heading seven is now titled “University research

and knowledge transfer”, with knowledge

transfer being considered to be the necessary

result of research.

15 “Law 4/2007, 12 April, which amended Law 6/2001, of 21 December, on Universities”. Spanish Official Bulletin, BOE (13 April 2007) no. 89. Boletín

Oficial del Estado.


CONEIXEMENT I SOCIETAT 13 NOTES

3. Article 41 was amended, with the addition of a

particularly important section:

«Knowledge transfer is a function of the

universities. They determine and establish

the necessary means and instruments to

facilitate the provision of this social service by

teaching and research staff.

The exercise of this activity shall give right to the

assessment of results and the recognition of

merits attained as a relevant criterion to establish

levels of efficiency in the performance of their

professional activity.

The universities shall foster cooperation with

industry, in accordance with the provisions of

article 83. For this purpose, they shall promote

teaching and research staff mobility, and also

the joint development of programmes and

projects on research and technological

development, the setting up of centres and

joint structures, and the membership of

and active participation in knowledge networks

and technology platforms».

Since now, additional salary increments

associated with individual merits may be

established for functions like technological

development, knowledge transfer and

management.

4. Amendments have been made to the articles

that refer to salary increments for contracted

teaching staff (art. 55), teaching staff civil

servant (art. 69) and administration and service

staff (art. 74), as follows:

106

Regarding hired teaching staff:

«The Autonomous Communities may also

establish additional salary increments associated

with individual merits in the following functions:

teaching activity and assignment, teacher training,

research, technological development, knowledge

transfer and administration […]»

«Without prejudice to the provisions of the previous

section, the State Government (of Spain) may

establish incentive scheme programmes for

teaching, research, technological development

and knowledge transfer for the exercising of

functions referred to in the previous section, in

relation to contracted teaching and research staff.»

Regarding civil servant teaching staff:

«The State Government may establish additional

salary increments associated with individual merits

for the exercising of the following functions:

teaching activity and assignment, teacher training,

research, technological development, knowledge

transfer and administration.»

«The Autonomous Communities may also

establish additional salary increments associated

with individual merits in teaching, research,

technological development, knowledge transfer

and administration […»

Regarding administration and service staff:

«The State Government (of Spain) and the

Autonomous Communities may establish incentive

scheme programmes for individual merits

associated with their contribution to improvements

in research and knowledge transfer.»

5. Lastly, the new law includes a new section under

article 83 of the original Spanish Organic Law on

Universities, which specifies the conditions

according to which academic staff may

participate in technology-based enterprises:

«Provided that a technology-based enterprise is


set up or developed on the basis of patents or

results produced by research projects funded

totally or partially by public funds and undertaken

in universities, civil servant teaching staff from the

university’s academic staff and contracted

teaching staff permanently link to the university

that supports their participation in the

abovementioned projects, may request

authorisation to be hired by such an enterprise on

temporary leave of absence. The Government,

subject to a report by the Steering Committee on

University Policy, shall regulate the conditions

and procedure for the granting of leave of

absence, which shall be given for a maximum of

five years. During this period, a leave of absence

shall entail the right to a job being reserved and

its calculation for the purposes of length of

service […].»

These are highly significant changes in relation to

the previous legislation because, for the first time,

an explicit definition is given of the agents carrying

out the social service of technological

development and knowledge transfer, namely,

teaching and research staff with the support of

administration and service staff. Previous

legislation attributed these functions to the

«university» in a generic way, without explicitly

involving anyone in the process, as if they were

institutional matters that the governing bodies

would take care of. One must remember that, up

until this new law, academic staff were only under

the obligation to carry out teaching and research

work and, on a voluntary basis, administration,

and only these jobs could be assessed and taken

into account for promotion and additional salary

increments. As of this new law, academic staff

may also specialise in knowledge transfer and

technological development, and these activities

will give them the right to be assessed and the

results recognised for determining efficiency and

107

NEW OPPORTUNITIES FOR UNIVERSITY-INDUSTRY RELATIONS

taken into account for salary bonus purposes.

This is an important step forward because, as

mentioned above, university teaching staff are

often more stimulated by the prestige of an

academic career than by the possible economic

earnings they can make.

Given these initial regulatory elements of the

«social» activity –as the law itself terms it– to be

carried out by academic staff, it is vitally

necessary for the corresponding authorities with

jurisdiction over the universities, together

with the universities themselves and the

participation of the assessment agencies, to agree

on certain issues that are still pending. In the first

place, a clear definition is needed of what is meant

by knowledge transfer and technological

development and what the threshold is separating

these activities from applied research. Secondly,

clear and objective criteria need to be incorporated

into assessments in order to qualify these activities

and determine the influence given to such

qualification in the overall assessment of the

curriculum.

In the documents that define the new

organisation for university education in Spain in

accordance with the European scenario –under

debate at the present time– there are also

elements that encourage university-industry

relations, in this case in the field of training. The

most noteworthy is the autonomy given to the

universities to define degree programmes

without the restriction that there has been up

until now of having to limit themselves to a strict

official catalogue. This means that each

university will be able to introduce degree

programmes with the name and contents it

considers to be most appropriate and according

to the goals it has set for its educational

provision. It is also important to point out that, in


CONEIXEMENT I SOCIETAT 13 NOTES

order to define new degree programmes, the

universities will have to search for outside

benchmarks and justify the social benefit of their

implementation. Moreover, in the programming

of new recognised undergraduate and

postgraduate degrees they will have to take

career development and lifelong learning into

account, which up until now has never been

taken into consideration in ordinary university

programming. These requirements will make it

necessary for social agents to be incorporated

into the universities to define the contents of new

curricula, especially to define the skills and

competences that graduates will need to have

acquired in order to successfully gain

employment. The universities will also need to

adapt their provision through consideration of the

requirements of industry for worker retraining

and specialisation.

In order to define new degree programmes,

the universities will have to search for outside

benchmarks and justify the social benefit of

their implementation.

To sum up, it can be said that the activities of

knowledge transfer, technological development

and continuous education, i.e. what is essential for

any process aimed at innovation, and that up until

now have been considered to be secondary and of

little academic value by the universities, will from

now on have a status and be given consideration

that will almost certainly stimulate teaching staff,

the real figure at the centre of this new model for

university-industry relations that needs to be set in

place. The university will need to be on the alert to

108

social needs and, in particular, the needs of

industry, and industry will be able to find in the

universities the answers to its needs so it can grow

and innovate, or at least that is the intention with

the new university scenario.

2.6. The deficiencies of the current university

framework

In spite of the changes in this latest legislative

reform, it remains to be seen whether the incentive

measures introduced, aside from improving

university-society relations, have any effect on the

indicators referred to at the beginning of this article,

and if they are really valid for improving the position

of Spanish universities in international rankings.

Bearing in mind the methodology used by the most

prestigious and recognised institutions that draw

up rankings, one can envisage that they will indeed

signify a slight improvement in their position,

amongst other reasons, because it is highly likely

that there will be an increase in the external

resources obtained by the universities, one of the

main indicators taken into account in these

rankings. At all events, by looking at trends in

American and British universities and the advances

being made by universities in South East Asia,

particularly in China, one realises that there is still a

very long way to go, and perhaps more liberal

measures than the current ones will be needed to

interact with the private sector and break into the

top ranking positions. Even Chinese society, which

has a much more rigid civil service than in Spain,

has become aware of the need to implement these

measures.

In order for them to be introduced, university

legislation would need to be passed in Spain to

remove rather than compile any restraints and

which defined the functioning of the university on

the basis of just two principles, autonomy and


accountability. This autonomy should include the

institution’s three basic mainstays: academic

(teaching and research), financial (the freedom to

set fees and hire teaching staff) and government (to

be able to define their own governing and

administrative structures). At the same time, the

universities, especially the public ones, should be

accountable to society for their actions and not just

to the respective university communities, which

would be possible by defining new mechanisms

–above all in the election or designation of the

rector– or making the existing ones, such as

the university social councils and the assessment

agencies, more precise. Parallel to this, the

administrations obviously need to establish a grant

system that more than ever safeguards against

social discrimination in university admissions. Only

with measures of this type –which are already

beginning to be undertaken by some European

countries– will the modernisation of the Spanish

university be really possible so it can compete with

the best in the world and improve its position in the

top rankings.

3. The framework of action for

industry

The universities have always thought that society

has very little idea about university. This is a welljustified

belief but erroneously they often attribute

this ignorance to the lack of social interest in the

university when it is really the university that has

often remained on the sidelines of everything going

on around it. The university thinks that industry is to

blame for the lack of understanding, and they are

right if one compares the role and commitment

adopted by the production sector with the

university in countries that are more advanced than

Spain. It is also about time to recognise that

the universities hardly do anything to gain the

109

NEW OPPORTUNITIES FOR UNIVERSITY-INDUSTRY RELATIONS

confidence of industry, and they even go the other

way and often stir up misgiving and distrust.

It remains to be seen whether the incentive

measures introduced, aside from improving

university-society relations, have any effect

on the economic indicators.

With regard to the subject of innovation and

research, small and medium-sized companies

(SMEs) see the university as being an institution

that is too big and way above their possibilities,

whereas large companies prefer to create their

own research departments or go to centres

outside of the university because these are more

receptive and respond much faster. As for the

training of their employees –whether this is for

retraining or specialisation–, companies again fail

to take into account what the universities have to

offer: SMEs often find them too specialised and

they tend to turn to the ones that offer union and

business organisations, while large companies

prefer to organise things themselves, generally

with specific training plans, because, for

example, the one offered one year by the

university does not fit its specific requirements or

because doing it themselves is more flexible in

terms of time or travel.

One complaint often made by industry is the

difficulty to find the right place to make inquiries:

which university, research centre or other place

should one go to in order to get an answer to ones

needs? In Catalonia, the truth of the matter is that,

aside from the universities, there is a great

proliferation of centres, bodies and structures


CONEIXEMENT I SOCIETAT 13 NOTES

specialising in R&D in areas that are often identical

or very similar but that act independently and very

competitively between each other, and the

complaint is thus often well-founded.

