R&D Institutions

Regulations for the
Multi-Year Funding Program for R&D Units - 2007

Article 1
Objectives

These regulations set forth the eligibility requirements and conditions under which multi-year funding for R&D units managed by the Fundação para a Ciência e a Tecnologia (FCT) may be awarded.

Article 2
Target recipients

The following R&D units may be eligible for the Multi-Year Funding Program:
1. Units integrated into or associated with institutions of higher education, when these function as host institutions;
2. Private not-for-profit institutions specially dedicated to R&D activities, or which have units with these characteristics.
The host institutions of these units must provide the units with the facilities and infrastructures needed in order to pursue the unit’s activities as well as further the involvement of researchers and technicians employed by the host institution in these activities.
The private not-for-profit institutions referred to in no. 1, paragraph b), may have host institutions for the purposes of the previous number.
Recipients of funding must show proof that they have no outstanding tax debts to the State or contributions in arrears with the Social Security System.

Article 3
Concept of Unit

A unit is defined as a team whose members carry out their R&D activities in a given scientific or technological field, or in multidisciplinary fields of research activity involving one or more shared objectives.
Each unit must possess the critical mass needed to achieve its scientific objectives, which, in principle, requires that there be a sufficient number of doctoral degree holders with scientific curricula of recognised merit. One of these shall serve as scientific coordinator, being responsible for managing the unit and ensuring quality scientific leadership.
Although a unit may involve members from several host institutions, for the purposes of funding and evaluation, each researcher is allowed to be a member of only one unit.
Each unit must organize its research into groups, lines of research, laboratories or divisions containing the number of doctoral degree holders needed in order to achieve its objectives, one of whom will be named Principal Researcher. For the current evaluation, these will be called Research Groups.

Article 4
Scientific coordination

The scientific coordinator of the unit is chosen according to the procedures established by the unit’s internal norms or its statutes, of which the Fundação para a Ciência e a Tecnologia (FCT) must be apprised.
The FCT must also be informed in the event a new scientific coordinator is named, and the funding award may be revised as a result of this change.

Article 5
Scientific Board

The units must have an external standing scientific advisory committee composed of individuals of recognised merit and which as a rule should include foreign researchers.

Article 6
Scientific advisory committee

The units should form an external scientific advisory committee, made up of individuals of recognized, which, by norm, should include foreign researchers.
This committee is charged with analyzing the unit’s performance. For this purpose, it will conduct annual visits to the unit and issue an expert opinion regarding the unit’s plan, management report and budget, which shall be submitted to the FCT.

Article 7
Evaluation

Evaluation of the units is done in two ways:
1. Evaluation of applications for the multi-year program;
2. Periodic evaluation of units funded through the program.
In both cases, the FCT is in charge of the evaluation process, which is carried out by evaluation panels made up of predominantly foreign experts and which is based on the units’ applications or reports and plans of activity, on their scientific and financial components, and on evaluation visits to the unit or audiences with the scientific coordinator and other members of the unit.
In each scientific field, the following parameters are taken into account when evaluating applications or reports:
- Recognised scientific production and the merit of the results of the scientific activity, taking into account the relevance of the research underway and being planned, as well as the level to which the scientific activities are internationalized.
- Organization and work environment, with special attention being given to the concentration of critical mass at the international level and management of resources for the research activity, which must include supervision of postgraduate students and involvement of postdoctoral fellows in R&D activities, as well as the ability to attract students of higher education to R&D activities.
- Dissemination of the results of the activity and actions designed to promote scientific culture, which will naturally include publications authored by the research team in renowned scientific journals and participation in actions designed to promote the public's understanding of science and technology.
- Activities involving transfer of knowledge and technology whenever relevant. Registration and promotion of patents and activities that involve marketing science and technology and the development of prototypes will be of particular interest.
The curricula of the researchers will impact only on evaluation of the units of which they are formally a part.

