Excellence Initiative by the German federal and state governments to promote top-level research at German universities - Second Programme Phase -

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1 Excellence Initiative by the German federal and state gvernments t prmte tp-level research at German universities - Secnd Prgramme Phase - Clgne, Ntes n preparing a draft prpsal fr an Institutinal Strategy A draft prpsal fr the third funding line (Institutinal Strategies) shuld be submitted in English and German by September 1, 2010 (strict deadline). The draft prpsal may nt exceed 25 pages (excluding cver sheet, table f cntents and annexes; fnt: Arial 11pt; line spacing 1.5, margin 3 cm all rund, layut A4). Fr cntents and page numbers, the English versin is definitive. In additin t the printed versin (25 cpies), an electrnic versin (PDF file n CD-ROM) is requested. Please cmbine the draft prpsal and accmpanying dcuments int ne file (fr example in Wrd frmat) and include a table f cntents with bkmarks. This main file shuld be cnverted int a PDF dcument. When cnverting t PDF, please nte the settings. The prgramme shuld autmatically generate the table f cntents in Wrd int bkmarks in PDF. The PDF dcument shuld nt include passwrd prtectin r access restrictins and shuld allw yur dcuments t be read, cpied and printed. The draft prpsal has t be structured as described belw. Under each headline yu will find infrmatin regarding the main aspects t be cvered in the respective sectin, and the recmmended length f the sectin. Further infrmatin is available frm the Office f the German Cuncil f Science and Humanities (WR); cntacts: Dr. Sabine Behrenbeck r -263) and Dr. Hildegard Brauns r -263). 1

2 Institutinal Strategy t Prmte Tp-Level Research Title Draft Prpsal University Secnd Prgramme Phase 2

3 Draft Prpsal fr the Establishment and Funding f an Institutinal Strategy t Prmte Tp-Level Research "Title" <in German> "Title" <in English> Applying University: Rectr r President f the university: Title First name Surname Address: Tel: Fax: Tel. Fax Lcatin, date Name and signature Rectr/President Cperatin partners: 3

4 Table f cntents (with recmmended maximum length) Overview (2 pages) 1. Status Qu (9 pages) 2. Institutinal Strategy prject descriptin (10 pages) 3. The Institutinal Strategy in the cntext f the university s lng-term planning (4 pages) Annexes Overview - recmmended max. length: 2 pages - Abstract - length: ½ page max. - The abstract shuld give an idea f the prject at a glance. It shuld include the aims f the prject with reference t the Status Qu (see belw) and the lng-term planning f the university. Als, the abstract can cntain a brief utline f the strategy and measures by which these aims are t be achieved. List f measures Measure Requested funding (fr the entire funding perid) expenditures Staff expenses Other direct expenses Investments (fr the entire funding perid) 4

5 1. Status Qu - recmmended max. length: 9 pages - This sectin serves t describe the cmpetences and rganizatinal structures that will supprt the Institutinal Strategy. Please use this sectin t elucidate the university s capacity t act with regard t strategy develpment and prfile building. Please describe yur university s prfile and its missin regarding research and the advancement f yung researchers. Please prvide evidence fr the existing research quality accrding t internatinal standard in the different research units, especially in the areas defining the university s prfile, and fr the quality and structure f the prmtin f yung researchers, such as: centers established in cmpetitive prcedures; established funding f cllabrative research (incl. ther than DFG funding); Graduate Schls and Clusters f Excellence apprved fr first prgramme phase f the Excellence Initiative (please als include Graduate Schls and Clusters f Excellence planned fr the secnd phase); prjects supprted in the cntext f state initiatives; results f evaluatins r cmparative assessments; if available a biblimetric evaluatin f the research perfrmance, patents, awards and prizes (disciplinary as well as interdisciplinary). Please use Annex 3 fr a cmplete verview table. Please explain hw attractive fr tp researchers at every career level the cnditins at yur university already are, referring t, e.g.: structures and prcesses f research rganizatin (descriptin f instruments, measures and structures t prmte utstanding research, either existing r at the stage f implementatin, independent f the prpsed Institutinal Strategy); infrastructures prmting research; advancement f yung researchers; recruitment prcedures; the intensity and quality f internatinalizatin, and the internatinal visibility f the university; measures t prmte gender equality; the frmats and quality f cperatin with external partner institutins (e.g. nn-university research institutins, private enterprises, libraries, museums, schls, public authrities). 5