Nevertheless, in this regard it is fair to say that the

Ministry of Innovation, Universities and Enterprise

is currently making a great effort to put this

information in order: the Ministry’s website gives

the list of universities’ research groups, research

centres, science and technology parks, etc., and

specifies the lines of action, fields of specialisation

and contact information for each one. The Centre

for Innovation and Business Development (CIDEM)

has also proved itself to be an efficient body in

giving guidance to companies requiring this type of

service. Of particular interest is the FISUB

database on funding and grants, 16 which is

available on the CIDEM website, which gives

information on the funding resources made

available by the authorities in Catalonia, Spain and

Europe to industry for R&D&I projects. In June

2007, there were eighty types of grant for funding

and subsidies for R&D&I projects.

A similar complaint regarding the dispersion of

interests and lack of coordination could be made

by the universities about industry. Competitiveness

between companies in the same sector prevents

them from acting in a coordinated way and seeing

the possibilities of cooperation in business

innovation projects. The specialised training of

employees, internationalisation, and innovation in

processes and the organisational system can be

joint goals that are independent from the individual

goal of product innovation, which does pursue the

legitimate interest of positioning oneself in the face

of the competition. This is why clusters and other

business networks set up to deal with innovation

16 .

110

through investment in R&D can turn out to be so

highly beneficial for both industry and the

universities and other research structures. Projects

of wider scope can be handled and sufficient time

given to the planning of material and especially

human resources that need to be allocated by the

university or body in question.

All things considered, and aside from increasing

investment, the big challenge is to break the circle

of lack of confidence that prevails in universityindustry

relations, and this will only be possible if

both institutions give from their side. The university

must be more receptive to the demands of

industry, both large-scale and SMEs, and do so in

an unabashed way and clearly state and

incorporate the «third mission» of service to society

into its discourse in a versatile and dynamic way, as

called for by society which is in constant evolution.

Industry must in turn do its share and have more

confidence in what the university has to offer, and

turn to it even when it needs something that the

university may not be offering but that it is in a

condition to organise.

The new legislative framework for the university

must facilitate this change in attitudes that both the

universities and companies are destined to adopt,

for their own good and, connected to what was

said at the beginning, that of the country.

4. The role of government

authorities

In this scenario, the third main figure in the

change is the public sector. In everything that

occurs, it is the role of the public administrations


to observe, take initiative and promote the

change, and to create the appropriate conditions

in order for industry and the universities to find the

support and ways to interact. Legislative actions

within the university framework should also be

extended to the industrial framework with

incentive measures that are of broader scope

than the current ones for joint R&D and Innovation

projects with universities. Note is made, for

example, of subsidies to industry for the

specialisation of workers in university continuous

training programmes, tax incentives for taking on

students in sandwich courses, grants for

contracting technological development and

knowledge transfer from universities, and the

signing of contract-programmes between

government authorities, business organisations

and networks and the universities for sectoral or

regional quality and innovation projects. Special

attention will need to be paid to SMEs in these

measures because they face many more

difficulties to gain access to universities, research

centres and technology parks, and even more so

if they are located a long way from large

metropolitan areas.

Spain will continue to receive an important

contribution of money from European structural

funds for R&D and Innovation projects until 2013.

As to cohesion funds, which are linked to the

degree of development of the region where they

are allocated, the purpose of this money will be to

fund specific projects presented by the different

regions, irrespective of their level of development,

with corrective mechanisms that are envisaged to

benefit more disadvantaged regions. Projects

capable of being allocated these funds therefore

need to be defined and designed, and now is a

good time to stimulate joint collaboration

between governmental authorities, the

universities and industry to define them. It would

111

NEW OPPORTUNITIES FOR UNIVERSITY-INDUSTRY RELATIONS

be an error for new projects to be devoted –as

has occurred with other social and structural

funding received previously– to the setting up of

new local, municipal, provincial, regional or state

structures used to promote, give impetus to,

bring about, plan or coordinate relations between

industry and the universities and R&D bodies, i.e.

that are devoted to carrying out all the actions

which the university community is accustomed

to, but that are becoming increasingly

incompatible with industry’s understanding of

what the verb «to do» means. It would also be

unfortunate, despite the fact that it is happening,

for each administration to allocate available funds

via grant schemes and calls for funding with

almost identical goals and the same beneficiaries;

having to be up-to-date on everything and, even

more so, prepare the documentation required for

each application is an arduous task and offers

little incentive to universities and industry. Instead

of this, existing structures need to be reviewed

and unified, actions defined on the basis of the

verb “do”, and clarification given to the jurisdiction

of the different administrations regarding the

management of existing resources.

We stress, in the good sense of the word, that

this Government needs to set up a department

that brings together industry and universities so

that, in addition to giving impetus to relations

between the two, structures set up in a

uncoordinated way throughout the country, with

the universities on the one hand and industry on

the other, can be reviewed and simplified.

5. The commitment to territorial

development

At this point we refer back to the beginning to

deal, and not just as an aside, with the second


CONEIXEMENT I SOCIETAT 13 NOTES

ingredient in the formula that will allow for

consolidation and progress to be made in the

Spanish economy, namely, the need to improve

transport, energy and telecommunications

infrastructures and how, as mentioned above,

the responsibility here lies mainly with the

government. Nevertheless, it is also fair to say

that governments call for a more active role from

private enterprise and the universities, as both

are stakeholders that are directly involved: the

universities, in terms of what they can contribute

in the field of technological research, and

industry, because it will benefit the most. So with

this confluence of interests and resources,

thought also required regarding how to regulate

their relations so that progress can be jointly

made towards this goal. Issues like

environmental problems, the use of renewable

energies, waste, sustainable transportation,

logistic parks, the setting up of science and

technology parks, the use of new technologies,

etc., should be on the agendas of politicians,

industrialists and the universities, and be dealt

with jointly. Initiatives like the meeting last April

between representatives from industry and the

universities, calling for the management of the

Barcelona airport by the Catalan authorities, is a

clear demonstration of the willingness of these

institutions to collaborate with the Catalan

government on an issue of social significance

that goes way beyond the particular interest of

one side or the other. The Administration should

use this willingness to the full, and it will need to

find the mechanisms to involve them in this and

other projects, either by exerting the necessary

112

pressure or by creating favourable opinion in the

respective spheres of action, in order to

ultimately be successful.

All things considered, we believe that it is time to

work jointly in a more decisive and organised way.

Business people and politicians should see the

advantage in the availability of an entire university

system which can be accessed for both

knowledge transfer and training as well as solving

social problems. The universities and politicians

should become more concerned with the

requirements of industry if the country is to grow

both socially and economically, and business

people and university should ultimately work more

with the politicians to provide solutions to the

various problems facing the country, particularly

infrastructure and the environment.

In order for this joint work to be done, the

stakeholders must overcome the temptation of

fundamentally looking after their own particular

interests. The university must become more

involved with the problems and needs around it,

industry must see that, in order for progress to be

made, it must innovate, invest in human capital,

and trust in the university, and they must both work

jointly, together and with the government

authorities, concerned about and involved in

providing solutions to the problems of logistics and

infrastructure within their geographical scope. And

in the end, it is the politicians who must know how

to deal with these problems by overcoming

legitimate, yet inadequate territorial or partisan

interests.


References

Datos y Cifras del Sistema Universitario Español. Curso 06-07 [on-line]. Madrid: Ministerio de Educación y Ciencia, 2007, p. 27

Available at: http://www.mec.es/educa/ccuniv/html/estadistica/Datos/DATOS0607.pdf [Date consulted 10/7/07].

HERNÁNDEZ, Juan (Dir.) La Universidad española en cifras (2006). Madrid: CRUE, 2006, p. 639. ISBN 84-932783-6-X.

Indicadores bibliométricos de la actividad científica española. [on-line]. Observatorio FECYT de Política Científica y Tecnológica.

Madrid: Ministerio de Educación y Ciencia y Fundación Española de Ciencia y Tecnología, 2004.

Available at: http://sise.fecyt.es/Estudios/Doc/indicadores_bibliometricos.pdf [Date consulted 10/7/07].

Indicadores del sistema español de ciencia y tecnología. 2005. [on-line]. Madrid: Ministerio de Educación y Ciencia, 2007.

Available at: http://www.mec.es/mecd/estadisticas/ciencia/indicadores/Indicadores_2005.pdf [Date consulted 10/7/07].

Informe CYD 2005. [on-line]. Barcelona: Fundación CYD, 2005, p. 320.

Available at: http://www.fundacioncyd.org/Publicaciones/informecyd2005.asp [Date consulted 10/7/07].

Informe CYD 2006. Barcelona: Fundación CYD, 2006, p. 347.

Available at: http://www.fundacioncyd.org/Publicaciones/InformeCyD2006_informe.asp. [Date consulted 10/7/07].

Presencia española en las élites de la investigación mundial [on-line]. Universidad Internacional Menéndez Pelayo. Madrid: Ministerio

de Educación y Ciencia, 2006.

Available at : http://wwwn.mec.es/ciencia/cte/files/Modrego-la-ciencia-espanola.pdf [Date consulted 10/7/07].

TORRENTS, Ricard; Les raons de la universitat. Vic: Eumo Editorial, 1993, p. 227. (Interseccions 17) ISBN 84-7602-136-4.

TORRENTS, Ricard; Noves raons de la universitat. Un assaig sobre l’espai universitari català. Vic: Eumo Editorial, 2002. p. 274

(Interseccions 27) ISBN 84-7602-378-2.

Sistema estatal de indicadores de la educación 2004. Participación en el aprendizaje permanente. [on-line]. Madrid: Ministerio de

Educación y Ciencia, 2006.

Available at: http://www.ince.mec.es/Indicadores%20Publicos/pdfs/e7.pdf. [Date consulted 10/7/07].

113

NEW OPPORTUNITIES FOR UNIVERSITY-INDUSTRY RELATIONS


116

Catalan policies and

experiences on cooperative

repositories

Miquel Huguet, Lluís Anglada

and Ricard de la Vega

notes

132

144

International centre for

numerical methods in

engineering (CIMNE).

