The Excellence InitiativeThe Excellence Initiative

Based onBased on Agreement of the German federal government Agreement of the German federal government

and 16 state governmentsand 16 state governments Conducted by the German Research Foundation Conducted by the German Research Foundation

(DFG) and the German Council of Science and (DFG) and the German Council of Science and Humanities (WR).Humanities (WR).

1st program phase launched in 2006/20071st program phase launched in 2006/20072nd program phase launched in 20092nd program phase launched in 2009

The program aims toThe program aims to

Promote top-level university researchPromote top-level university research Establish centres and institutions of German Establish centres and institutions of German

universitiesuniversities Raise the overall quality of German universitiesRaise the overall quality of German universities Increase the international competitiveness and Increase the international competitiveness and

visibility of German Universitiesvisibility of German Universities Sustainably strengthen Germany as an Sustainably strengthen Germany as an

attractive research location.attractive research location.

Financial FrameFinancial Frame

1st phase 2006/2007 – 2012 1st phase 2006/2007 – 2012 m€ 1.900 (incl. 20% overhead funding): m€ 1.900 (incl. 20% overhead funding):

m€ 380 / yearm€ 380 / year

2nd phase 2012 – 2017 2nd phase 2012 – 2017 m€ 2.700 (incl. 20% overhead funding): m€ 2.700 (incl. 20% overhead funding):

m€ 540 / yearm€ 540 / year

75% paid by federal government 75% paid by federal government 25% paid by state governments25% paid by state governments

1. 1. Graduate Schools – m€ 1 per School/year Graduate Schools – m€ 1 per School/year (in total 10% of funds)(in total 10% of funds)

Training outstanding young researchers within excellent research Training outstanding young researchers within excellent research environments.environments.

2. 2. Clusters of Excellence – m€ 6,5 per Cluster/year Clusters of Excellence – m€ 6,5 per Cluster/year (in total 60% of (in total 60% of funds)funds)

Establishing internationally visible competitive research and training Establishing internationally visible competitive research and training facilities, thereby enhancing networking and cooperation among the facilities, thereby enhancing networking and cooperation among the participating institutions.participating institutions.

Funding (1) and (2):Funding (1) and (2): German Research Council (DFG) has decisive German Research Council (DFG) has decisive role.role.

Architecture of the program; Architecture of the program; three funding linesthree funding lines

Architecture of the program;Architecture of the program;three funding lines (continued)three funding lines (continued)

3. 3. Institutional Strategies – m€ 12.5 per University/year Institutional Strategies – m€ 12.5 per University/year (in total (in total 30% of funds)30% of funds)

Focus on the institutional development to improve the overall Focus on the institutional development to improve the overall conditions for excellent research and training of young researchers. conditions for excellent research and training of young researchers. Enabling the universities to establish themselves as internationally Enabling the universities to establish themselves as internationally competitive institutions.competitive institutions.

Funding (3):Funding (3): German Council for Science and Humanities (WR) has German Council for Science and Humanities (WR) has decisive role.decisive role.

Program SpecificitiesProgram Specificities

Call for proposal with fixed duration and specified dateCall for proposal with fixed duration and specified date Open scope of the call: competition of ideasOpen scope of the call: competition of ideas Excellent university research, non-university institutes Excellent university research, non-university institutes

and private companies as cooperation partnerand private companies as cooperation partner Two stage peer review: draft proposal followed by full Two stage peer review: draft proposal followed by full

proposal.proposal.

Institutional funding is conditional upon funding of Institutional funding is conditional upon funding of at least one graduate school and one cluster of at least one graduate school and one cluster of excellence.excellence.

