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Strategies for Excellence in International Research: The German Approach

Strategies for Excellence in International Research: The German Approach. Hans-Ulrich Heiss, VP for Academic Affairs , Digitalization , and Sustainability TU Berlin. Content. A. Prelude :

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Strategies for Excellence in International Research: The German Approach

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  1. Strategiesfor Excellence in International Research:The German Approach Hans-Ulrich Heiss, VP for Academic Affairs, Digitalization, andSustainability TU Berlin

  2. Content A. Prelude: What it takes to get a stable international partnership:UFRGS – TUB in Computer Science as an example • The German Excellence Initiative: • German Higher Education System and Research Funding • HistoryandConceptsofthe GEI • Clusters of Excellence • Universitiesof Excellence • Example: InternationalizationStrategyof FU Berlin

  3. A. Prelude: What it takes to get a stable international partnership:UFRGS – TUB in Computer Science as an example

  4. Time lineofthedevelopment Heiss Heiss De Rose Navaux Navaux De Rose 1st PROBRAL projectbetween UFMG, UFPR and Paderborn (Travel fundingforjointresearch) De Rose movesto PUCRS 1st PROBRAL: replacementof UFMG by UFRGS (Navaux) Cesar de Rose from UFRGS startsPhDundersupervisionof Heiss (Karlsruhe) Navaux invites Heiss todeliver a keynote at a Brazilian Conference 1st PROBRAL (CAPES/DAAD) 1993 1994 1995 1996 1997 1998 1999 2000

  5. Message 1: Itstartswithcloserelationsbetweenpeople

  6. Time lineofthedevelopment Kao Ferreto, now PUCRS Heiss Righi, now UNISINOS Navaux, Maillard Schepke, now UNIPAMPA De Rose 2nd PROBRAL projectstarts Extensive exchange ofPhDstudentsbetweenPorto Alegre and TUB („sandwich“) Heiss moves to TU Berlin 3rd PROBRAL projectbetween UFRGS, PUCRS, andTUB 2nd PROBRAL (CAPES/DAAD) Fundingby BMBF / FAPERGS 3rd PROBRAL CAPES/DAAD) 2008 2001 2002 2003 2004 2005 2006 2007

  7. Message 2: • Itismoreaboutpeoplethanaboutinstitutions • People taketheircooperationrelationswiththem UFRGS-TUB

  8. Time lineofthedevelopment Heiss, Kao Heiss Navaux Moreira De Rose Diener, now UIUC Double Degree Agreement UFRGS and TUB at bachelor‘slevel 1st UNIBRAL projectstarts (Fundingforstudent exchange) 4th PROBRAL projectbetween UFRGS, PUCRS TUB Joint PhD (cotutelle) between UFRGS and TUB 3rd PROBRAL) 4th PROBRAL CAPES/DAAD) Research coopcontinues UNIBRAL II (CAPES/DAAD) DD programcontinues UNIBRAL (CAPES/DAAD) 2009 2010 2011 2012 2013 2014 2015 2016

  9. Message 3: Forsustainability, graduateandundergraduatestudentsneedtobeinvolved UFRGS-TUB

  10. Time lineofthedevelopment Tai Tai Kao Busse De Rose Ferreto De Rose Student Exchange Agreement PUCRS and TUB in Information Systems Management Moreira Maillard Ritt Research CooperationContinues New student exchange between PUCRS and TUB DD programandstudent exchange between UFRGS and TUB continues 2016 2017 2018 2019 2020 2021 2022 2016

  11. Message 4: The challengeistopreservecooperationsacrossacademicgenerations UFRGS-TUB

  12. Conclusion Successfulcooperations … • rest on good personal relationshipsasthemainpillars • needinclusionofmorepeople on bothsides • needfacetofacemeetingsand mutual visits • arestartingbottom-upandaresupported top-down • needcontinuousfunding • include all stagesoftheacademicpipeline: students, doctoralcandidates, postdocs, juniorfaculty, seniorfaculty • needprecautionstosurvivechangeofgenerations UFRGS-TUB

  13. The German Excellence Initiative: • German Higher Education System and Research Funding • HistoryandConceptsofthe GEI • Clusters of Excellence • Universitiesof Excellence • Example: InternationalizationStrategyof FU Berlin