Article 8
Applications and reports

Applications for multi-year funding from units must provide sufficient information to allow for evaluation of the previous scientific activity of the unit’s members and of the unit itself, should it exist, including mention of the parameters set forth above.
The units must submit annual management reports and financial reports relative to the previous fiscal year to the FCT by 31 March.

Article 9
Notification of decisions

Notification of the proposed decisions regarding evaluations shall be made within 50 working days after the evaluation process is completed.
Units may submit their comments regarding the results up to 30 working days after the respective notifications.
Units will be notified of the final decisions after the aforementioned comments have been reviewed.
Whenever deemed necessary, a new evaluation may be carried out, namely if the FCT determines that their have been significant changes in the conditions upon which the original evaluation was based.

Article 10
Funding

This funding program is designed to supplement that of other programs and, due to its multi-year nature, allows for an articulated dual system of funding, thereby allowing units to establish medium term objectives.
Funding is awarded to units in the form of subsidies and it is cumulative with funding from other measures or programs.
The funding awarded is to be used for the unit’s operations in accordance with the terms set forth in the respective acceptance agreement and in the financial accounting standards currently in force for the program, and taking the recommendations given in the evaluation reports into account. Flexible management should be ensured.
Funding consists of two parts:
1. Basic funding, indexed to the number of doctoral level researchers in the unit and to the evaluation of the scientific activity carried out.
2. Special funding, relative to some units, based on specific needs detected by the evaluators and proposed to the FCT for analysis.
The basic funding, which is revised annually based on the current make-up of the research teams as of 31 December of the previous year and as a function of the scientific evaluation of the unit, is divided into three levels:
1. The first level, awarded to units classified as Excellent, corresponds to the maximum funding established by order of the Minister of Science and Technology;
2. The second level, awarded to units classified as Very Good, corresponds to 75% of the maximum amount;
3. The third level, awarded to units classified as Good, corresponds to 50% of the maximum amount.
Units classified as Fair or Poor will not be awarded funding.
The funding awarded must be deposited in a bank account set up by the unit specifically for that purpose, and the funds will be made available under the terms of the acceptance agreement referred to in the previous article.
Regardless of the source of funding, units are advised to have their accounts audited by a certified public accountant on a yearly basis, particularly in the case of funding over the amount of €250,000.

Article 11
Funding calendar

The first funding period usually lasts until the unit’s next evaluation; adjustments may be made whenever the circumstances so warrant.
Units shall be subject to periodic evaluations (every 3 to 5 years, as determined by the FCT), without prejudice to scientific, technical or financial audits, which may be instituted at any time and which shall be the responsibility of the FCT.
Based on the results of the periodic or other evaluations, the multi-year funding may be subject to changes.

Article 12
Suspension and discontinuation of funding

Should the evaluation panel deem that the quality of the research activities is insufficient, the funding will be discontinued.
Funding shall be suspended or discontinued whenever simple non-compliance or grievous non-compliance, respectively, with the provisions set forth in these regulations or the terms of the acceptance agreement has been confirmed.
Funding may also be suspended if a unit’s failure to function or poor level of functioning threatens to harm the interests of scientific research. The suspension may be followed by discontinuation of the funding if the unit fails to implement the management solutions proposed by the FCT to help bring the unit’s level of functioning up to standards.

Article 13
Repayment of funds

Improper use of funds awarded to the unit shall require repayment of the advance funding.

Article 14
Obligation to provide information

Units are under obligation to submit to the FCT, whenever requested to do so, a plan of activities that takes the recommendations of the members of the evaluation panel into account, a budget showing how the funds will be used and the respective phases, the members of the standing scientific advisory committee, as well as the list of responsibilities, quantified or quantifiable, assumed by the host institution.
The FCT will not transfer any funds to the unit until the aforementioned items have been submitted and deemed adequate.
The units or the host institutions must maintain an up-to-date web page on the Internet that includes detailed mention of their activities.