Twenty years on

Eugenio Oñate

IRTA: Researching the

present to bring the future

closer

Josep Tarragó


CONEIXEMENT I SOCIETAT 13 NOTES

CATALAN POLICIES AND EXPERIENCES ON

COOPERATIVE REPOSITORIES

Miquel Huguet*, Lluís Anglada** and Ricard de la Vega***

In 1999, the Supercomputing Centre of Catalonia (CESCA) and the Consortium of Academic Libraries of

Catalonia (CBUC) created an online repository of doctoral dissertations (Tesis Doctorals en Xarxa, or TDX)

aimed at providing open access to full-text digital-format doctoral dissertations submitted to Catalan

universities. This service, which guarantees full protection of the intellectual property rights of the authors,

was launched in 2001 and is by now fully consolidated in Catalan universities and in a number of Spanish

universities. Since 2001, four other online repositories have been created, as follows: RECERCAT (Dipòsit de la

Recerca de Catalunya) for Catalan research articles, RACO (Revistes Catalanes amb Accés Obert) for Catalan

scientific and cultural journals, PADICAT (Patrimoni Digital de Catalunya) for Catalan web pages, and finally,

MDC (Memòria Digital de Catalunya) for digital collections of paintings, maps, posters, old magazines, etc. The

five repositories share the following features: they are open access, i.e., they are freely available via the

Internet; most apply the Open Archives Initiative protocol, which facilitates the efficient dissemination of

content; they have been created collectively so as to make it easier to adopt common procedures and share

repository development and maintenance costs; they ensure greater visibility for indexed documents; and

finally, they establish conditions for the long-term preservation of information. This article describes the

common policies established for repositories in Catalonia, provides a brief description of each of the five

repositories, and reviews experiences in the six years since the first repository was created.

Key words: e-science, institutional repository, online storage, open access, research.

* Miquel Huguet is Director of the Supercomputing Centre of Catalonia (CESCA).

** Lluís Anglada is Director of the Consortium of Academic Libraries of Catalonia (CBUC).

*** Ricard de la Vega is Leader Expert of information repositories and at CESCA portals.

116


Contents

1. Introduction and aims

2. Repository policies

2.1. Open access

2.2. The Open Archives Initiative

2.3. Advantages of cooperation

3. Catalan repositories

3.1. TDX (Tesis Doctorals en Xarxa)

3.2. RECERCAT (Dipòsit de la Recerca de Catalunya)

3.3. RACO (Revistes Catalanes amb Accés Obert)

3.4. PADICAT (Patrimoni Digital de Catalunya)

3.5. MDC (Memòria Digital de Catalunya)

4. Experiences

5. Conclusions

1. Introduction and aims

In 1998, the Generalitat de Catalunya (Government

of Catalonia) and LOCALRET, 1 a consortium of

Catalan local authorities, began to consider how to

promote the development and use of the

information and communications technologies

(ICTs) in a variety of settings (public administration,

education, culture, healthcare, etc.). The outcome

of this process was an Information Society

Strategic Plan, 2 which was presented to the

1 .

2 GENERALITAT DE CATALUNYA, 1999.

3 This agreement was entitled “La universitat, un laboratori de la Societat de la Informació”, 1999.

4 Supercomputing Centre of Catalonia, .

5 Catalan Consortium of University Libraries, .

6 Tesis Doctorals en Xarxa (TDX),

117

CATALAN POLICIES AND EXPERIENCE ON COOPERATIVE REPOSITORIES

Parliament of Catalonia on 14 April 1999. This

project led to an agreement 3 between Catalan

universities, the Supercomputing Centre of

Catalonia (CESCA) 4 and the Consortium of

Academic Libraries of Catalonia (CBUC), 5 on 8

September 1999, to create a digital repository of

doctoral dissertations which could be consulted

remotely over the Internet. This repository, called

Tesis Doctorals en Xarxa (TDX) 6 and launched in

February 2001, was the first such repository

created in Spain.


CONEIXEMENT I SOCIETAT 13 NOTES

At the end of 2003, the Max Planck Society drew

up the Berlin Declaration on Open Access to

Knowledge in the Sciences and Humanities, 7 in

support of the widespread and transparent

dissemination of scientific knowledge and human

reflection using the new possibilities offered by

the Internet. The Declaration proposes

disseminating knowledge, not only in classical

ways but also through the open access

paradigm, i.e., by providing free and open

access to knowledge via the Internet –as an

alternative to paying for access to information

generated using public funds.

There are five Catalan digital repositories

available to the scientific community: TDX,

RECERCAT, RACO, PADICAT and MDC.

Some 226 organizations from all over the world,

including the Generalitat (Government of

Catalonia), have underwritten the Declaration.

Although not a signatory of the Declaration until

24 March 2006, the Generalitat has been a major

promoter of the open access principle, as

evidenced by TDX and the four other repositories

available to the scientific community in Catalonia:

RECERCAT for Catalan research articles, RACO

for Catalan scientific, cultural and academic

journals, PADICAT for Catalan web pages, and

MDC for digital collections of paintings, maps,

posters, old magazines and journals, etc.

118

The aim of this article is to describe these repositories

and the experiences associated with their

development and management. First of all we

describe the policies established for these

repositories, then we explain the aims and

programming of each repository, and finally we

describe some experiences with using the

repositories.

2. Repository policies

The Scholarly Publishing and Academic Resources

Coalition (SPARC) 8 defines institutional electronic

repositories as digital collections that capture and

preserve the intellectual output of university

communities. Such repositories have certain

features in common:

– They contain documents generated by

institutions.

– They are academic in nature.

– They are accumulative and durable.

– They are open and interoperable.

Clifford A. Lynch 9 provides another definition of the

repository, as follows: «a university-based

institutional repository is a set of services that a

university offers to the members of its community

for the management and dissemination of digital

materials created by the institution and its

community members. It is most essentially an

organizational commitment to the stewardship of

these digital materials, including long-term

preservation where appropriate, as well as

organization and access or distribution.»

7 Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities .

8 Scholarly Publishing and Academic Resources Coalition (SPARC) .

9 CLIFFORD, 2003.


All the Catalan repositories are open access and

committed to conserving documents and reference

URLs as well as respecting the interoperability

protocol created by the Open Archives Initiative

(OAI). 10

2.1. Open access

Authors, libraries, universities and centres that fund

research have fostered the concept of providing

open access to scientific data. The aim of open

access is to create an alternative to the paradigm

in which access to information generated by an

institution has to be paid for.

As mentioned previously, the Berlin Declaration

was drawn up at the end of 2003 with the aim of

defending and maintaining new possibilities for

disseminating knowledge, and not only via

traditional methods but also via open access over

the Internet. It also defines the open access

principle as making available a universal

knowledge and cultural heritage fund that has

been approved by the scientific community.

Open access contributions should, according to

the Berlin Declaration, satisfy two conditions: the

author (or authors) and those holding the rights to

works performed in collaboration must guarantee

all users the right to open access [...], with

permission to copy, use, disseminate, transmit,

and present the work in public [...] for whatever

responsible purpose, in exchange for the

undertaking of properly attributing authorship; and

a complete version of the work [...] must be

deposited in a suitable electronic format in a site

online. Files are managed and maintained by an

10 Open Archives Initiative (OAI) < www.openarchives.org>.

11 REOYO, S. et al., 2006.

12 OAlster, .

119

CATALAN POLICIES AND EXPERIENCE ON COOPERATIVE REPOSITORIES

academic institution, research body, public

authority, or organisation with the know-how and

capacity to ensure open access.

2.2. The Open Archives Initiative

The repositories use an interoperability protocol

created by the Open Archives Initiative (OAI) that

increases e-information visibility by enabling the

sharing of repository metadata 11 with other

international repositories (for example, OAlster). 12

According to the Berlin Declaration of 2003,

the open access principle makes available a

universal knowledge and cultural heritage

fund that has been approved by the scientific

community.

The OAI, which develops and promotes

interoperability standards that enable rapid and

efficient dissemination of content, arose as part of

the movement in favour of open access and

institutional repositories. With time the OAI has

gradually developed to include full and complete

access to digital resources for the purposes of

e-scholarship, e-learning and e-science.

An important standard is the OAI Protocol for

Metadata Harvesting (OAI-PMH), which is an

application-independent interoperability framework.

There are two classes of participant in metadata

harvesting: data providers, which administer


CONEIXEMENT I SOCIETAT 13 NOTES

systems that support the OAI-PMH as a means of

exposing metadata; and service providers, which

use metadata harvested via the OAI-PMH as a basis

for building value-added services.

2.3. Advantages of cooperation

A key characteristic of the repositories is that they

are created collectively, that is, as a joint initiative

of most of the Catalan universities that form part of

the CESCA and CBUC consortiums (University

of Barcelona, Autonomous University of Barcelona,

Technical University of Catalonia, Pompeu Fabra

University, University of Girona, University of Lleida,

Rovira i Virgili University, Open University of

Catalonia, and Ramon Llull University).

The participation of a range of centres and

universities enables the adoption of common

procedures and the sharing of development

and maintenance costs.

The first advantage for the Catalan university

system is that the participation of a range of centres

and universities enables the adoption of common

procedures and the sharing of development and

maintenance costs. Thus, universities can focus

wholly on research rather than on maintaining the

research e-infrastructures.

The second advantage of the repositories is that

they ensure greater visibility for indexed

13 RECERCAT (Dipòsit de la Recerca de Catalunya) .

14 RACO (Revistes Catalanes amb Accés Obert).

120

documents, which can be located using search

engines. This showcases the research generated

by institutions and universities, fosters the

development of e-science, and contributes to

the development of the information society in

Catalonia.

Finally, a third advantage is that the repositories

provide the conditions for conserving information

over the long term. The inclusion of dissertations,

research documents and research articles

produced in Catalonia in a set of catalogues –a

significant and innovative difference with respect to

other similar initiatives– will help ensure the

preservation of the material.

3. Catalan repositories

In 1999, CESCA and CBUC created an online

repository for digital storage of the full text of

doctoral dissertations submitted to Catalan

universities, to be made available to the rest of the

world via the open access protocol. This

repository, called Tesis Doctorals en Xarxa (TDX)

and launched six years ago, is now fully

consolidated.