6 If the Institutinal Strategy cmprises a cncept fr research-riented teaching, please utline the status f such teaching at yur university. If this is the case, please prvide selected perfrmance evidence, e.g. awards, success in cmpetitins, thirdparty funding fr teaching, evaluatin by external peers. Briefly summarize the strengths, weaknesses, pprtunities and threats faced by the university, using the 4-field matrix belw (SWOT analysis): SWOT analysis Strengths: Weaknesses: Opprtunities: Threats: 2. Institutinal Strategy prject descriptin - recmmended max. length: 10 pages - The Institutinal Strategy (prject) shuld embrace the university as a whle. Its implementatin shuld visibly strengthen the university s internatinal standing and cmpetitiveness. If successful, the prject wuld initiate a prcess creating clear advantages in the internatinal cmpetitin (verifiable develpment prgress). The prpsed measures t prmte tp-level research and advance yung researchers shuld take int accunt the university-specific starting situatin and result in sustainable strengthening and expansin f cmpetitive areas. Please ensure that yur Institutinal Strategy will pursue specific bjectives, whse achievability within the funding perid is plausible and reasnable. Describe the effects intended t 6

7 be achieved by the Institutinal Strategy within the funding perid. Please explain hw the prject prgress will be mnitred thrugh the funding perid and what milestnes are set fr this purpse. The prject descriptin must prvide infrmatin abut: the prject gals and their cherence with the gals f the Excellence Initiative; the planned r current structural changes, the institutinal strategic apprach, which shuld be plausible in terms f the SWOT analysis and with regard t the high-prfile areas f the university (als cvering the questin f hw psteririties will be dealt with, especially thse areas f the university with lwer research perfrmance); the prpsed measures, the resurces prvided fr them frm ther surces, and the prpsed funding sums; the expected develpment prgress and intended effects f the measures, regarding target grups/persnnel and structures. This shuld elucidate hw the Institutinal Strategy wuld make the university mre attractive t tp researchers at every career level; the anticipated psitive effects f the prpsed measures fr the expansin f tplevel research with regard t teaching. Here, it shuld als be explained hw any unintended side effects n teaching wuld be handled. If a cncept fr researchriented teaching is included, its aims and ways f implementatin shuld be utlined, as well. the cnnectin, where applicable, between measures under the Institutinal Strategy and Clusters f Excellence r Graduate Schls, either newly prpsed r candidates fr renewal; the prject rganizatin and prject management at executive and peratinal levels. This shuld cver: decisin-making structures (wh decides, wh cntrls, wh evaluates success?), mechanisms f internal resurce allcatin and, if applicable, mechanisms f internal cmpetitin; als briefly describe the quality management f the prject, preferably quting references (benchmarks) by which the results can be cmpared t apprpriate external standards; the planned develpment f the prpsed measures beynd the end f the funding perid, explaining which measures wuld be sustainable and by what prvisins and t what extent. Fr prfessrs initially financed frm prject funds, the planning beynd the end f Excellence Initiative funding must be utlined; 7

8 the financial planning, reasnably explained regarding ttal vlume as well as specific measures (see tables belw): Financial planning: Measure Staff expenses Other direct expenses Investments annual spending fr measures: Measure 2012 (Nv/Dec) (Jan-Oct) 8

9 Staff t be financed thrugh individual funded measures: Salary scale W3 W2 W1 BAT I, Ia, Ib BAT IIa ther ( Full Time Equivalent ) E 15Ü, 15, 14 E 13Ü, 13 Measure 1 3. The Institutinal Strategy in the cntext f the university s lngterm planning - recmmended max. length: 4 pages - Please describe the cherence between the Status Qu, the Institutinal Strategy and the university s lng-term planning. Explain, against this backdrp, in what respect the funding f the Institutinal Strategy wuld enable critical prgress beynd the Status Qu. Please als expund hw the prpsed Institutinal Strategy wuld cmplement r sharpen the prfile f the university, hw it culd build n earlier successes, and hw it accunts fr current issues and challenges. Specifically, the fllwing shuld be utlined in this sectin: the university s lng-term gals regarding research and the advancement f yung researchers; the strategic apprach fr achieving the lng-term gals and develping the areas defining the university prfile; please explain hw the Institutinal Strategy is integrated in the university s lng-term planning als in cnnectin with ther draft prpsals and intended renewal prpsals thrugh the Excellence Initiative (first and secnd funding lines); the freseeable effects f the Institutinal Strategy within the university (including n teaching) and beynd, fr the sustained expansin f tp-level research; please als include a statement abut the university s psitin amng the ranks f natinal and internatinal research cmpetitrs, and name internatinal benchmark institutins. At this pint, please declare that all legal requirements fr implementing the Institutinal Strategy are in place r (as agreed with the hme state f the university) will be met in time fr the funding start date. 9

