Folie 1

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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 A driving force for the
German academic system Dr. Inka Spang-Grau
German Council of Science and Humanities
(Wissenschaftsrat/WR), Cologne/Germany
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Structure of the presentation

• 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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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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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)
funding agencies research organisations
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Gross domestic expenditure for researchand
development (GERD) in Germany 1,2
billion
share of GDP
Source OECD
l1 Federal government, states, industry and
non-profit organizations
l2 Lisbon-Target The RD 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.
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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)
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
?
?
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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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Schedule and Budget Frame

• 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

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
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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
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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

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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

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Assessment Criteria (2)
Institutional Strategy (Project)

• _ Plausibility of the Institutional Strategy and
  compatibility with the universitys 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

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Overall Assessment Potential of the University
(3)

• Fit of the Institutional Strategy into the
  universitys 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
  universitys 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
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
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Overall Impact of the Excellence Initiative

• _ 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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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
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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?)
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Thank you for your attention!

• spang-grau_at_wissenschaftsrat.de

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Additional Information
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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
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Decision Making
Proposals site visits
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)
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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
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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
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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
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Overall Impact of Excellence Initiative (1)

• 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 (2)

• 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 (3)

• 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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Granted BudgetsTop 20 (of 39) Funded Universities
Cluster of Excellence Graduate School
Institutional Strategy
2 6 5 3 16 8 1 4
15 17 7 14 12 20 10

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Extra-university research
HGF
WGL86
MPG80
FhG
FhG60
MPG
WGL
HGF18
Number of institutes and centres 2012
RD expenditure 2008 in million
HGF
MPG
WGL
HGF
FhG
FhG
MPG
WGL
Source BMBF, Federal Statistical Office
(Destatis)
Last updated May 2012
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Joint task research funding and
university building in 2012 (estimate, million )
Source GWK
Last updated May 2012
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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
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Rate of first-year students and graduates 2008 l1
in 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
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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
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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
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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
Rectors Conference
Last updated July 2012
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Permanent committees and working groups
Departments
Higher Education
Teaching Committee
Strategic Commission
Excellence Initiative
Research Policy
Research Committee Research Infrastructure
Working Group
Steering Committee
Research Rating
Evaluation
Evaluation Committee
University Investments and Accreditation
Committee for Research Facilities Accreditation
Committee
Medicine
Medicine Committee
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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.
50
677,2 Mio.
DFG
58
982,5 Mio.
42
711,5 Mio.
FhG
90
377,5 Mio.
10
41,9 Mio.
HGF
90
2232,3 Mio.
10
248 Mio.
WGL
50
489,3 Mio.
479 Mio.
50
Last updated May 2012