The positive results of this initiative encouraged

the Generalitat (Government of Catalonia) to

sponsor a further two open access repositories:

RECERCAT (Dipòsit de la Recerca de

Catalunya) 13 and RACO (Revistes Catalanes amb

Accés Obert). 14 RECERCAT is a digital repository

that includes the research works of Catalan

universities and research centres, including

unpublished articles, documents, research


eports, working papers, dissertations, etc,

whereas RACO is an open access repository

containing full-text articles from Catalan scientific

and cultural journals. In September 2006, the

Catalan National Library 15 in cooperation with

CESCA launched an ambitious project to create a

fourth repository. Called PADICAT (Patrimoni

Digital de Catalunya), 16 this repository is aimed at

ensuring permanent access to Catalan web

pages in digital format, while guaranteeing that

the traditional document creation cycle

(compilation, management, preservation and

dissemination) is maintained for bibliographic

material published in the Internet.

The latest repository to be launched is MDC

(Memòria Digital de Catalunya), 17 operational since

November 2006. Coordinated by CBUC and the

Catalan National Library, this repository of digital

magazine and journal collections, art works, maps,

posters, bookplates, etc. can also be consulted in

open access online.

3.1. TDX (Tesis Doctorals en Xarxa)

TDX is a cooperative repository which contains, in

digital format, full-text versions of doctoral

dissertations submitted to 17 universities (13

located in Catalan speaking areas of Spain and 4 in

the rest of Spain) which can be consulted remotely

over the Internet. Users can search by author,

director, title, subject, university, department, year,

etc. The aims of this repository are as follows:

– To disseminate the results of university research

15 Catalan National Library , .

16 PADICAT (Patrimoni Digital de Catalunya), .

17 MDC (Memòria Digital de Catalunya), .

121

CATALAN POLICIES AND EXPERIENCE ON COOPERATIVE REPOSITORIES

around the world over the Internet.

– To increase author visibility and access to their

work.

– To improve dissertation cataloguing and

bibliographic processes.

– To promote electronic publishing and the use of

digital libraries.

– To provide an incentive to scientific creation.

The universities participating in the TDX

repository are responsible for encouraging

use of the repository by doctoral students

and for editing and uploading the

dissertations.

The universities participating in this repository are

responsible for encouraging use of the repository

by doctoral students, by providing students with

information, indicating the electronic formats

required for online storage (once the dissertation

has been presented and approved), and editing

the dissertations and uploading them to TDX. In

the medium term it is planned to digitalize

dissertations submitted in previous years in other

formats (microfiche and paper).

The author’s rights in a dissertation are protected

by a contract. The integrity of the text is

guaranteed by the security options available in the

format chosen for presentation (PDF).


CONEIXEMENT I SOCIETAT 13 NOTES

Figure 1

TDX portal

TDX forms part of the Networked Digital Library of

Theses and Dissertations (NDLTD). 18 The

dissertations in TDX are managed using Virginia

Tech’s ETD (Electronic Theses and Dissertations) 19

procedure, and indexing and searching are

performed using Glimpse and WebGlimpse. 20

3.2. RECERCAT (Dipòsit de la Recerca de

Catalunya)

RECERCAT is a collective repository of digital

documents that includes the research works of

Catalan universities and research centres,

18 Networked Digital Library of Theses and Dissertations (NDLTD), .

19 Virginia Tech’s ETD (Electronic Theses and Dissertations), .

20 Glimpse and WebGlimpse , .

122

including unpublished articles, conference

communications, research reports, working

documents, undergraduate projects, and

technical memoranda.

The purpose of RECERCAT is to make research

conducted in Catalonia more visible and to

contribute to the world movement for making

academic and research work freely available online

by the institutions that fund the research, thereby

creating an alternative to the existing model of an

institution paying for access to information

generated by itself.


The aims of this repository are as follows:

– To enhance the visibility of documents, authors

and their institutions and, in general, of research

produced in Catalonia.

– To facilitate editing by permitting self-archiving.

– To add value to documents through

standardized citations, consultation statistics,

permanent addresses, and preservation

mechanisms.

All the documents included in RECERCAT are open

access and subject to the Creative Commons 21

Attribution-Non-Commercial-No Derivative Works

licence. This licence establishes that copying,

distribution and public communication for noncommercial

purposes are permitted of verbatim

Figure 2

RECERCAT portal

21 Creative Commons , .

22 DSpace .

123

CATALAN POLICIES AND EXPERIENCE ON COOPERATIVE REPOSITORIES

The purpose of RECERCAT, which is a

repository of university research literature, is

to make research conducted in Catalonia

more visible.

copies of the work but not derivative works based

upon it, provided the original author and institution

are cited.

RECERCAT, which uses the free DSpace program 22

created by the Massachusetts Institute of

Technology and Hewlett Packard, is a revolutionary


CONEIXEMENT I SOCIETAT 13 NOTES

digital repository capable of capturing, storing,

indexing, conserving and distributing an

organization’s digital research material.

This application allows searches by author, title,

university, research centre, etc. It also offers the

possibility of subscribing to an alert service for a

particular collection, which informs subscribed

user by email whenever a new document is

added.

RACO is an open access repository which can

be consulted for full-text articles from

Catalan scientific, cultural and academic

journals.

3.3. RACO (Revistes Catalanes amb Accés

Obert)

RACO is an open access repository containing fulltext

articles from Catalan scientific and cultural

journals. Whereas TDX and RECERCAT were

created and are managed by CESCA and CBUC,

RACO is managed by these bodies in conjunction

with the National Library of Catalonia.

The main purpose of RACO is to increase the

visibility and consultation possibilities for

magazines and journals that describe and

disseminate scientific and academic work. The

124

aims of this repository are as follows:

– To promote electronic publishing of Catalan

journals.

– To act as an interface for consultation of all the

journals in the repository.

– To facilitate the preservation of the journals.

The journals included in RACO have authored

articles over three or four pages with an abstract,

published under the auspices of a Catalan

scientific, cultural or academic body.

The abstract and full text of the articles are

uploaded to RACO by the publishing institution.

Most journals provide the full text of all their

published editions, although in some journals a

time lag exists between the uploading of the

abstract and of the full text.

The full-text articles in this repository are open

access and the property is of their authors and/or

the publishing institutions. Therefore, the author’s

explicit written permission is required prior to any

reproduction, commercialization, public communication

or partial or total transformation of the

material.

RACO uses the free Open Journal Systems (OJS)

program, 23 developed by the Public Knowledge

Project (PKP) 24 for the purpose of promoting

access to research and facilitating the management

and publication of scientific journals.

Among other possibilities, this application

enables searches to be made by author, title,

subject, or publishing body. For each article it is

23 Open Journal Systems (OJS), .

24 The PKP is a Canadian federally funded research initiative launched by the University of British Columbia and Simon Fraser University, which “seeks to

improve the scholarly and public quality of academic research through the development of innovative online environments. PKP has developed free, open

source software for the management, publishing, and indexing of journals and conferences”, thereby increasing access to knowledge, improved

management, and reduced publishing costs. More information: .


Figure 3

RACO portal

also possible to consult recommended

bibliographic citations, consultation statistics,

metadata describing the article, recommended

reading lists created by other users, etc. There is

also the possibility of subscribing to an alert

service for particular journals, whereby an email is

dispatched whenever a new edition of a journal is

published.

CESCA has implemented two new modules in

RACO: one to classify the journals according to

subject, and the other to simplify the publishing

process.

3.4. PADICAT (Patrimoni Digital de Catalunya)

25 Biblioteca de Catalunya, 2006.

125

CATALAN POLICIES AND EXPERIENCE ON COOPERATIVE REPOSITORIES

The author’s and/or publisher’s explicit

written permission is required prior to any

reproduction, commercialization, public

communication or transformation of the

articles contained in RACO.

PADICAT, whose mission is to store Catalan

websites, compiles, processes and provides

permanent access to all Catalan cultural, scientific

and general production in digital format. 25 This

repository is managed by the National Library of


CONEIXEMENT I SOCIETAT 13 NOTES

Catalonia, which is also the body responsible for

compiling, processing and distributing Catalan

bibliographic heritage. CESCA, meanwhile,

provides the technology that maintains PADICAT.

In some countries, projects of this type are called

national digital archives or web archives. The best

known similar projects are the gigantic San

Francisco-based Internet Archive, 26 the Australian

Pandora archive, 27 and the Swedish Kulturaw

archive. 28 Like these three archives, PADICAT

Figure 4

PADICAT portal

26 Internet Archive , .

27 Pandora archive , .

28 Kulturaw archive , .

29 International Internet Preservation Consortium (IIPC), .

126

forms part of the International Internet Preservation

Consortium (IIPC). 29

In accordance with a general tendency observed in

national libraries, the archiving model used by the

National Library of Catalonia is a hybrid system that

has the following aims:

– To compile open-access digital resources

published on the Internet.

– To systematically store websites generated by

Catalan organizations.


– To stimulate research by means of a thematic

integration of digital resources related to specific

events in Catalan public life.

On 21 July 2006, the task of automatically

compiling candidate websites for inclusion in

PADICAT commenced. The first websites to be

included were those for the town councils of

Berga and Palafrugell and for the professional

associations of architects of Tarragona

(Aparelladors i Arquitectes Tècnics de Tarragona)

and of social workers of Catalonia (Treballadors

Socials de Catalunya). By 11 September 2006,

with some thirty websites in its archives,

PADICAT made its services available to the

general public.

PADICAT is based on the application of a range

of software programs that enable the

compilation, storage, organisation and

preservation of, and permanent access to,

published websites. Heritrix, 30 which is Internet

Archive’s archival-quality web crawler, captures

and stores web pages in compressed form, and

NutchWAX 31 generates the indexes to be used in

searches for information. Finally, the free Web

Archive Access (WERA) program 32 can be used

to search in and browse through archived web

collections.

PADICAT –pioneer in Spain and a reference for

Europe– is anticipated to be fully developed by

2009, from which point it will operate at

maximum capacity, with quantitative indicators of

100,000 web pages captured in different

editions. The repository will include 50 million

30 Heritrix, .

31 NutchWAX, .

32 WERA , .

33 CONTENTdm, .

127

CATALAN POLICIES AND EXPERIENCE ON COOPERATIVE REPOSITORIES

archives and 30 terabytes of information. It is

also anticipated that cooperation agreements will

be signed with 300 different kinds of institutions,

and that users will have online open access to a

considerable part of the collection.

