Post on 28-Mar-2015
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
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 InitiativeA driving force for the German academic systemDr. Inka Spang-Grau – German Council of Science and Humanities (Wissenschaftsrat/WR), Cologne/Germany
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
Structure of the presentation
A. 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
HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
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
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London4
B. The German Academic and Research System
Industry research
Universities(total of 110)
Max Planck Society(MPG)
Academies, Inst. for Advanced Study
Leibniz Association(WGL)
Helmholtz Association (HGF)
Fraunhofer-Gesellschaft(FhG)
Universities ofApplied Sciences
Governmental research institutes
German Research Foundation (DFG)
European Union (EU, ERC)
Federal Ministery (BMBF)
Länder MInistries
Private Foundations(VW, Bosch, …)
Consortium Ind. Res.Foundations (AIF)
funding agenciesresearch organisations
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
2,532,52
2,19
2,82,642,532,492,49
2,82
59,159,756,1
53,2
5047,746,2
28,9
65,4
0
0,5
1
1,5
2
2,5
3
1995 2003 2004 2005 2006 2007 2008 2009 2010
0
10
20
30
40
50
60
70
5
Gross domestic expenditure for researchand development (GERD) in Germany |1,2
l2 Lisbon-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.
l1 Federal government, states, industry and non-profit organizations
Source: OECD
bill
ion €
share
of
GD
P
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
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)
Joint Initiative for Research and Innovation (non-university institutions);increase 3 %/5 % annually; 2005-2015
Teaching, training_ increasing demand for HE_ more favourable professor/student ratio
Research_ more money_ more freedom for research_ more international visibility
higher degree of differentiation, autonomy
increased flexibility through competition
Excellence Initiative (universities)(4.6 bn €; 2006 – 2017)
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
C. The Excellence Initiative: Objectives, Concept and Implementation
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
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
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
The Excellence Initiative was …decided by the state and federal governments in July 2005launched 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
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Schedule and Budget Frame
1st and 2nd phase2006/2007 - 2017
4.6 bn € (incl. 20% overhead funding)Ø 460 mn € per year
75 % by the federal government, 25 % by the state governments
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
_ 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
Program Features
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
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
prerequisite
Relation between the three funding lines
Institutional Strategies for Top-Level University Research
_ Increase international competitiveness of the whole university _ Approx. € 12,5 million p.a. each
Funding of an Institutional Strategy requires funding of at least one Graduate School and one Cluster of Excellence!
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
_ Research achievements
_ Institutional setting for top researchers at every career level
_ Research oriented teaching (if submission of concept)
_ Capacity to act
Institutional Strategy: Assessment Criteria (1)
+
Status Quo of the University
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
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
=
Assessment Criteria (2)
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
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
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London15
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
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
Kiel U
Hamburg U
Bremen U
Hannover MHHBielefeld
U
Münster U
Bochum U
Köln UAachen TH
Bonn U
Saarbrücken U
Mainz U
Göttingen U
Gießen U
Frankfurt/M. UDarmstadt
TUMannheim U
Heidelberg U
Karlsruhe
Stuttgart U
Tübingen U
Konstanz U
Freiburg U
Ulm U
Würzburg U
Bayreuth U
Erlangen-Nürnberg U
München U
München TU
Jena UDresden TU
Berlin TU
Berlin FUBerlin HU
Oldenburg U
Düsseldorf U
Bamberg U
Regensburg U
Chemnitz TU
Graduate Schools
Clusters of Excellence
Institutional Strategies
Joint Projects
Results of the 2nd Program
Phase
39 Universities are funded:
45 Graduate SchoolsØ € 1,6 mn per School/year
43 Clusters of ExcellenceØ € 6.4 mn per Cluster/year
11 Institutional StrategiesØ € 12.5 mn per University/year
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
_ 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, …)
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Overall Impact of the Excellence Initiative
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
_ 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
Current challenges for the German system
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
_ 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?)
Current challenges for the German system
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
Thank you for your attention!
spang-grau@wissenschaftsrat.de
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
Additional Information
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London22
Organizational Structure
Head Office
5 departments
(total staff ~85scientific staff ~40)
Standing Committees and Working Groups
send members supports
Plenary Assembly
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
Secretary General
Chairman
composed of
External Experts
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London23
Decision Making
Expert Commission
Joint Commission
Strategy Commission
(Representatives of federal and state government)
Grants Committee Excellence Initiative
(Scientists & science administrators)
Topical international expert panels
International expert groups
127 reportsGSC & EXCwr
16 reportsInst. Strat.
