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b e r l i n | cologne july 2012

the german council of science and humanities provides advice to the german federal government and the state governments on the structure and development of higher education and research. b e r l i n | cologne july 2012. The Excellence Initiative

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b e r l i n | cologne july 2012

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  1. the german council of science and humanities provides advice to the german federal government and the state governments on the structure and development of higher education and research. berlin | cologne july 2012 The Excellence Initiative A driving force for the German academic system Dr. Inka Spang-Grau – German Council of Science and Humanities (Wissenschaftsrat/WR), Cologne/Germany

  2. The German Council of Science and Humanities (Wissenschaftsrat/WR) - Who we are B. The German Academic and Research System C. The Excellence Initiative: Objectives, Concept and Implementation Structure of the presentation HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London

  3. A. Who we are The German Council of Science and Humanities (Wissenschaftsrat) provides advice to the German federal government (Bund) and the state governments (Länder) on the structure and development of Higher Education (HE) and research. … has the task to draw up comprehensive recommendations on the development of science, of research and of the university sector as well as to contribute to the international competitiveness of the German system of HE and research in the national and European system. Administrative Agreement between the Federal Government and the States (Länder) on the establishment of a German Council of Science and Humanities from 5 September 1957 in the version of 1 January 2008

  4. B. The German Academic and Research System Universities (total of 110) Universities ofApplied Sciences Max Planck Society(MPG) German Research Foundation (DFG) Industry research Leibniz Association (WGL) Private Foundations (VW, Bosch, …) Federal Ministery (BMBF) Consortium Ind. Res. Foundations (AIF) European Union (EU, ERC) Governmental research institutes Helmholtz Association (HGF) Länder MInistries Academies, Inst. for Advanced Study Fraunhofer-Gesellschaft (FhG) fundingagencies researchorganisations 4

  5. Gross domestic expenditure for researchand development (GERD) in Germany |1,2 billion € share of GDP Source: OECD l1Federal government, states, industry and non-profit organizations l2Lisbon-Target: The R&D share of the GDP in the European Union shall reach 3 % by 2010. The industry is supposed to contribute two thirds, the Federal government and the state governments together one third. 5

  6. Structural Challenges and major political answers at the beginning of the millenium Higher Education pact 2020: _ more university entrants _funding of overhead costs, _Quality and Teaching pact 2007- 2015 (~ 10 bn € 2010-2015) Teaching, training _ increasing demand for HE _ more favourable professor/student ratio Excellence Initiative (universities) (4.6 bn €; 2006 – 2017) Research _ more money _ more freedom for research _ more international visibility Joint Initiative for Research and Innovation (non-university institutions); increase 3 %/5 % annually; 2005-2015 higher degree of differentiation, autonomy increased flexibility through competition  

  7. C. The Excellence Initiative: Objectives, Concept and Implementation

  8. Objectives of the Program (based on an agreement of the German federal government and the 16 state governments). The program aims to _ promote top-level university research! _ establish centres and institutions of excellence _ raise the overall quality of German universities _ increase the international competitiveness and visibility of German universities across all disciplines and fields of research _ sustainably strengthen Germany as an attractive research location

  9. The Excellence Initiative was … decided by the state and federal governments in July 2005 launched in December 2006/2007 with a1st phase in 2 calls extended by the state and federal governments for a 2nd phase in June 2009 to be continued in November 2012 with 2nd phase Schedule and Budget Frame 1st and 2nd phase 2006/2007 - 2017 4.6 bn € (incl. 20% overhead funding) Ø 460 mn € per year 75 % by the federal government, 25 % by the state governments 9

  10. Program Features _ academic driven procedure (politics only in final decision making; academics have majority of votes) _ Target group: excellent universities (non-university institutes and private companies as cooperation partners) _ Call for proposal with fixed duration and specified date _ Open (non-thematic) scope of the call: competition of ideas _ Two-stage peer review process with international experts: draft proposals followed by full proposals _ Interdependence of the three funding lines _ Descions based on reviewers‘ recommendations by Joint Commission

  11. Relation between the three funding lines Funding of an Institutional Strategy requires funding of at least one Graduate School and one Cluster of Excellence! wr Institutional Strategies for Top-Level University Research _ Increase international competitiveness of the whole university _ Approx. € 12,5 million p.a. each prerequisite Graduate Schools _ Highest level research training _ Approx. € 1,3 million p.a. each Clusters of Excellence _ Centers of excellence in research _ Approx. € 6,5 million p.a. each

  12. Institutional Strategy: Assessment Criteria (1) Status Quo of the University _ Research achievements _ Institutional setting for top researchers at every career level _ Research oriented teaching (if submission of concept) _ Capacity to act +

  13. Assessment Criteria (2) Institutional Strategy (Project) _ Plausibility of the Institutional Strategy and compatibility with the university’s SWOT • Coherence of the Institutional Strategy, its goals and measures • Innovative potential • Expected effects and development progress through the measures • Presumed effects on teaching if given: potential of the submitted concept for research-oriented teaching (optional) • Adequacy of the project management and financial planning • Sustainability =