Results 1st Program Phase Results 1st Program Phase (2007)(2007)

37 universities are funded:37 universities are funded:

39 graduate schools39 graduate schools 37 clusters of excellence37 clusters of excellence 9 institutional strategies (9 institutional strategies (3 in 20063 in 2006; 6 in ; 6 in

2007)2007)

Second Program Phase 2012-2017Second Program Phase 2012-2017((institutional strategiesinstitutional strategies))

Competition of new and renewal proposalsCompetition of new and renewal proposals Funding of maximally 12 Institutional Strategies Funding of maximally 12 Institutional Strategies

out of 16 proposalsout of 16 proposals Up to 5 new Institutional StrategiesUp to 5 new Institutional Strategies Renewal proposals have to document impact of Renewal proposals have to document impact of

the 1st phase program on the development of the 1st phase program on the development of the university so far. Is that impact sustainable?the university so far. Is that impact sustainable?

Concept for research oriented teaching is Concept for research oriented teaching is optional (not funded!)optional (not funded!)

Selection of the Institutional Selection of the Institutional StrategiesStrategies

XX universities submit draft proposals for initial projects XX universities submit draft proposals for initial projects Assessment of draft proposals (by WR + DFG Assessment of draft proposals (by WR + DFG commission) commission) 16 universities submit full proposals 16 universities submit full proposals On-site appraisals by On-site appraisals by expert groups expert groups Comparison and recommendation (by WR + DFG Comparison and recommendation (by WR + DFG commission) commission) Funding decision (representatives of federal and Funding decision (representatives of federal and länderländer government).government).

X universities fundedX universities funded

The Expert Groups: CompositionThe Expert Groups: Composition

16 different expert groups16 different expert groups Expertise on behalf of specific aspects within the Expertise on behalf of specific aspects within the

group: university governance, excellent group: university governance, excellent research, organizational reform, diversity, research, organizational reform, diversity, internationalisation, teaching, career internationalisation, teaching, career developmentdevelopment

Prior experience with evaluationsPrior experience with evaluations Impartiality.Impartiality.

The Expert Groups: evaluation The Expert Groups: evaluation rolerole

Assessment of the university and its proposal:Assessment of the university and its proposal:Assessment of the university’s overall standing Assessment of the university’s overall standing and its potential to develop into an and its potential to develop into an internationally competitive institutioninternationally competitive institution

This requires a disciplinary (specialist) and an This requires a disciplinary (specialist) and an organizational (generalist) view on the university organizational (generalist) view on the university as a wholeas a whole

The group’s assessment relies on the proposal The group’s assessment relies on the proposal of the university and impressions on siteof the university and impressions on site

The assessment is summarised based on a The assessment is summarised based on a questionnaire (done in a group discussion)questionnaire (done in a group discussion)

Funding DecisionFunding Decision

Comparison of the 16 Institutional Strategies Comparison of the 16 Institutional Strategies carried out by the Strategy Commission of the carried out by the Strategy Commission of the Science Council based on the 16 evaluation Science Council based on the 16 evaluation reports.reports.

preparation of final decision on funding in preparation of final decision on funding in the 3rd line by representatives of federal and the 3rd line by representatives of federal and state government.state government.

Personal observationsPersonal observations

The choice of an The choice of an EliteElite university attracted and university attracted and still attracts a lot of publicity in the mediastill attracts a lot of publicity in the media

To become To become Elite Elite is a great honour, not only for is a great honour, not only for the university but also for the city the university but also for the city

For example Karlsruhe: Banners of For example Karlsruhe: Banners of ‘‘Karlsruhe Karlsruhe Elite University’Elite University’ along the entrance roads of along the entrance roads of the citythe city

The The EliteElite Seal Seal is more important than the money is more important than the money involved.involved.

FinanceFinance

1. Graduate Schools 1. Graduate Schools m€ 1 School/yearm€ 1 School/year 2. Clusters of Excellence m€ 6.5 Cluster/year2. Clusters of Excellence m€ 6.5 Cluster/year 3. Institutional Strategies m€12.5 University/year 3. Institutional Strategies m€12.5 University/year

The quantity of moneyThe quantity of money seems to be aseems to be a lot but is limited lot but is limited

upon closer consideration. Within the third money upon closer consideration. Within the third money portfolioportfolio often much more is going on often much more is going on

Importance of good management is acknowledged by Importance of good management is acknowledged by granting 20% of the total amount as overhead funding.granting 20% of the total amount as overhead funding.

