1. A German experiment: Creation of top level universities THE EXCELLENCE INITATIVE Drs. Ruud H. T. Bleijerveld Former Secretary General, University of Amsterdam Former Chairman HUMANE HUMANE Conference Konstanz, 22-23 June 2012

2. The Excellence Initiative Based on Agreement of the German federal government and 16 state governments Agreement of the German federal government and 16 state governments Conducted by the German Research Foundation (DFG) and the German Council of Science and Humanities (WR). Conducted by the German Research Foundation (DFG) and the German Council of Science and Humanities (WR). 1st program phase launched in 2006/2007 2nd program phase launched in 2009

3. The program aims to Promote top-level university research Promote top-level university research Establish centres and institutions of German universities Establish centres and institutions of German universities Raise the overall quality of German universities Raise the overall quality of German universities Increase the international competitiveness and visibility of German Universities Increase the international competitiveness and visibility of German Universities Sustainably strengthen Germany as an attractive research location. Sustainably strengthen Germany as an attractive research location.

4. Financial Frame 1st phase 2006/2007 – 2012 m 1.900 (incl. 20% overhead funding): m 380 / year m 1.900 (incl. 20% overhead funding): m 380 / year 2nd phase 2012 – 2017 m 2.700 (incl. 20% overhead funding): m 540 / year m 2.700 (incl. 20% overhead funding): m 540 / year 75% paid by federal government 25% paid by state governments

5. 1. Graduate Schools – m 1 per School/year (in total 10% of funds) Training outstanding young researchers within excellent research environments. 2. Clusters of Excellence – m 6,5 per Cluster/year (in total 60% of funds) Establishing internationally visible competitive research and training facilities, thereby enhancing networking and cooperation among the participating institutions. Funding (1) and (2): German Research Council (DFG) has decisive role. Architecture of the program; three funding lines

6. Architecture of the program; three funding lines (continued) 3. Institutional Strategies – m 12.5 per University/year (in total 30% of funds) Focus on the institutional development to improve the overall conditions for excellent research and training of young researchers. Enabling the universities to establish themselves as internationally competitive institutions. Funding (3): German Council for Science and Humanities (WR) has decisive role.

7. Program Specificities Call for proposal with fixed duration and specified date Call for proposal with fixed duration and specified date Open scope of the call: competition of ideas Open scope of the call: competition of ideas Excellent university research, non-university institutes and private companies as cooperation partner Excellent university research, non-university institutes and private companies as cooperation partner Two stage peer review: draft proposal followed by full proposal. Two stage peer review: draft proposal followed by full proposal. Institutional funding is conditional upon funding of at least one graduate school and one cluster of excellence.

8. Results 1st Program Phase (2007) 37 universities are funded: 39 graduate schools 39 graduate schools 37 clusters of excellence 37 clusters of excellence 9 institutional strategies (3 in 2006; 6 in 2007) 9 institutional strategies (3 in 2006; 6 in 2007)

9. Second Program Phase 2012-2017 (institutional strategies) Competition of new and renewal proposals Competition of new and renewal proposals Funding of maximally 12 Institutional Strategies out of 16 proposals Funding of maximally 12 Institutional Strategies out of 16 proposals Up to 5 new Institutional Strategies Up to 5 new Institutional Strategies Renewal proposals have to document impact of the 1st phase program on the development of the university so far. Is that impact sustainable? Renewal proposals have to document impact of the 1st phase program on the development of the university so far. Is that impact sustainable? Concept for research oriented teaching is optional (not funded!) Concept for research oriented teaching is optional (not funded!)

10. Selection of the Institutional Strategies XX universities submit draft proposals for initial projects XX universities submit draft proposals for initial projects Assessment of draft proposals (by WR + DFG commission) Assessment of draft proposals (by WR + DFG commission) 16 universities submit full proposals 16 universities submit full proposals On-site appraisals by expert groups On-site appraisals by expert groups Comparison and recommendation (by WR + DFG commission) Comparison and recommendation (by WR + DFG commission) Funding decision (representatives of federal and länder government). X universities funded

11. The Expert Groups: Composition 16 different expert groups 16 different expert groups Expertise on behalf of specific aspects within the group: university governance, excellent research, organizational reform, diversity, internationalisation, teaching, career development Expertise on behalf of specific aspects within the group: university governance, excellent research, organizational reform, diversity, internationalisation, teaching, career development Prior experience with evaluations Prior experience with evaluations Impartiality. Impartiality.