  14. Overall Assessment: Potential of the University (3) • Fit of the Institutional Strategy into the university’s long-term planning • Effects of the Institutional Strategy for the sustained expansion of top-level research • Profit for the development of the system as a whole (Model?) • Impact of the Institutional Strategy on the university’s international visibility and competitiveness

  15. Press Conference on Funding Decisions Excellence Initiative - Phase 2 „The exceptional quality of the proposals shows: The Excellence Initiative provided a significant push for our academic system. It leads to an even stronger international visibility of our universities. The value of our academic system is globally highly appreciated today, it is appealingto talent world-wide.“ Minister Prof. Annette Schavan, June 15, 2012 15

  16. Kiel U Graduate Schools Hamburg U Oldenburg U Clusters of Excellence Bremen U Berlin FU Berlin HU Institutional Strategies Hannover MHH Berlin TU Münster U Bielefeld U Joint Projects Bochum U Göttingen U Düsseldorf U Results of the 2nd Program Phase 39 Universities are funded: 45 Graduate Schools Ø € 1,6 mn per School/year 43 Clusters of Excellence Ø € 6.4 mn per Cluster/year 11 Institutional Strategies Ø € 12.5 mn per University/year Dresden TU Köln U Chemnitz TU Jena U Bonn U Gießen U Aachen TH Frankfurt/M. U Bayreuth U Mainz U Darmstadt TU Bamberg U Würzburg U Mannheim U Erlangen-Nürnberg U Saarbrücken U Heidelberg U Regensburg U Karlsruhe Stuttgart U Ulm U Tübingen U München TU München U Freiburg U Konstanz U

  17. _ new money in the system _ more than 4000 new positions in research; beneficial structures _ professionalization of governance and strategic capacity _ impulse to more internationalization, diversity _ improved cooperation between universities and other research institutions _ creativity boost and high dynamic - a lot of value for the extra spent money _ leveraging the potential of universities in breadth _ driving force for differentiation for universities _ initiated competition among and creative unrest within universities _ increased awareness for universities and research in the media and the general public _ a role model for other countries (France, Spain, Malaysia, …) Overall Impact of the Excellence Initiative 17

  18. Current challenges for the German system _ 4 programs of federal and state governments will expire between 2013 and 2017 (incl. investments for buildings, construction) _ Excellence Initiative  Brain sustain! _ Keep dynamic in the system  avoid exhausting, reform overflow _ Improvement of quality of teaching

  19. Current challenges for the German system _ How much differentiation makes sense? _ To strengthen research at some universities without eroding the quality of the country's other academic institutions _ Keep the money in the system of HE and research _ Optimising the funding system for HE and research in Germany (a new integrated concept?)

  20. Thank you for your attention! spang-grau@wissenschaftsrat.de

  21. Additional Information

  22. Organizational Structure Secretary General Chairman Plenary Assembly composed of Head Office 5 departments (total staff ~85scientific staff ~40) Scientific Commission (32 members) 32 votes given by 24 scientists 8 persons from public life Administrative Commission (22 members) 32 votes given by 16 State Governments 16 Federal Government supports send members Standing Committees and Working Groups External Experts 22

  23. Decision Making Proposals & sitevisits International expert groups Topical international expert panels 16 reports Inst. Strat. 127 reports GSC & EXC wr Joint Commission Expert Commission Strategy Commission (Scientists & science administrators) Grants Committee Excellence Initiative (Representatives of federal and state government) 23

  24. Schedule of the 2nd Phase March 2010: Call for proposals 2nd Program Phase September 2010: Submission of draft proposals for initial projects March 2011: Selection of draft proposals September 2011: Submission of full proposals Winter 2011/12: Evaluations of full proposals (panels/site visits) June 2012: Comparison of initial and renewal proposals, recommendation and funding decision June 2015: Report on the program by WR and DFG (data based report) January 2016: Evaluation of the program by international experts End of 2016: Political decision on the future of the program

  25. Selection of the Institutional Strategies(2nd Program Phase) 22 universities submit draft proposals for initial projects Assessment of draft proposals Strategy + Joint Commission 16 universities submit full proposals (9 renewal + 7 initial projects) On-site appraisals Expert groups Strategy CommissionJoint Commission Comparison and recommendation Funding decision Grants Committee 11 Universities funded

  26. IGraduate School IICluster of Excellence Institutional StrategyIII Results of the 1st Program Phase (2006/2007) 37 Universities are funded: 39 Graduate Schools Ø € 1mn per School/year (≈ 10 % of funds) 37 Clusters of Excellence Ø € 6.5 mn per Cluster/year (≈ 60 % of funds) 9 Institutional Strategies Ø € 12.5 mn per University/year (≈ 30 % of funds) Funding Lines All funded projects submitted renewal proposals