10 Separately, the federal state is expected t prvide by September 1, 2010: Declaratin f the State cmprising the fllwing elements: cmmitment t c-fund the prject (25 %); legal review f the prpsed measures under the prject; if necessary: plans t establish the necessary legal basis; cnsent fr supprt t ensure sustainability f the prject measures. 10

11 Annexes Annex 1 Basic data f the university Current figures accrding t the definitin/frmat f fficial statistics budget, f which third-party funding (nt weighted) Third-party funding (nt weighted) per prfessr and per academic staff (incl. prfessrs) (ttal and detailed fr subject grups accrding t fficial university recrds) Number f enrlled students, f which female/f which internatinal (ttal and detailed fr the fllwing degrees: Diplm, Magister, Staatsexamen, Bachelr, Master) Prfessrships (C4/C3/C2 r W3/W2/W1), f which female/f which internatinal (physical persns, nt Full Time Equivalent r psitins) Student/tutr rati (enrlled students per prfessr) Academic staff (excl. prfessrs), f which third-party funded/f which female/f which internatinal (physical persns, nt Full Time Equivalent r psitins) Number f graduates p.a., f which female/f which internatinal (fr the last three years, ttal and detailed fr the fllwing degrees: Diplm, Magister, Staatsexamen, Bachelr, Master) Number f dctrates p.a., f which frm wmen/f which frm internatinal graduates (fr the last three years, ttal and detailed fr subject grups accrding t fficial university recrds) Number f habilitatins p.a., f which frm wmen/f which frm internatinal candidates (fr the last three years, ttal and detailed fr subject grups accrding t fficial university recrds) Number f prfessrs appinted p.a., f which female/f which internatinal (fr the last three years, ttal and detailed fr subject grups accrding t fficial university recrds) Annex 2 Graphic chart f the decisin-making structures and prcesses f the university highlighting any changes planned under the prpsed Institutinal Strategy Annex 3 Infrmatin pertaining t the quality and structure f research and the advancement f yung researchers Type Descriptin Number Cmments Academic Awards (awarded t active members): Type Descriptin Ranking Cmments Rankings: DFG Funding Ranking in terms f ttal funding in terms f number f prfessrships 11

12 Type Designatin Number Cmments DFG funds Clusters f Excellence Graduate Schls Cllabrative Research Centres Research Training Grups Research Units EU funds Integrated Prjects Netwrks f Excellence Federal funds State funds (frm cmpetitin prcess) Funds frm fundatins Type Descriptin Number Cmments Patents Annex 4 Third-party funding Principal prjects/initiatives fr the high-prfile areas f the university a) Overall funding vlume (spending, nt funds apprved) Type DFG funds f which funds frm the Excellence Initiative (GSC, EXC) EU funds Federal funds State funds (frm cmpetitin prcesses) Funds frm private sectr/industry Funds frm fundatins b) Funding perid Type Designatin Title Funding perid (start, end) DFG funding SFB 12

13 EU funding Federal funding IP State funding (cmpetitin prcesses) Industry funding Funds frm fundatins Annex 5 Bigraphical sketch f leading researchers (fr an Institutinal Strategy cntaining disciplinary measures r activities) 1 Page per researcher, max. 10 publicatins Annex 6 Prjects in the first and secnd funding line Intended renewal prpsals fr prjects already funded in the first prgramme phase, and draft prpsals fr the secnd phase. Status fr each entry (e. g. funded since 2006, since 2007, Draft ). Funding line Title Partner Status Graduate Schl... Cluster f Excellence... Annex 7 Glssary Please prvide a glssary shwing the English and German designatins f the cmmittees, faculties, institutins etc. mentined in the draft prpsal. 13

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