3.5. MDC (Memòria Digital de Catalunya)

The MDC, which was launched in November 2006,

is a digital open-access repository of collections of

digital magazines and journals, art works, maps,

posters, bookplates, etc.

PADICAT will operate at maximum capacity by

2009, with quantitative indicators for 100,000

web pages, 50 million files, and 30 terabytes

of data.

The ultimate aim of MDC is to increase the visibility

of Catalan cultural heritage and enable it to be

consulted remotely. The aims of this repository are

as follows:

– To promote the digitalization of Catalan heritage.

– To become the habitual interface for

consultations on Catalan culture.

– To facilitate the preservation of Catalan cultural

heritage.

As software, MDC uses the digital collection

management program CONTENTdm, 33 created by


CONEIXEMENT I SOCIETAT 13 NOTES

Figure 5

MDC portal

DiMeMa and distributed by the Online Computer

Library Center (OCLC).

4. Experiences

In the six years since the first repository was

launched, it can be asserted that the accumulated

experience has been positive and the initial aims

have been achieved. The main achievements to

date can be summarized as follows:

1. TDX has 17 collaborating universities (7 outside

Catalonia) and contains over 4,800 dissertations.

In 2006 it received over three and a half million

visits, 30% from South America, mostly from

Mexico.

128

2. RECERCAT has an archive of over 3,600

research documents from 13 institutions.

3. RACO has over 40,000 articles from 140

journals belonging to 29 different publishers.

4. PADICAT has captured 2400 shots of 813 web

pages.

5. MDC has over 65,000 images distributed

among 14 collections belonging to 7 different

institutions.

Recalling the past, it should be mentioned that the

early days in developing the first repository –TDX–

were not easy ones; for example, compare the 16

months it took to collect the first 500 dissertations

with the six months taken by the same task

nowadays (See graphic 1).


Graphic 1

Rate of inclusion of dissertations in TDX

Graphic 2

TDX growth (2002-2006)

129

CATALAN POLICIES AND EXPERIENCE ON COOPERATIVE REPOSITORIES

Graphic 2 shows how the proportion of

dissertations included each year has steadily

increased, due to both the participation of new

partners and to the fact that participating

universities are including more dissertations in the

TDX. It is estimated that, by now, one in two

dissertations submitted to Catalan universities is

uploaded to this repository.

Graphic 2 also shows how the number of

consultations is growing steadily. TDX, which initially

received some 5,000 visits a month, recorded traffic

of 378,930 visits in November 2006.

* University abbreviations as follows: University of Barcelona (UB), Autonomous University of Barcelona (UAB), Technical University of Catalonia (UPC),

Pompeu Fabra University (UPF), University of Girona (UdG), University of Lleida (UdL), Rovira i Virgili University (URV), Open University of Catalonia (UOC),

Ramon Llull University (URL), University of the Balearic Islands (UIB), University of Valencia (UV), Jaume I University (UJI), University of Cantabria (UC),

University of Murcia (UM) and University of Coruña (UDC).


CONEIXEMENT I SOCIETAT 13 NOTES

It is estimated that one in two dissertations

submitted to Catalan universities is uploaded

to the TDX repository.

The increase in consultations has affected all

knowledge areas. Analysing the 30 most popular

dissertations (Graphic 3), the most widely

consulted projects in the first three years of

operation (2001-2003) were technical (27 of 30).

By 2006, however, this proportion was reduced to

two thirds (19 of 30). It can be seen how TDX has

made tremendous progress and how it has had

a positive impact on the information society in a

range of knowledge areas.

Graphic 3

Information Society impact of TDX

* University abbreviations as follows: University of Barcelona (UB),

Autonomous University of Barcelona (UAB), Technical University of

Catalonia (UPC), Pompeu Fabra University (UPF), University of Girona

(UdG), University of Lleida (UdL), Rovira i Virgili University (URV), Ramon

Llull University (URL), University of the Balearic Islands (UIB), University of

Valencia (UV), Jaume I University (UJI), and University of Cantabria (UC).

130

5. Conclusions

Although it may seem that now that the five

repositories are up and running that the bulk of

the work has been done, this is not the case.

Only the simpler tasks have been implemented,

namely, legal mechanisms have been put in

place to protect the intellectual property rights of

the authors and the necessary e-infrastructures

have been created that enable the knowledge to

be disseminated over the Internet.

The most difficult tasks remain, which is to

ensure the following: that researchers contribute

with their work and become the best users of this

cultural heritage, that universities and research

centres encourage researchers to use these

repositories by establishing procedures for

facilitating their use, and that the Generalitat de

Catalunya (Government of Catalonia) and

research funding bodies encourage open access

to information on the sciences and the

humanities in accordance with the principles of

the knowledge society and the Internet.

It is becomingly increasingly evident that

information that is not on the Internet, to all

intents and purposes, does not exist at all.

Acknowledgements

The creation of these Catalan repositories would not

have been possible without the assistance of many

people, both members and non-members of the

consortium. The diligent efforts of a team of helpers

within the consortium has contributed enormously

to creating each of the repositories, despite

occasional technological difficulties. Special thanks

go to Marc Boix, Joan Cambras, Núria Comellas,

Maite Novo, Jordi Prats, Sandra Reoyo, Ramon


Ros, Marc Terrones and Natàlia Torres. We also wish

to thank the staff of the National Library of Catalonia

for their help with the PADICAT project, in particular,

Eugènia Serra and Ciro Llueca.

As for external assistance, we wish to thank a

References

131

CATALAN POLICIES AND EXPERIENCE ON COOPERATIVE REPOSITORIES

large number of people whom it is not possible

to name here in the interest of brevity. Finally, it

goes without saying that our work would not

have been possible without the generosity of

the universities who participated in this

project.

Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities.

Available from: http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html [Consulted: 20/08/2007].

Catalunya en Xarxa: Pla Estratègic per a la Societat de la Informació: Generalitat de Catalunya, 1999. DL B-21.376-1999.

Available from: http://www10.gencat.net/dursi/ca/si/institucional/pla_estrategic.htm. [Consulted: 20/08/2007].

“La universitat, un laboratori de la Societat de la Informació”. Teraflop. No. 44 (1999), p. 6-7.

CLIFFORD, A. Lynch, “Institutional Repositories: Essential Infrastructure for Scholarship in the Digital Age”. ARL Bimonthly Report. No. 226 (2003).

Available from: http://www.arl.org/resources/pubs/br/br226/br226ir.shtml/ [Consulted: 20/08/2007].

Memòria del plantejament del projecte PADICAT. Biblioteca de Catalunya (2006).

Available from: http://hdl.handle.net/2072/1757/ [Consulted: 20/08/2007].

REOYO, S. et al. “RECERCAT: El Dipòsit de la Recerca de Catalunya”. 10es Jornades Catalanes d’Informació i Documentació. Col·legi Oficial de

Bibliotecaris-Documentalistes de Catalunya, (2006).

Available from: http://hdl.handle.net/2072/2195/ [Consulted: 20/08/2007].


CONEIXEMENT I SOCIETAT 13 NOTES

INTERNATIONAL CENTRE FOR NUMERICAL METHODS IN

ENGINEERING (CIMNE). TWENTY YEARS ON.

Eugenio Oñate*

CIMNE (www.cimne.com), a research centre-consortium formed between the Technical University of Catalonia

(Universitat Politècnica de Catalunya) and the Catalan Government, has been in existence now for twenty years.

CIMNE specialises in the development and application of advanced numerical methods for solving a wide range

of problems in engineering, from solid and structural mechanics to manufacturing processes, ICT and decision

support systems for the prevention and control of natural catastrophes, such as flooding and toxic spills. CIMNE

plays a key role in the development of ideas originating from basic research and their transfer to the industrial

sector for subsequent industrialisation and commercialisation.

Key words: numerical methods, engineering, international, multidisciplinary, technology transfer, cooperation

Abstract:

1. What CIMNE is

2. What CIMNE does

3. CIMNE Classrooms centres

4. The Cycle of Ideas

5. The future and CIMNE

* Eugenio Oñate (onate@cimne.upc.edu) is Professor of Continuum and Structural Mechanics at the Technical University of Catalonia (UPC). He is also

Executive Vice-President and Director of CIMNE.

132


1. What CIMNE is

International Centre for Numerical Methods in

Engineering (CIMNE) is an organisation with its

own legal personality set up under the impetus of

the Technical University of Catalonia (Universitat

Politècnica de Catalunya, UPC), the Catalan

government and UNESCO. In 1987, these

institutions completed the formalities to set up

CIMNE as a consortium between the UPC and the

Catalan government, and this year (2007) marks

the centre’s twentieth anniversary.

CIMNE 1 was set up as a result of the clear need in

industry in general, and particularly in Catalonia, for

new computer simulation methods for product and

process design and manufacturing. This

requirement is common to practically all areas of

engineering (civil, mechanical, aeronautical, food,

telecommunications, etc.), as well as many fields in

applied science where numerical methods are used

on a daily basis, including physics, biology and

computational chemistry, and many other

multidisciplinary areas, such as biomedical

engineering.

Seen through this perspective, the fundamental

mission of CIMNE is to promote the development,

applications and diffusion of numerical methods for

solving problems in engineering and the applied

sciences, according to the needs of society.

CIMNE develops these activities through the

following:

– Impetus to new lines of research applied to the

requirements of the industrial sector and

1 .

INTERNATIONAL CENTRE FOR NUMERICAL METHODS IN ENGINEERING (CIMNE). TWENTY YEARS ON.

133

principally enterprises in Catalonia in

conjunction with other R&D and Innovation

centres and groups.

– The transfer of the results of research to the

industrial sector.

– Continuous training and the diffusion of scientific

and technical information in the field of numerical

methods.

– The international projection of all training,

diffusion, research and technology transfer

activities in association with prestigious

institutions and bodies, preferentially within the

UPC’s field of knowledge.

The fundamental mission of CIMNE is to

promote the development, applications and

diffusion of numerical methods for solving

problems in engineering and the applied

sciences.

Numerous renowned researchers from around

the world have worked at CIMNE right its the very

beginnings, and there are currently around one

hundred and fifty scientists and engineers with

expertise in different fields of expertise and from

more than fifteen different countries who work

there.