  27. … on researchers _ new models for career development (towards tenure track system) _ significant progress in gender equality _ more attention to work-life balance of young researchers … on higher education _ strengthening research-oriented teaching _ new awareness for quality in higher education in society … on research _ more than 4000 new positions in research _ novel interdisciplinary programs – thinking out of the box _ additional research funding for universities Overall Impact of Excellence Initiative (1) 27

  28. … on universities _ initiated competition among and creative unrest within universities _ tailor-made institutional reforms (“competition of ideas”!) _ professionalization of governance and strategic capacity … non-university research organizations _ universities are again considered coequal partners _ variety of new long-term, strategic and institutional cooperations between the university and non-university research institutes Overall Impact of Excellence Initiative (2) 28

  29. … on international visibility _ appreciation of strong commitment of Germany to research _ a role model for other countries (France, Spain, Malaysia, …) _ increased attractiveness for researchers from abroad (+30% foreign researchers in Germany, 2005-2009) … on the German academic system _ driving force for differentiation of universities: no all-in-one institutions anymore _ creativity boost and high dynamic – a lot of value for the extra spent money – leveraging the potential of universities in breadth Overall Impact of Excellence Initiative (3) 29

  30. Granted BudgetsTop 20 (of 39) Funded Universities Mio. € 45 40 35 30 25 20 15 10 5 0 Erlangen- Nürnberg Tübingen EKU Freiburg ALU München LMU Aachen RWTH München TU Berlin FU Heidelberg Berlin HU Dresden TU Münster Hamburg Konstanz Bremen Stuttgart Kiel Köln Bonn Frankfurt/Main Mainz Cluster of Excellence Graduate School Institutional Strategy 2 6 5 3 16 8 # 1 4 15 # 17 # 7 14 12 20 # 10 # 30

  31. Number of staff(full time equivalents) of which scientists Extra-university research HGF WGL86 MPG80 FhG FhG60 MPG WGL HGF18 R&D expenditure 2008 in million € Number of institutes and centres 2012 HGF MPG WGL HGF FhG FhG MPG WGL Source: BMBF, Federal Statistical Office (Destatis) Last updated: May 2012

  32. Joint task research funding and university building in 2012 (estimate, million €) Source: GWK Last updated: May 2012

  33. Science expenditure l* in Germany in billion € 78,2 Mrd. € Science expenditure total 44,1 Mrd. € of which industry of which states 19,7 Mrd. € of which Federal Government 12,2 Mrd. € l* Expenditure for research and develoment, academic teaching and related activities. Source: Federal Ministry of Education and Research Last updated: August 2010

  34. Rate of first-year students and graduates 2008 l1in tertiary-type A education l2 44 % First year students 37 % 28 % 46 % 54 % 28 % 16 % 35 % 35 % Graduates 36 % 11 % Rate of dropouts in % 24 % 15 % 29 % 24 % 21 % l1 Ratio of the population of the same age. l2 The theoretical total length of a tertiary type A course of study is at least 3 years, normally 4 years and more. Source: OECD Last updated :September 2011

  35. Germany: Basic Facts 81.8 million inhabitants 16 states 2.35 million Students 68,4 % at Universities 31,6 % at Universities of Applied Sciences 601,584 First-year students = 36 % of an age-group (OECD-average = 56 %) 25,569 Doctorates (2010) = 304 per one million inhabitants Source: OECD / Federal Statistical Office Last updated: May 2012

  36. Germany: Basic Facts 110 Universities (including colleges of theology and colleges of education) 222 Universities of applied sciences 56 Art academies, musical academies, 388 Total Sponsorship 239 state-sponsored 109 private, acknowledged by the state 40 church-sponsored, acknowledged by the state Source: Federal Statistical Office / German Rector´s Conference Last updated: July 2012

  37. Permanent committees and working groups Departments Teaching Committee Higher Education Strategic Commission Excellence Initiative Research Committee Research Infrastructure Working Group Research Policy Steering Committee Research Rating Evaluation Committee Evaluation Committee for Research Facilities Accreditation Committee University Investments and Accreditation Medicine Committee Medicine

  38. Joint Financing of research and teaching on the basis of article 91b Abs. 1 constitution in Mio. Euro(2012 estimate) States Federal Government Universities recurrent funds 100 % University Construction 695,3 Mio. € 695,3 Research Facilities (including large-scalefacilities) 207,3 Mio. € 207,3 Mio. € MPG 50 % 677,2 Mio. € 677,2 Mio. € 50 % DFG 58 % 982,5 Mio. € 711,5 Mio. € 42 % FhG 90 % 377,5 Mio. € 41,9 Mio. € 10 % HGF 90 % 2232,3 Mio. € 248 Mio. € 10 % WGL 50 % 489,3 Mio. € 479 Mio. € 50 % Last updated: May 2012

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