12. The Expert Groups: evaluation role Assessment of the university and its proposal: Assessment of the university and its proposal: Assessment of the universitys overall standing and its potential to develop into an internationally competitive institution This requires a disciplinary (specialist) and an organizational (generalist) view on the university as a whole This requires a disciplinary (specialist) and an organizational (generalist) view on the university as a whole The groups assessment relies on the proposal of the university and impressions on site The groups assessment relies on the proposal of the university and impressions on site The assessment is summarised based on a questionnaire (done in a group discussion) The assessment is summarised based on a questionnaire (done in a group discussion)

13. Funding Decision Comparison of the 16 Institutional Strategies carried out by the Strategy Commission of the Science Council based on the 16 evaluation reports. preparation of final decision on funding in the 3rd line by representatives of federal and state government. preparation of final decision on funding in the 3rd line by representatives of federal and state government.

14. Personal observations The choice of an Elite university attracted and still attracts a lot of publicity in the media The choice of an Elite university attracted and still attracts a lot of publicity in the media To become Elite is a great honour, not only for the university but also for the city To become Elite is a great honour, not only for the university but also for the city For example Karlsruhe: Banners of Karlsruhe Elite University along the entrance roads of the city For example Karlsruhe: Banners of Karlsruhe Elite University along the entrance roads of the city The Elite Seal is more important than the money involved. The Elite Seal is more important than the money involved.

15. Finance 1. Graduate Schools m 1 School/year 1. Graduate Schools m 1 School/year 2. Clusters of Excellence m 6.5 Cluster/year 2. Clusters of Excellence m 6.5 Cluster/year 3. Institutional Strategies m12.5 University/year 3. Institutional Strategies m12.5 University/year The quantity of money seems to be a lot but is limited upon closer consideration. Within the third money portfolio often much more is going on The quantity of money seems to be a lot but is limited upon closer consideration. Within the third money portfolio often much more is going on Importance of good management is acknowledged by granting 20% of the total amount as overhead funding. Importance of good management is acknowledged by granting 20% of the total amount as overhead funding.

16. External effects (a) The principle of equality with regard to the universities will be severed envy with the other institutions The principle of equality with regard to the universities will be severed envy with the other institutions No equal division of distinguished universities between the Länder political effects No equal division of distinguished universities between the Länder political effects Cooperation with city and region is strongly promoted regional commitment to the development of the university Cooperation with city and region is strongly promoted regional commitment to the development of the university University with Elite Seal is much more inviting for the top of industry than without this label. University with Elite Seal is much more inviting for the top of industry than without this label.

17. External effects (b) Cooperation with Helmholtz, Max Planck and Frauenhofer Institutes is highly encouraged merger and association paths. Complications: Mixing of federal and land fundingMixing of federal and land funding Modification of federal and land legislation necessary Modification of federal and land legislation necessary Top of scientific staff of the institutes automatically appointed as professor? What about the teaching obligations? Top of scientific staff of the institutes automatically appointed as professor? What about the teaching obligations? Salary systems of institutes and universities are different Salary systems of institutes and universities are different Etc., etc. Etc., etc.

18. Education 1st phase of the program: principle of equal treatment of students in all the Länder of the Federation teaching was to remain out of consideration 1st phase of the program: principle of equal treatment of students in all the Länder of the Federation teaching was to remain out of consideration 2nd phase of the program: research oriented teaching is a dimension of assessment but no extra funding connected to teaching! 2nd phase of the program: research oriented teaching is a dimension of assessment but no extra funding connected to teaching!

19. Internal effects Formulation of a clear vision and mission: elaboration in a long term strategic plan Formulation of a clear vision and mission: elaboration in 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 the Land. Political commitment of the Land. Effects on staff policy: Increase intake of young staff members (male/female ratio) Increase intake of young staff members (male/female ratio) Improve female participation at scientific top level Improve female participation at scientific top level

20. Effects on staff policy (continued): Recruit top level scientists internationally Recruit top level scientists internationally See to it that young scientists get experience at the worlds top level institutions See to it that young scientists get experience at the worlds top level institutions Exploit expertise of retired staff members Exploit expertise of retired staff members Continuously optimize the organization. Continuously optimize the organization. Keep away from rigidity!

21. Realization and how to proceed Inspiring visionary leadership Inspiring visionary leadership Widely supported idea development Widely supported idea development Open communication top-down and bottom-up Open communication top-down and bottom-up Professional management at top and departmental level (professional dean) Professional management at top and departmental level (professional dean)

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

23. Leaders and managers Leaders take care of effectiveness and managers take care of efficiency Leaders take care of effectiveness and managers take care of efficiency Leaders do the right things and managers do the things right Leaders do the right things and managers do the things right Leaders are focussed on the future and managers on the present Leaders are focussed on the future and managers on the present

24. Discussion