  14. German Higher Education Systems: Facts andFigures • HEI: 396 • Universities: 121 • Univ. ofAppl. Sciences: 218 • Art and Music: 57 (mostlypublicandrunbystates) • Students: 2.9 M • At Universities: 1.8 M • At Univ. Appl. Sciences: 1.1 M • International: 13,2% • Graduates/year: 500,000 • PhD/year: 30,000 • notuitionfee (public HEI) • only limited selection at admission Trends: • Academizationincreasing: morethan 50% ofagegroupseekingacademicdegree • Shortageofgraduates in STEM fields • Demographic „valley“ ahead • Needs tobefilledby international students • Effortstowardsmoreinternationalization

  15. Major Sourcesof Research Funding Federal Ministryfor Education and Research 18,300 M€ German Science Foundation (DFG) 3,200 M€ EU Horizon 2020 11,500 M€ Research Universities Research Universities State Governments Industry Universities State Governments State Governments Total Research Spending: 16,700 M€

  16. Non-academic Research Institutes in Germany Fraunhofer Society (Applied Research) Employees: 25,000 Budget: 2,300 M Institutes: 69 Leibniz Society Employees: 18,000 Budget: 1,800 M Institutes: 95 Helmholtz Society Employees: 38,000 Budget: 4,500 M Institutes: 19 Max-Planck Society (Basic Research) Employees: 23,000 Budget: 1,800 M Institutes: 84 Cooperationwithuniversitiesbyjointappointments (instituteheads) andjointprojects

  17. Sourcesto Support International Cooperationand Mobility German Academic Exchange Service (DAAD) 470 M€ EU Erasmus + 2.000 M€ Alexander von HumboldtFoundation 120 M€ Broadrangeofprograms forstudentsandscientists inboundandoutbound (worldwide) Scholarshipsandfunding forresearchersfromabroad towork at German universities (worldwide) Fosteringmobilityand transnational cooperation in education (within Europe) Research Universities Research Universities Universities

  18. The German Excellence Initiative: • German Higher Education System and Research Funding • HistoryandConceptsofthe GEI • Clusters of Excellence • Universitiesof Excellence • Example: InternationalizationStrategyof FU Berlin

  19. German Excellence Initiative Goal: Push German universitiestomore international competitiveness Round: 2007 Budget: 1.900 M€ (for 4 years) Threeprogramlines: Clusters of Excellence (6M€ annuallyeach) Graduate Schools (1M€ annuallyeach) Future Concept (4M€ annuallyeach) Eligibilityfor 3. line: success in bothline 1 and 2

  20. Time Line Excellence Initiative Phase II (2.7 B€) Excellence Initiative Phase I (1.9 B€) Excellence Strategy 2019-25 (3.7 B€) Graduate Schools Graduate Schools Clusters of Excellence Clusters of Excellence Clusters of Excellence Future Concepts Future Concepts Future Concepts Evaluation 2016 Graduate Schools Clusters of Excellence Future Concepts 2018 2016 2014 2020 2012 2008 2006 2010

  21. Evaluation of Excellence Program 2016 by an International Expert Commission • Findings: • In general, positive effects • Impressive qualitative improvement at publicationstemmingfromclusters (bibliometricanalysis) • Increasedpublicdebateaboutcompetitivenessanddifferences in researchperformanceof German universities • Impact on universitygovernancemodelsanduniversitylaws • Clusters tendtodevelopinto separate unitswithinuniversitiesposing a problemtouniversityleaders • Positive effects on integrationofuniversitiesinto national researchstructures • Positive effects on internationalization • Failedtosolveproblemsofacademiccareerpaths • Recommendations: • Continuefundingprogramwith at least 500M€/y • Drop line 1: Graduate programs • Design Cluster program (line 2) as „high risk, high gain“ • Replaceline 3 (Future Concepts) by an excellence premium based on pastmerits

  22. CurrentProgram: Excellence Strategyoffederalandstategovernments • OrganizingInstitutions: • German Science Foundation (DFG) • Council of Science andHumanities (WR) • Goals: • bolster Germany’s position as a research location in the long term, • further increase its international competitiveness and • continue the successful development of a research culture that supports high performance and quality • Duration: • 2019-2016 (with prospect for permanent funding) • Structure (2 competition lines): • Clusters of Excellence (385 M€ total annually, target number 50) • Universities of Excellence (148 M€ total annually, target number 11) • Eligibility for 2. line: at least 2 Clusters of Excellence awarded