The main facilities of CIMNE are located on the UPC

Campus Nord, in a group of buildings that make up

the university’s Higher Engineering College complex


CONEIXEMENT I SOCIETAT 13 NOTES

(Highways, Canals and Ports of Barcelona). CIMNE

also has facilities in the town of Terrassa, and new

facilities are currently being built to provide support

to CIMNE’s research activities on the UPC Campus

in the Mediterranean Technology Park in

Castelldefels. CIMNE also has seventeen smaller

facilities (known as CIMNE Classrooms) in Cuba,

Argentina, Brasil, Chile, Mexico, Colombia and

Venezuela, amongst others.

2. What CIMNE does

Main lines of research:

Researchers at CIMNE are currently working on

developing new numerical methods in relation to

the following main areas of research:

– Computational mechanics of solids and

structures. Analysis of solids and structures with

new compound materials and geomaterials.

Study of building safety and reliability. Optimum

Figure 1

Study of the ventilation of a telescope through the

analysis of the air flow.

134

form and structural material design. Biological

materials.

– Fluid mechanics. Compressible and

uncompressible fluids analysis. Free surface

fluids. Acoustics and pollution. Fluid-structure

interaction.

– Electromagnetism. Problems with high and low

frequency electro-magnetism. Antennas. Form

and assembly optimisation.

– Graphic pre-processing and post-processing.

Computational geometry. Mesh generation and

graphic display of results. Geophysical

Figure 2

Aerodynamic analysis of a yacht


Figure 3

Analysis of a metal part using the finite elements

method

information systems. Medical image processing.

Simulation programme interface.

– Manufacturing processes. Forge process

simulation, metal casting, powder

compactation, welding, mechanisation, etc.

– Information and communications technologies

(ICT). Numerical methods on the Internet.

Intelligent wireless sensor interface and

simulation methods. Artificial neuron networks.

Multi-agents and other intelligence artificial

techniques. Decision support systems.

Computer-assisted teaching systems.

Sectoral lines of research:

The research carried out by CIMNE can be

classified according to sectors, as follows:

2 < http:// www.gidhome.com>.

INTERNATIONAL CENTRE FOR NUMERICAL METHODS IN ENGINEERING (CIMNE). TWENTY YEARS ON.

135

– Aerospace engineering. Development of

stabilised finite elements and mesh-less

methods for analysing fluids in movement based

on non-structured discretisation. Development

of 3D mesh techniques and compressible and

non-compressible flow refining techniques.

Design of optimum shape in aerodynamics,

combined with automatic adaptive mesh

refining. Static and dynamic analysis of

compound material aerospace structures.

Development of numerical methods for the

aeroelastic analysis of parachutes. Development

of pre-processing and post-processing tools

(GiD) 2 for computational analysis in aerospace

engineering. 3D non-structured mesh

generation. New algorithms for multidisciplinary

problems in aeronautics: aeroelasticity, thermal

flows, electromagnetism, aero-acoustics, etc.

Numerical methods are used in civil

engineering to study the safety and durability

of structures and the environmental

sustainability of constructions.

– Civil engineering. Analysis and design of civil

structures and constructions under static and

dynamic actions (bridges, dams, buildings, port

constructions, hydraulic constructions, etc.).

Numerical methods for studying the safety and

durability of structures in buildings and civil

constructions. Decision support system in

civil engineering combining networks of sensors,

data bases, calculation methods and artificial

intelligence techniques (neural networks).


CONEIXEMENT I SOCIETAT 13 NOTES

Methods for calculating textile membrane

structures and inflatable structures. Calculation

method for structures and constructions with

new materials. Numerical methods for the study

of environmental problems. Numerical methods

for multidisciplinary problems in civil engineering.

Integration of wireless sensors with calculation

methods in structures and constructions.

Optimisation methods in civil engineering.

– Energy and the environment. Calculation and

design methods for sustainable energy buildings

and constructions. Numerical methods for the

analysis and optimum acoustic design of

structures built of new materials with improved

acoustic properties. Study of the energyefficiency

of buildings and constructions. Decision

support systems in the energy and environment

sectors combining networks of sensors, data

bases, calculation methods and artificial

intelligence techniques. Techniques for analysing

natural and industrial waste recycling processes

for energy and environmental purposes.

The numerical study of the mechanics of the

differents organs and systems in the human

body provides support systems for decisionmaking

in biomedical engineering.

– Manufacturing processes. Simulation methods

for sheet forming and forge processes.

Simulation methods for the process of mould

filling, solidification and cooling of cast parts.

Methods for predicting the life utility of industrial

products. Methods for the optimum design of

form manufacturing processes in the metal and

136

plastics industries. Methods for riveting and

welding process simulation. Decision support

systems in the manufacturing processes

industry combining networks of sensors, data

bases, calculation methods and artificial

intelligence techniques (neural networks).

Numerical methods for the analysis of

multidisciplinary processes in the manufacturing

process industry (thermo-mechanical problems).

– Marine and naval engineering. Hydrodynamic

calculation methods for boats in different sea

conditions. Structural calculation methods for

boats made of compound materials involving

fluid-structure interaction. Calculation methods

for off-shore structures involving fluid-structure

interaction. Optimum design methods for boat

shape and structure. Methods for analysing

environmental problems in naval and marine

engineering. Numerical methods for

multidisciplinary problems in naval and marine

engineering. Decision support systems in naval

and marine engineering combining networks of

sensors, data bases, calculation methods and

artificial intelligence techniques (neural networks).

– Food engineering. Development of numerical

methods for the simulation and dynamic

optimisation of processes in the food

conservation industry. Analysis, dynamic

optimisation and control of processes such as

thermal sterilisation, pasteurisation, aseptic

processing and freezing. Development of a virtual

information, training and remote calculation

environment for the food engineering industry.

– Biomedical engineering. Development of

numerical methods for the modernisation and

simulation of biomechanical and biomedical

engineering problems. Simulation of the

behaviour of the cardiovascular system. Fluid


dynamic study of the blood in veins and arteries.

Study of the mechanics of the urological system.

Study of the mechanics of the heart. Decision

support systems in biomedical engineering.

– Social and economic models. Development of

multi-agent simulation models and tools for

social and economic simulations. Analysis and

modelling of business networks and value

chains in the digital sector. Research into the

dynamics of financial markets using realistic

multi-agent simulations. Research of systemic

financial risk and the behaviour of financial

pricing and risk control models.

Involvement in R+D&I projects 3

The majority of the abovementioned lines of

research are developed in collaboration with

groups of researchers at the UPC and industry,

within the framework of both Spanish and

international R&D&I programmes. In recent

years, CIMNE has participated in over 500

research projects with the economic support of

the European Commission and the Spanish and

Catalan governments, amongst other bodies,

and also with the collaboration of more than 260

Spanish and European companies.

At the present time, CIMNE has 32 current

projects under the Sixth Framework Programme,

25 Spanish research projects and 5 Catalan

projects.

CIMNE’s main and most recent research projects,

grouped according to the abovementioned sectoral

classification, are as follows:

3 .

INTERNATIONAL CENTRE FOR NUMERICAL METHODS IN ENGINEERING (CIMNE). TWENTY YEARS ON.

137

Aerospace engineering:

– IPAS: Installed performance of antennas on

aerostructures.

– REMFI: Rear fuselage and empennage flow

investigation.

– AEROCHINA: Promoting scientific cooperation

between Europe and China in the field of

multiphysics simulation, validation and design in

aeronautics.

– NODESIM-CFD: Non-deterministic simulation

for cfd-based design methodologies.

CIMNE currently has thirty-two projects from

the Sixth Framework Programme under way

and it submitted twenty-seven proposals for

R&D and Innovation projects in the last call

under the Seventh Framework Programme.

Civil engineering

– EVASIS: Development and application of

advanced procedures for assessing the

vulnerability and seismic risk of structures.

– ADEL: New tools for analysing and designing

light structures subjected to wind loads.

– RAMFLOOD: Decision support system for risk

assessment and management of floods.

– PROSENSOR: Development of technologies to

monitor and manage constructive processes

using wireless sensor networks.


CONEIXEMENT I SOCIETAT 13 NOTES

– CIUDAD MULTIDIMENSIONAL: The Multidimensional

City.

– SEDUREC: Safety and durability of building

structures.

Energy and the environment

– STEDI: Development of a remote tool for energy

calculation in building.

Manufacturing processes

– CONFLESS: Use of mesh-less finite element

methods for the numerical simulation of

industrial moulding processes.

– SIMPROMEST: Improving the simulation of

forging for new processes and materials.

– PROHIPP: New design and manufacturing

processes for high pressure fluid power

products.

– VIRTUALPRESS: Development of a virtual press

for moulding processes in powder metallurgy.

Marine and naval engineering.

– SPILLREC: Enhanced Design and Manufacturing

of Waterborne Spills Recovery Systems.

– PRESTA2 Prediction of heat transport by natural

convection of fuel in wrecked ships. Modelling

and hydrodynamic simulation.

– CALCPLAN: Development of new models, tools

and calculation procedures for launch boats.

– MODEGG2: Development of a computer

environment for managing data and viewing

results for numerical models of biophysical

transport applied to fish resource management.

Food engineering

– CALISO: Food conservation: New technologies

and advanced tools for simulation, optimisation

138

and control .

– MEDISCO: Mediterranean agro-food industry

applications of solar cooling technologies.

Biomedical engineering

– DISHEART: Grid-based decision support system

for clinical diagnosis and interventions in

cardiovascular problems.

– SIMCV: Simulation of the behaviour of the heart

and vascular periphery in healthy and

pathological conditions. Application in the

design and assessment of intravascular devices

and cardiac valves.

Social and economic models

– SIMWEB: Exploring innovative and business

models using agent simulation..

– AMI-SME: Analysis of marketing information for

small and medium-sized enterprises.

– INFAC: e-assistance based on the inference and

assessment of daily activities using sensor

networks.

It is also important to mention that CIMNE

submitted twenty-seven R&D&I project proposals

in the last call of the Seventh Framework

Programme.

Parallel to the public funding it receives for

research, CIMNE also obtains part of its income

from work carried out directly with enterprises by

way of collaboration agreements.