Proposals & site visits
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
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
Schedule of the 2nd Phase
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
Selection of the Institutional Strategies (2nd Program Phase)
22 universities submit draft proposals for initial
projects
Assessment of draft proposals
16 universities submit full proposals (9 renewal + 7 initial projects)
On-site appraisals
Comparison and recommendationFunding decision
11 Universities funded
Strategy + Joint Commission
Expert groups
Strategy CommissionJoint Commission
Grants Committee
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
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 StrategiesØ € 12.5 mn per
University/year
(≈ 30 % of funds)
InstitutionalStrategy
III
IGraduate School
IICluster ofExcellence
Funding Lines
Results of the 1st Program Phase (2006/2007)
All funded projects submitted renewal proposals
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
… 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
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Overall Impact of Excellence Initiative (1)
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
… 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
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Overall Impact of Excellence Initiative (2)
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
… 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
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Overall Impact of Excellence Initiative (3)
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
0
5
10
15
20
25
30
35
40
45
Mün
chen
LM
U
Hei
delb
erg
Ber
lin H
U
Aac
hen
RW
TH
Köl
n
Dre
sden
TU
Kon
stan
z
Ber
lin F
U
Mün
chen
TU
Tüb
inge
n E
KU
Fra
nkfu
rt/M
ain
Bre
men
Kie
l
Fre
ibur
g A
LU
Mün
ster
Bon
n
Ham
burg
Stu
ttgar
t
Mai
nz
Mio. €
Erla
ngen
-N
ürnb
erg
30
Granted BudgetsTop 20 (of 39) Funded Universities
2 6 5 3 16 8 # 1 4 15 # 17 # 7 14 12 20 # 10 #
Cluster of Excellence Graduate School Institutional Strategy
31
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
0
500
1.000
1.500
2.000
2.500
3.000
0
20
40
60
80
100
0
5.000
10.000
15.000
20.000
25.000
MPG80
WGL86
HGF18
FhG60
HGF
MPG WGL
FhG
HGF
MPG WGL FhG
MPG WGL
FhG
HGF
Number of institutes and centres 2012
R&D expenditure 2008 in million €
Number of staff(full time equivalents)
of which scientists
Extra-university research
Source: BMBF, Federal Statistical Office
(Destatis)Last updated: May 2012
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
Joint task research funding and universitybuilding in 2012 (estimate, million €)
Source: GWK
Last updated: May 2012
ExpenditureFederal
GovernmentStates
Max-Planck-Society 80 50:50 1.354,4 677,2 645,0
German Research Foundation - 58:42 1.694,1 982,5 677,6
Fraunhofer Gesellschaft 60 90:10 419,5 377,5 39,9
Academy Programme 8 50:50 54,4 27,2 25,9
Helmholtz Association 18 90:10 2.480,4 2.232,3 227,1
Leibniz Association 86 50:50 968,3 489,3 460,4
German Academy of Natural Scientists Leopoldina, Halle/ Saale
1 80:20 9,6 7,7 1,6
Institute for Advanced Study Berlin 1 50:50 6,6 3,3 3,3
R&D Programme for Universities of Applied Sciences
Data not available
37,0Data not available
Higher Education Pact 2020Data not available
251,3Data not available
Research Facilities (Art. 91b Abs. 1 Nr. 3 constitution)
50:50 414,6 207,3 207,3
Total 7.401,9 5.004,3 2.397,3
University Building (Art. 143c constitution) 695,3 695,3 _
Total 8.097,2 5.699,6 2.397,3
Article 91 b constitutionNumber ofInstitutes
Ratio of Funding
Mio. €
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
0
20
40
60
80
1993 1995 1997 1999 2001 2002 2003 2004 2005 2006 2007
Science expenditure l* in Germany in billion €
of which states
Science expenditure total
Source: Federal Ministry of Education and Research
of which industry
of which Federal Government
l* Expenditure for research and develoment, academic teaching and related activities.
Last updated: August 2010
78,2 Mrd. €
44,1 Mrd. €
19,7 Mrd. €
12,2 Mrd. €
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0
10
20
30
40
50
60
70
80
90
Austr
alia
Begiu
m
Denm
ark
Finlan
d
Fran
ce Italy
Japan
Netherlan
ds
Norw
ay
Swed
en
Switzerlan
dSp
ain UK USA
Germ
any
OECD
Total
Rate of first-year students and graduates 2008 l1 in tertiary-type A education l2
Source: OECD
Last updated :September 2011
First year students
Graduates
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.
44 %
16 %
36 % 11 %
37 %
46 %
15 %24 %
54 %
29 %
35 %
28 %
35 %
Rate of dropouts in %
28 %
24 % 21 %
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
Germany: Basic Facts
81.8 million inhabitants16 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
Last updated: May 2012
Source: OECD / Federal Statistical Office
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
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
Germany: Basic Facts
Last updated: July 2012
Source: Federal Statistical Office / German Rector´s Conference
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
DepartmentsPermanent committees and working groups
Higher Education
Research Policy
Evaluation
University Investments and Accreditation
Medicine
Teaching Committee
Research Committee
Research Infrastructure Working Group
Evaluation Committee
Committee for Research Facilities
Accreditation Committee
Medicine Committee
Strategic Commission
Steering Committee
Excellence Initiative
Research Rating
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HEPI Conference | Dr. Inka Spang-Grau | 05 12 2012, London
Federal Government Universities recurrent funds
University Construction
FhG
HGF
DFG
MPG
WGL
207,3 Mio. €
50 %
58 %
90 %
90 %
50 %
Joint Financing of research and teaching on the basis of
article 91b Abs. 1 constitution in Mio. Euro
(2012 estimate)
Research Facilities (including large-scale
facilities)
677,2 Mio. €
982,5 Mio. €
377,5 Mio. €
2232,3 Mio. €
489,3 Mio. €
695,3 Mio. €
States
50 %
695,3
10 %
42 %
10 %
207,3 Mio. €
100 %
677,2 Mio. €
248 Mio. €
711,5 Mio. €
41,9 Mio. €
479 Mio. € 50 %
Last updated: May 2012