1. Helmholtz-Association Programme-Oriented Funding (POF) - a new concept of strategic research planning and evaluation - Jörn Thiede Vice-President of the Helmholtz-Association and Director of the Alfred-Wegener-Institute, the Helmholtz-Center for Polar and Marine Research BMBF/OECD Workshop Evaluation of Publicly Funded Research September 26/27, 2005

2. Universities Helmholtz 2,2 Mrd. € Basic Research Interdisciplinarity Max-Planck 1,25 Mrd. € Leibniz 1,6 Mrd. € Fraunhofer 1,0 Mrd. € Disciplinarity AppApAAapp liedlication German research landscape EARTH and ENVIRONMENT

3. Mission statement of the Helmholtz- Association We contribute to solving grand challenges which society, science and industry face. We research systems of great complexity in close cooperation with national and international partners and using our large-scale facilities and scientific infrastructure. We contribute to shaping our future by combining research and technology development with perspectives for innovative applications and provisions for tomorrow’s world We provide access to large scientific infrastructure for the German and European research system

4. Helmholtz Facts and Figures Germany List Helgoland BremerhavenGeesthachtHamburg Greifswald Braunschweig Wolfenbüttel- Remlingen Göttingen Magdeburg Potsdam Berlin Zeuthen Teltow Niemegk Halle Leipzig Bad Lauchstädt Köln Jülich Bonn Darmstadt Heidelberg Lampoldshausen Karlsruhe Suttgart München GarchingNeuherberg Oberpfaffenhofen Germany 15 Research Centres 250 Institutes 24,000 Employees 8,500 Scientists and Engineers Budget 2.2 billion euros (including grants)

5. A MODERN, INNOVATIVE, IMAGINATIVE INSTITUTION IN EUROPE, DEDICATED TO ENVIRONMENTAL RESEARCH IN EXTREME HABITATS ORIGINALITY CREATIVITY EXCELLENCY SOCIETAL NEEEDS

6. A. Wegener together with Rasmus Villumsen, November 1, 1930

7. Marine, Coastal and Polar Systems Oceans key role in regulating planetary environment home to rich and diverse life Coastal areas diverse and competing interests challenge sustainable use Poles Drivers of global climate evolution Early indicators of impeding changes Adapted ecosystems Sea level changes Objects and objectives require large scale Infrastructure

9. The AURORA BOREALIS-Project: A novel research ice breaker -350 Mio. €- to be funded mainly by a consortium of European countries

10. Reform Goals Focus on core competencies by defining 6 major research areas increase visibility and attractivity for partners by bundling excellent research activities in programmes Strengthen scientific excellence by increasing competition Increase effectiveness and efficiency of resource management Starting in 2000 by committing themselves to a membership association, the Helmholtz centers underwent a fundamental reform process. The goals were:

11. Core elements of the Helmholtz reform Financing of activities (programmes) instead of institutions Programme oriented funding on the basis of international strategic reviews Common strategies for key issues such as internationalization, promotion of young investigators, equal opportunities for both genders, or technology transfer

12. Helmholtz centers concentrate their activities in research fields and programmes Energy Earth and Environment Health Key Technologies Structure of Matter Transport and Space Renewable energies Energy efficient conversion Nuclear fusion Nuclear safety research 15 centers 6 research areas30 programmes

13. Research Fields in the Helmholtz-Association Energy Health Key Technology Structure of Matter Transport and Space Biogeosystems: Dynamics and Adaptation Sustainable Use of Landscapes Sustainable Development + Technology Programmes in the Research Field „Earth and Environment“ Earth and Environment EARTH and ENVIRONMENT Geosystem: The Changing Earth Atmosphere and Climate al + Polar Systems

14. 9 Research Centres in the Research Field EARTH and ENVIRONMENT IPP DKFZ GSI MDC DESY HMI EARTH and ENVIRONMENT

15. Programmes Person years in P3 2002 PT MAR 50 PT CO 174 PT POL 194 PT I 38 P3 EARTH and ENVIRONMENT

16. Programmes are the backbone of Helmholtz research and funding Helmholtz programmes are aiming at Scientific excellence Scientific and societal relevance (Helmholtz Mission) Problem-orientation and interdisciplinarity Long-term scientific strategy and vision Combining expertise and excellence from different centers Critical mass (appr. 80-400 Mio. € yearly budget)

17. Programme funding based on scientific expert recommendations Review of individual programme proposals by individual review panels (8-10 international experts in the field) Written proposal 2 1/2 day review session Comparative assessment of programmes per research field by senate commission (chairmen of review panels, permanent expert members, Senate members, representatives of financing partners) written recommendations of review panels oral reports on programme reviews

18. Procedure of programme evaluation Financing partners: Programme funding Senate: Funding recommendation for 5-year period Research field: Programme proposals International review panels: Scientific evaluation of programmes Senate commission: Comparative assessment of programmes per research field

19. Strategic programme review is the critical and specific element of the procedure Focus on scientific excellence and relevance of entire programmes (and programme topics) – not of individual projects Focus on strategic, forward view – not primarily on individual past performances

20. Continuous development of scientific profile during the pogramme funding period Yearly reporting to the Helmholtz Senate: assessment of programme progress and costs Mid-term evaluations of participating institutes/units, focussing on scientific performance Continuous strategic discussion in research field steering committees Initiation of ad-hoc activities across programmes Example: EOS of AWI, DLR, GFZ, GKSS

21. The first round of programme reviews is completed Since 2005, the entire Helmholtz activities are financed via the programme-oriented funding procedures In the years 2002-2004, 360 predominantly international reviewers evaluated 30 individual programmes An extensive survey, carried out to assess the general acceptance of the review procedure confirmed the general concept of programme oriented funding

22. The concept of strategic programme review is highly accepted  94% of reviewers rate the concept of strategic programme review as successful  More than 80% of members of Senate commissions, programme spokespersons and scientific directors share a positive view of the concept

23. Programme reviews augment the scientific reputation of Helmholtz amongst reviewers 64% of reviewers feel that their estimation of Helmholtz research has improved by participating in a Helmholtz programme review. 25% of reviewers already had a positive opinion of Helmholtz research before the review.

24. Conclusions and outlook The Helmholtz experience shows that a meaningful strategic evaluation of relatively large programmes is feasible The procedure is well accepted in the scientific community Programme oriented funding increases both competition and cooperation between programmes and between programme partners It strengthens the explicit support of “high performing” groups or units in centers The budgeting process is complex – however it yields transparent funding of programmes and research fields for 5-year periods Currently, the process is optimised in preparation of the second round of reviews, which will start in 2007