Training and diffusion activities

CIMNE periodically organises courses and

seminars in different areas of numerical methods

and their applications. It is worthy of mention that

CIMNE has been the secretariat of the Master’s


course in Numerical Methods for Calculation and

Design in Engineering at the UPC since 1989.

The results of research by CIMNE are published in

books, monographs, research and software

programme reports edited and produced by the

centre itself through its publications department.

In addition, CIMNE also has a congress

department, which has organised more than

seventy-five international congresses in the field of

numerical methods and their applications in

engineering.

CIMNE is also the permanent secretariat of the

main scientific associations in the field of numerical

methods in Spain (SEMNI), 4 Europe (ECCOMAS) 5

and at the international level (IACM). 6

Technology transfer

From the time CIMNE was set up, it has served as

an intermediary between the universities and the

corporate and industrial sector, thereby enabling

developments made by CIMNE to surpass the

prototype threshold and become commercial

products.

Many of the results of the work done at CIMNE are

codes for solving problems in engineering. The

most outstanding are as follows:

4 .

5 .

6 .

7 .

8 .

9 See footnote number eight.

10 .

11 See footnote number ten.

12 .

13 .

14 See footnote number twelve.

15 See footnote number twelve.

INTERNATIONAL CENTRE FOR NUMERICAL METHODS IN ENGINEERING (CIMNE). TWENTY YEARS ON.

139

– GiD 7 : Pre-processor and post-processor for

data generation and viewing the results of

computer simulation.

– STAMPACK 8 : Analysis of metal forming

processes.

CIMNE is the permanent secretariat of the

main scientific associations in the field of

numerical methods in Spain, Europe and at

the international level.

– VULCAN 9 : Simulation of metal casting

processes.

– RAM-SÈRIES 10 : Analysis of solids and structures

with new materials.

– TDYN 11 : Analysis of fluid dynamic problems.

– COMET 12 : Thermo-mechanical analysis of solids

and structures.

– PFLOW 13 : Analysis of fluid-structure interaction.

– CODE-BRIGHT 14 : Analysis of geomechanical

problems.

– ED-TRIDIM and ED-ELAS 2.0 and ED-POISS 15 :

Computer-assisted learning codes in the field of

numerical methods.

In order to exploit the results of research and

market many of the abovementioned codes,


CONEIXEMENT I SOCIETAT 13 NOTES

CIMNE promotes the setting up of different spin-off

companies. The companies in which it participates

as a shareholder are:

– COMPASS 16 Ingeniería y Sistemas, SA.

COMPASS carries out commercial activities

involving the application of numerical methods in

engineering, with special emphasis on naval and

maritime engineering. COMPASS is an

engineering and software consultancy company,

which manages and coordinates research

projects, specialised programming and software

for design in engineering, specialised

developments and training courses.

CIMNE Classrooms are set up to promote

training, research, development and the

transfer of knowledge in the field of

numerical methods and their practical

applications.

– SOLUCIONES INTEGRALES DE FORMACIÓN

Y GESTIÓN STRUCTURALIA, SA. 17 This

company was set up to develop activities in the

field of training and consultancy in civil

engineering for building over the Internet.

– INGENIA 18 Ingeniería Aeronáutica, AIE.

INGENIA is a financial interest group made up

of fourteen SMEs and CIMNE. The aim of

16 See footnote number ten

17 .

18 .

19 For more information, see: .

140

INGENIA is to promote its members’

participation in industrial projects in the

aerospace sector in collaboration with

manufacturers at the international level.

INGENIA is made up of Serra Aeronautics,

Idom, Solid Engineering, CadTech, Compass,

Italdesign, Cgsi, Sener, Abgam, Quantech,

Cimsa, Applus, Rücker, Edv and CIMNE.

3. CIMNE Classrooms

CIMNE Classrooms (resource centres) are set up

by CIMNE with the collaboration of universities,

research centres and companies around the

world, their aim being to promote training,

research, development and the transfer of

knowledge in the field of numerical methods and

their practical applications.

There are currently seventeen active CIMNE

Classrooms, which were set up over the last five

years. Fifteen of these Classrooms are in Latin

American countries. 19

4. The Cycle of Ideas

CIMNE seeks to play an active role in the

development of ideas originating in more basic

research environments and their transfer to the

industrial sector for subsequent industrialisation

and commercialisation.

CIMNE’s role in the so-called Cycle of Ideas is

illustrated clearly in figure 4. The “ideas” used by


CIMNE originate typically in a university setting

(for example, the UPC) and are developed into the

results of basic research (doctoral theses,

research software, scientific publications, etc.).

These ideas are then developed at CIMNE and

prototypes produced that can then be transferred

to the industrial sector. This requires the

coordinated work of multidisciplinary research

groups that provide different expertise and

Figure 4

The Cycle of Ideas

INTERNATIONAL CENTRE FOR NUMERICAL METHODS IN ENGINEERING (CIMNE). TWENTY YEARS ON.

141

Ideas originating from the UPC university are

developed in the form of results of basic

research at CIMNE and converted into

prototypes that are then transferred to the

industrial sector.


CONEIXEMENT I SOCIETAT 13 NOTES

complementary knowledge from the perspective

of scientific excellence, as well as originality and

potential practical applications, to obtain practical

results and innovative prototypes.

The Cycle of Ideas continues with the

transformation of the prototypes into products,

which then may become successful on the

market. The work of transformation is carried out

in companies that are partners in the prototypes

produced at CIMNE, and they invest time and

effort to obtain the required products. This work is

obviously carried out in close collaboration with

CIMNE.

The final stage of the Cycle is the marketing of the

resulting products, with the goal being the

commercial success of its exploitation with the

hope that this success will be beneficial in terms

of new investment and resources that further

support basic research activities in the university

and thereby sustain the Cycle of Ideas.

This cycle functions at different rhythms and

degrees, depending on the particular idea,

prototype or product. In order to reinforce each

stage, CIMNE implements interfaces and

networks for cooperation and interaction with the

different stakeholders. This is where CIMNE

Classrooms, which are set up to promote R&D

work in collaboration with research groups from

different universities and companies around the

world, comes into their element. Another

outstanding aspect in the industrial field is

CIMNE’s proactive policy of setting up spin-off

companies with the express purpose of

industrialising and commercialising the products

“generated” at CIMNE. CIMNE’s share in some of

these companies and the establishing of specific

agreements with others ensures the return of

profit generated during the commercial stage, as

142

well as being the source of numerous

opportunities for new joint developments with the

industrial sector.

Figure 4 also shows that public administration has

an essential role to play in the Cycle of Ideas as a

driving force for overall activity and also as an

accelerator for the evolution of flows that develop

between the different stages.

5. The future and CIMNE

With the experience that it has accumulated over

the past twenty years, CIMNE’s intention is to

become an international centre of reference for

the research and application of numerical

methods for solving a wide range of problems in

engineering and the applied sciences. It is also

working towards becoming a leading centre

providing transversal services to research, which

includes the diffusion, training and management

of research activities, through its various

departments that deal with publications,

congresses and project promotion and

management.

CIMNE was recently named an outstanding

scientific and technological facility by the Spanish

Ministry of Education and Science. An agreement

is currently being drawn up between the Ministry

of Education and Science and the Catalan

government (PTOP and DIUE) concerning the

funding of CIMNE in the future.

A firm intention of CIMNE is to promote the

transfer of technology developed in the industrial

sector, in collaboration with other R&D&I centres

and bodies. In the near future, CIMNE will be

paying special attention to setting up new spin-off


companies and investigating new ways to

collaborate with enterprise through its

Classrooms and other mechanisms.

CIMNE is also about to enhance its international

INTERNATIONAL CENTRE FOR NUMERICAL METHODS IN ENGINEERING (CIMNE). TWENTY YEARS ON.

143

standing as it seeks to establish its international

presence and become an organisation that is a

global point of reference in the field of numerical

methods and their applications in engineering

and the applied sciences.


CONEIXEMENT I SOCIETAT 13 NOTES

IRTA: RESEARCHING THE PRESENT TO BRING THE FUTURE

CLOSER

Josep Tarragó*

The mission of the Institute for Food and Agricultural Research and Technology (IRTA), created in 1985 by Law

23/85 of 28 November, is to contribute to the modernisation, competitiveness and sustainable development of the

agriculture, food and aquaculture sectors, to the provision of healthy, high-quality foodstuffs for consumers, and

to the general improvement of public welfare. The IRTA’s aims are achieved thanks to its excellent human capital

of researchers and support staff. Its results benefit the agri-food sector and society in general.

Key words: aquaculture, agriculture, development and technology transfer, experimental stations, food industry, IRTA,

livestock farming, research.

Contents

1. The agriculture and agri-food sector in Catalonia

2. The origins of the IRTA

3. The objectives

3.1. Promoting research and technological innovation

3.2. Technology transfer

3.3. International outreach

4. Achieving the objectives

4.1. Research, Development and Technology Transfer (RD&T)

4.2. Contractual research

4.3. Technology transfer

4.4. Technical assistance

4.5. Specialised training

* Josep Tarragó has been director-general of the Institute for Food and Agricultural Research and Technology (IRTA) since its creation.

144


5. How the work is done at the IRTA

5.1. IRTA centres

5.2. Associate centres

5.3. Experimental stations

6. Future projects

1. The agriculture and agri-food

sector in Catalonia

The agri-food industry is the largest industrial sector

in Catalonia, with a net turnover of 16,869 million

euros, representing 16.1% of Catalan industry and

employing 12.7% of its working population. 1

These figures place the Catalan agri-food sector in its

true context. Though it occupies a privileged place in

the industrial fabric, in recent years it has undergone

a series of profound transformations resulting from

the evolution of our society and its demands.

The Catalan agricultural sector has undergone a

constant reduction in the number of farms in

recent years. In 2005 there were 57,503 farms,

14,5% fewer than in 1999. On the other hand,

their size and importance in the economy

increased in this period. Between 1999 and 2005

145

IRTA: RESEARCHING THE PRESENT TO BRING THE FUTURE CLOSER

the area of useful land per farm increased by

17.8%, to 20.2 ha, and the importance of the

sector in the economy increased by 35.9%. 2

The structural changes in the Catalan

agricultural sector have been directly linked

to the evolution of the Common Agricultural

Policy (CAP) of the European Union.