  23. Evaluation Process • Decisionmaking • Excellence Commission (decisionbody): • 39 international scientificexpertsfrom all disciplines (onevoteeach) • 16 State ministersofscience (onevoteeach) • 1 Federal ministerofscience (16 votes) • Evaluation based on proposaland 2-day on-site-visitof international expert panel • General Procedure • Wellorganized • Dates known 1-2 yearsahead • Detailedspecificationofproposalstructure (templates) • Norestrictions on researchtopics • Clear communicationaboutevaluationcriteria (strictlyscientific) • All documents in English

  24. The German Excellence Initiative: • German Higher Education System and Research Funding • HistoryandConceptsofthe GEI • Clusters of Excellence • Universitiesof Excellence • Example: InternationalizationStrategyof FU Berlin

  25. Cluster of Excellence • Purpose • support project-based funding in internationally competitive research fields at a university or university consortium (up to 3 universities); • hone research profiles and promote prioritization at universities; • create excellent training and career opportunities for early career researchers • Funding criteria: • Excellence of research • Track record of participating researchers • High quality of the university’s supporting structures in the Cluster of Excellence • Supportive and high-performance environment for the Cluster of Excellence • Amountanddurationoffundingforeachcluster: • 3-10 M€ annuallyforsevenyears • Two-stepapplication: • Sketches (30 pp + appendix (CVs andpublications)) • Fullapplication

  26. Funding • 3 to 10 M€ annually • Including • 22% programallowance (overheadcosts) • 1 M€ universityallowance • Fundingmainlyfor • Staffcosts (includingprofessorships) • Expensesdirectlyattributabletoproject (travel, events, ..) • Instrumentation (equipment)

  27. Structureof Cluster Proposal 1 General Information 2 Objectives 3 Research Programme 3.1 Research objectives, research approach and positioning within the research area 3.2 Structure of the research programme 3.3 Staff and institutional composition of the Cluster of Excellence 3.4 Detailed description of the research programme 3.5 Bibliography 4 Supporting Structures in the Cluster of Excellence 4.1 Support of early career researchers 4.2 Support of equal opportunity 4.3 Management, quality assurance, public engagement 5 Environment of the Cluster of Excellence 5.1 Development planning at the university/universities 5.2 Basic framework 5.3 Collaboration, teaching, knowledge transfer 5.4 Links with projects currently funded through the Excellence Initiative 6 Funding Request Appendix (CVs, Publications,…) 120 pages excl. appendix

  28. Results 195 Sketches submitted (April 2017) 88 proposedforfullsubmission (Sep 2017) 88 fullproposalssubmitted (April 2018) 57 approved (Sep 2018)

  29. Universitieseligibleandapplyingfor „University of Excellence“ • As individual universities: • RWTH Aachen • University ofBochum • University ofBonn • TU Braunschweig • University ofCologne • TU Dresden • University ofFreiburg • University ofHamburg • University ofHeidelberg • Karlsruhe Institute of Technology • University ofKiel • University ofKonstanz • University ofMunich • TU Munich • University ofMünster • University ofStuttgart • University ofTübingen • As universityconsortia: • University ofHannover • Medical University ofHannover • FU Berlin • HU Berlin • TU Berlin

  30. The German Excellence Initiative: • German Higher Education System and Research Funding • HistoryandConceptsofthe GEI • Clusters of Excellence • Universitiesof Excellence • Example: InternationalizationStrategyof FU Berlin

  31. Competition Line 2: Future Concept Ifsuccessful in the Cluster line, a universityor a consortiumofupto 3 universitiesmayapply. Conditions: singleuniversity: at least 2 clusters consortium: at least 1 clustereach Goal: The purpose of the Universities of Excellence funding line is to strengthen a university (or a consortium of universities) in the long term on the basis of sustained, joint strategic objectives in a long-lasting collaboration and to develop its international leading position in research Funding can be provided for all measures relating to the strategic concept that enable the university or the university consortium to develop and expand its internationally outstanding areas in the long term and to establish itself within the international competitive environment of leading universities.