External effects (a)External effects (a)

The principle of equality with regard to the The principle of equality with regard to the universities will be severed universities will be severed envy with the envy with the other institutionsother institutions

No equal division of distinguished universities No equal division of distinguished universities between the between the Länder Länder political effects political effects

Cooperation with city and region is strongly Cooperation with city and region is strongly promoted promoted regional commitment to the regional commitment to the development of the universitydevelopment of the university

University with University with EliteElite Seal is much more inviting Seal is much more inviting for the top of industry than without this label.for the top of industry than without this label.

External effects (b)External effects (b)

Cooperation with Helmholtz, Max Planck and Cooperation with Helmholtz, Max Planck and Frauenhofer Institutes is highly encouraged Frauenhofer Institutes is highly encouraged merger merger and association paths.and association paths.

ComplicationsComplications:: ““Mixing” of federal and Mixing” of federal and land land fundingfunding Modification of federal and Modification of federal and land land legislation necessarylegislation necessary Top of scientific staff of the institutes automatically appointed as Top of scientific staff of the institutes automatically appointed as

professor? What about the teaching obligations?professor? What about the teaching obligations? Salary systems of institutes and universities are differentSalary systems of institutes and universities are different Etc., etc.Etc., etc.

EducationEducation

1st phase of the program: principle of 1st phase of the program: principle of equal treatment of students in all the equal treatment of students in all the LänderLänder of the Federation of the Federation teaching was teaching was to remain out of considerationto remain out of consideration

2nd phase of the program: research 2nd phase of the program: research oriented teaching is a dimension of oriented teaching is a dimension of assessment assessment but no extra funding but no extra funding connected to teaching!connected to teaching!

Internal effectsInternal effects

Formulation of a clear vision and mission: elaboration in Formulation of a clear vision and mission: elaboration in a long term strategic plan a long term strategic plan

Sustainability of the outlined development is essential Sustainability of the outlined development is essential Financial situation over a period of 5 years convincing? Financial situation over a period of 5 years convincing?

Political commitment of thePolitical commitment of the ‘Land’ ‘Land’. .

Effects on staff policy:Effects on staff policy: Increase intake of young staff members (male/female Increase intake of young staff members (male/female

ratio)ratio) Improve female participation at scientific top levelImprove female participation at scientific top level

Effects on staff policy (continued):Effects on staff policy (continued): Recruit top level scientists internationallyRecruit top level scientists internationally See to it that young scientists get experience at See to it that young scientists get experience at

the world’s top level institutionsthe world’s top level institutions Exploit expertise of retired staff membersExploit expertise of retired staff members Continuously optimize the organization.Continuously optimize the organization.

Keep away from rigidityKeep away from rigidity! !

Realization and how to proceedRealization and how to proceed

Inspiring visionary leadershipInspiring visionary leadership Widely supported idea developmentWidely supported idea development Open communication top-down and Open communication top-down and

bottom-upbottom-up Professional management at topProfessional management at top and and

departmental level (professional dean)departmental level (professional dean)

Definition of LeadershipDefinition of Leadership

The process of persuasion or example by The process of persuasion or example by which an individual (or leadership team) which an individual (or leadership team) induces a group to pursue objectives held induces a group to pursue objectives held by the leader or shared by the leader and by the leader or shared by the leader and his or her followers.his or her followers.

Leaders and managersLeaders and managers

Leaders take care of effectiveness and Leaders take care of effectiveness and managers take care of efficiencymanagers take care of efficiency

Leaders do the right things and managers Leaders do the right things and managers do the things rightdo the things right

Leaders are focussed on the future and Leaders are focussed on the future and managers on the presentmanagers on the present

DiscussionDiscussion