These structural changes in the Catalan

agricultural sector have been directly linked to the

evolution of the Common Agricultural Policy

(CAP) of the European Union and to the reforms

that it has undergone as a result of two aspects:

the crises caused by overproduction and the

budget deficit. 3

1 Departament d’Agricultura i Alimentació Rural, 2005 Informe anual de la indústria, la distribució i el consum agroalimentaris a Catalunya.

.

2 See footnote number 1.

3 The Common Agricultural Policy (CAP) will soon be fifty years old. It has stimulated supply and increased productivity, but after a long history it is facing a

scenario of profound changes. The CAP was born in a European economic and social situation that was inherited from the shortages of the Second World

War. Its first objectives were therefore to stimulate agricultural supply and to increase productivity in order to ensure the food supply, and also to improve

agricultural income. Although it has undergone permanent reform, the common denominators have been reducing surpluses to limit subsidised exports

and their financial costs, maintaining a sufficient number of farmers in the rural environment, and sustaining agricultural income. The establishment of

generous prices, equal intervention systems in the whole Community and protection of the frontier of internal production from outside competition have

meant that the CAP has been fully oriented towards the policy of prices and markets to the detriment of structures and rural development.


CONEIXEMENT I SOCIETAT 13 NOTES

The so-called First Pillar of the CAP has reduced

the measures of market regulation and moved

away from production-based subsidies towards

income support measures. In addition to a series of

environmental and animal welfare regulations, the

direct subsidies to large farms have been reduced

in order to fund the new rural development

measures.

Modernization is an essential tool for the

future of Catalan farms, in order to ensure

suitable levels of economic, environmental

and social sustainability.

The reform of the European Union’s Agenda 2000

includes all the instruments of the Rural

Development Policy in the rural development

programmes drawn up by each member state

according to the European guidelines, with

objectives for each specific zone according to the

regional specificity. The agricultural sector is

considered to be a provider of food and other

public goods, but also plays a role in environmental

protection and rural development.

This new CAP thus bases its future on a policy of

rural development, giving support to the

agricultural sector with the aim of increasing

competitiveness, improving the environment and

rural development, and promoting economic

diversification and quality of life in the rural

environment.

The 2007-2013 Rural Development Programme

146

for Catalonia 4 assigns its resources (1,016 million

euros) mainly to these three fundamental lines:

1. 56.7% to increasing the competitiveness of the

agricultural sector.

2. 27.3% to improving the environment and rural

development.

3. 12.6% to improving quality of life and

diversification.

Within an increasingly globalised context, the

Catalan agricultural sector needs be increasingly

competitive in order to meet the challenges that it

now faces in all areas. The constant modernisation

of rural Catalonia is thus necessary in order to:

– Provide the public with safe, high-quality

foodstuffs.

– Establish an agri-food industry that is

competitive in the world and linked to Catalonia.

– Ensure that the value of farms is sufficient

to allow them to be managed according to

business criteria.

– Make innovation a constant feature of farming in

Catalonia.

– Guarantee a tidy landscape and a balanced

environment.

Indeed, modernisation is an essential tool for the

future of Catalan farms, with the aim of ensuring

suitable levels of economic, environmental and

social sustainability.

2. The origins of the IRTA

The Institute for Food and Agricultural Research

and Technology (IRTA) is a public company of the

4 Programa de Desenvolupament Rural de Catalunya (2007-2013):< www.gencat.net/darp/c/serveis/pdr/cpdr09.htm>.


Generalitat de Catalunya (Government of Catalonia)

attached to the Ministry of Agriculture, Food and

Rural Action that was created in 1985. 5 Its field of

activity is scientific research and technology transfer

in the field of agriculture, livestock farming and the

agri-food industry.

Its creation marked a change in the organisational

and management model of a public service that

was already in existence before the transfer from

the State to the Government of Catalonia in 1979-

1980. It thus allowed the existing human

resources to be managed appropriately and

opened the possibility of establishing a connection

with the private sector and facilitating the

promotion and transfer of results.

Based on the main policy guidelines, the

Government of Catalonia established the IRTA’s

mission as being to contribute to the

modernisation, competitiveness and sustainable

development of the agriculture, food and

aquaculture sectors, to the provision of healthy,

high-quality foodstuffs for consumers, and to the

general improvement of public welfare.

3. The objectives

In order to carry out the mission that has been

entrusted to it, the IRTA pursues the following

general or strategic objectives:

a) To promote research and technological innovation

in the agri-food and aquaculture sectors, focusing

its action on their needs and following the

147

IRTA: RESEARCHING THE PRESENT TO BRING THE FUTURE CLOSER

guidelines of the Government of Catalonia.

b) To transfer technology and scientific advances to

the sectors and to promote its own advances, as

a means of contributing to the modernisation,

competitiveness and sustainability of the primary

sector and the related agri-food and distribution

sectors.

The creation of the IRTA marked a change in

the organisational model and made it

possible to manage a public service that had

existed before the transfer from the State to

the Government of Catalonia in 1979-1980.

c) To cooperate and collaborate with the public

sector, as an element of support and aid to the

coordination and structuring of public research,

development and technology transfer (RD&T)

related to the agri-food and aquaculture sectors

in Catalonia; to promote and consolidate the

cooperative system of RD&T, basing its strength

on the merits, skills and motivation of the

persons that form part of it; and to promote its

international outreach.

The IRTA’s action is oriented towards the priority

objectives of the Ministry of Agriculture and Rural

Action, the Commission for Universities and

Research (CUR) and the Government in general,

expressed through the objectives of the IRTA’s

action programme and the prevailing legislation. An

5 “Law 23/85, of 28 November 1985 of the Parlament of Catalonia, creating the the Institute for Food and Agricultural Research and Technology”. Diari

Oficial de la Generalitat de Catalunya, DOGC (31 December 1985), no. 631, in Catalan.


CONEIXEMENT I SOCIETAT 13 NOTES

example of this is Chapter IV of the Agrarian

Orientation Law, 6 governing agri-food innovation

and technology transfer and agricultural training.

This law thus deals clearly with the functions

established when the IRTA was set up.

Furthermore, through the current Commission for

Universities and Research, every four years the

Government of Catalonia draws up a Research

and Innovation Plan, 7 as a means of establishing its

priorities and main lines of action in the areas of

science and technological development.

One of the strategic objectives of the IRTA is

to cooperate and collaborate with the public

sector, as an element of support and aid to

the coordination and structuring of public

research and experimental development

related to the agri-food and aquaculture

sectors in Catalonia.

3.1. Promoting research and technological

innovation

In order to achieve its objectives, the IRTA must

maintain a sufficient research capacity. This

involves maintaining a high level of competitive

science within the research community that is able

to anticipate the demands of the society and to

attract, maintain and develop the best

professionals in each sphere of work.

148

The IRTA and its cooperative system have a

permanent training plan. In addition to providing

retraining on specific subjects, it also allows

researchers to visit leading centres and to go on

sabbatical leave in centres of excellence so that

they can retrain, reflect on their work and adopt

new challenges. The training plan also aims to

foster the critical capacity of the technical and

support staff, which is essential if they are to carry

out their activities successfully.

As in any research and development activity, the

new knowledge, products and processes that are

generated represent innovation for companies and

for the general public. This philosophy of guided

R&D is contained in the founding mandate of IRTA,

and is one of the most effective ways of

disseminating its mission and strategic objectives.

Therefore, in addition to being published in

scientific journals, the results of the research are

available for direct commercial use with protected

intellectual property rights through licensing

agreements with companies in the sector.

When the R&D results are not suitable for direct

commercial use, the IRTA establishes knowledge

transfer mechanisms based on specialised advice

and training for companies that allow them to

participate progressively in the processes of

innovation and technology generation.

3.2. Technology transfer

The knowledge and advances that are obtained

as a result of the research efforts of the IRTA’s

teams of scientists must be transmitted to the

corresponding sectors. Furthermore, in the

6 “ Law 18/2001, of 31 December, on agricultural orientation”. Diari Oficial de la Generalitat de Calunya, DOGC ( 9 January 2002), no. 3549, in Catalan.

7 2005-2008 Research and Innovation Plan of Catalonia (http://gencat.net/pricatalunya).


course of the time the results of the research and

development activities will shape our society

and determine the availability of new products and

services to citizens. For this reason the IRTA has

established a transfer system that coordinates

the different actions of the public and private

sectors involved. Furthermore, the operating units

are the instruments of transmission of the public

research and development to the agriculture,

agri-food and forestry sectors.

In addition to technology transfer within the sector,

the IRTA must be able to suitably inform society

and consumers on the advantages and

disadvantages of new technologies. Providing

society with rigorous and objective information is

also an important tool for shaping public opinion

and fostering the function and credibility of IRTA.

This activity of dissemination and promotion is also

accompanied by a promotion of the IRTA and its

associate research centres as public services, so

that Catalan society can identify them properly and

evaluate their activity and outreach.

3.3. International outreach

Innovative and cutting-edge research requires a

high level of outreach and international relations in

both R&D and the institutional sphere. In an

increasingly global society, the creation and

participation in research networks increases the

critical mass in the areas of priority action. One of

the important objectives in this context has been to

achieve the full integration of the IRTA and its

associate centres in European policy (the Sixth

Framework Programme), and to seek strategic

alliances to this end.

The IRTA has become a vehicle for reinforcing the

international outreach of its cooperative research

149

IRTA: RESEARCHING THE PRESENT TO BRING THE FUTURE CLOSER

system, and it plays a key role in monitoring and

introducing the guidelines that help to increase the

impact and promotion of the research that is

carried out in its sector of influence. Its

international outreach is based on intense activity

in the area of relations with research-related

institutions of other countries, closer contact with

the institutions that promote the European

Research Area, and establishing stable

relationships of scientific collaboration.

The operating units are the instruments of

transmission of public research and

development to the agriculture, agri-food

and forestry sectors.

In this field the IRTA maintains relations with similar

organisations in Latin American countries,

including cooperation activities with Uruguay,

Argentina, Chile, the Dominican Republic,

Guatemala, Mexico and Nicaragua. It also wishes

to consolidate collaborations in other countries,

such as the laboratory of the Davis campus of the

University of California, or the strategic partnership

with HortResearch in New Zealand. Closer at

home is the collaboration agreem