  32. The German Excellence Initiative: • German Higher Education System and Research Funding • HistoryandConceptsofthe GEI • Clusters of Excellence • Universitiesof Excellence • Example: InternationalizationStrategyof FU Berlin

  33. Examplefor an institutionalstrategy: • „The International Network University“ • Leading European researchuniversitywith global aspiration • Taking global responsibility • Being a cosmopolitaninstitution • Achievements so far: • Beingattractiveforexcellenttalents • Pursuing transnational research • Systematicexpansionofthe international network • Creationofawarenessandappreciationofinternationality • Improvementofmanagementandadministrationwithregardtoforeignlanguages, interculturalsensibilityanddiversity

  34. International Strategyof FU Berlin • Continuationofmeasures: • Strengthennetworkofliaisonoffices in Brussels, New Delhi, Cairo, Moscow, New York, Bejing, and Sao Paulo • Expandstrategicpartnerships (Hebrew University, St. Petersburh State Univ., Peking University, UC Berkeley, Univ. of British Columbia, University ofZurich) by 2 more • Foster multilateral theme-specificresearchnetworks • Increasethenumberofcooperationinstitutions in the FU International House

  35. International Strategyof FU Berlin • Research: • Goals: • Systematicrecruitmentofexcellentscientistsfromabroad • Strengthenresearch on specificregionsbycooperatingwithinstitutionsofthoseregions • Foster research on global challenges • Measures: • Develop Global FacultyProgram • Create a Guest Professorshipforresearch on internationalization • Introduceandestablish a tenuretrackprogram • Create a Welcome Center for international scholarsas a „One-stop-shop“ • ExpandthemobilityoptionsforPhDstudentsandPostDocs

  36. International Strategyof FU Berlin • Teaching: • Goals: • All FU studentsshouldaquire substantial international experience • Includemore international contents in coursesandprograms • Expandeducationaloffers in non-German languages • Measures: • Developconceptfor international degreeprograms • Expandjointlydeveloped digital courses • Developcourseoffersfor international andinterculturalaspects

  37. International Strategyof FU Berlin • Administration and Management: • Goals: • Establishinternationalityas a centralcross-cuttingtopic • Utilizeexisting international andinterculturalcompetenciesofstaff • Enablestaff at all levelstoactively promote internationalization • Measures: • Developtrainingcoursesforstaff • Send staffmemberstopartneruniversitiesforshort-term exchange • Improve English languageskills • Consequentprovisionof bilingual (German-English) websites, documents, andforms

  38. International Strategyof FU Berlin • University culture: • Goals: • Recognizethediversityofexperiencesofuniversitymembersas a potential • Conveytheself-conceptionof an international networkuniversity in outreachactivities • Stand upforacademicfreedomand exchange • Usealumniandsponsorsas global ambassadors • Measures: • Expandwelcomingandsupportactivitiesforinterantionalstudentsandscientists • Support capacitybuilding in the global south • Communicateinternationalityanddiversityascorefeaturesofuniversity • Utilizealumninetworksasbrandambassadors

  39. Summary • The German Excellence Programhas positive effects on the international competitivenessof German universities • Clusters of Excellence • more powerful than e.g. large EU programs (FP7, Horizon 2020,..) • High effortforapplication, lowoverheadwhenrunning • University of Excellence program • hasledtoreforms in universitygovernanceandhascreatedsupportivestructures • Despitetherathersmall additional budget (+ ca. 3%) theuniversitiesstrivedhardtobeawardedas „excellent“ • The Excellence Programhadonlylittleimpact on theeducationquality (so far)

  40. Comparisonofthe German Excellence ProgramandtheBrazilian PRINT Program • Bothprogramssharethe same goal: Improvethe international competitivenessofthelocaluniversities. • Bothprogramstrytoaddressandovercomeperceivedweaknessesofthe national system. • Bothprogramsputmoreemphasis on coherenceandinnovationthan on pastachievements. • Excellence Program: • International collaborationistakenforgranted • Broad in termsofmeasuresfunded • Elaborate decisionprocess • PRINT Program: • Focussing on internationalization • Specific in termsofmeasuresfunded • Quick andlightweightdecisionprocess

  41. Thankyou!

  42. Numbers of TU Berlin • public funds from state government:321 M€ • additional third-party expenditures: 175 M€ • 35,000 studentsin 130 degreeprograms, 24% international • 8,356 employees (incl. 78 Professors emeritus):

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