Wr w i s s e n s c h a f t s r a tw i s s e n s c h a f t s r a t HEPI Conference | Dr. Inka...

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w i s s e n s c h a f t s r a t

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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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


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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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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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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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C. The Excellence Initiative: Objectives, Concept and Implementation

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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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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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_ 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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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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_ 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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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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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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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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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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_ 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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_ 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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_ 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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Thank you for your attention!

[email protected]

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Additional Information

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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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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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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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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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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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… 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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… 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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… 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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30

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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

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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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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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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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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


Source: OECD / Federal Statistical Office

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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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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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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 %


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