Helmholtz-Association Programme-Oriented Funding (POF) - a new concept of strategic research planning and evaluation - Jörn Thiede Vice-President of the.
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Helmholtz-Association
Programme-Oriented Funding (POF)
- a new concept of strategic research planning and evaluation -
Jörn Thiede Vice-President of the Helmholtz-Association
andDirector of the Alfred-Wegener-Institute, the Helmholtz-Center for
Polar and Marine Research
BMBF/OECD WorkshopEvaluation of Publicly Funded Research
September 26/27, 2005
UniversitiesHelmholtz2,2 Mrd. €
Bas
ic R
esea
rch
Interdisciplinarity
Max-Planck1,25 Mrd. €
Leibniz1,6 Mrd. €
Fraunhofer1,0 Mrd. €
Disciplinarity
Ap
pA
pA
Aap
plie
dlic
atio
n German research landscape
EARTH and ENVIRONMENT
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 combiningresearch 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
Helmholtz Facts and Figures
Germany
List
Helgoland
Bremerhaven GeesthachtHamburg
Greifswald
Braunschweig
Wolfenbüttel-Remlingen
Göttingen
MagdeburgPotsdam
Berlin
ZeuthenTeltow
Niemegk
Halle
LeipzigBad 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)
A MODERN, INNOVATIVE, IMAGINATIVE INSTITUTION IN EUROPE, DEDICATED TO
ENVIRONMENTAL RESEARCH IN EXTREME HABITATS
ORIGINALITY CREATIVITY EXCELLENCY SOCIETAL NEEEDS
A. Wegener together with Rasmus Villumsen,November 1, 1930
Marine, Coastal and Polar Systems
Oceanskey 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 evolutionEarly indicators of impeding changesAdapted ecosystemsSea level changes
Objects and objectives require large scale Infrastructure
Zur Anzeige wird der QuickTime™ Dekompressor „Cinepak“
benötigt.
The AURORA BOREALIS-Project: A novel research ice breaker -350 Mio. €- to be funded mainly by a consortium of European countries
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:
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
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 areas 30 programmes
Research Fields in the Helmholtz-Association
Energy HealthKey
TechnologyStructure of
MatterTransport 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
9 Research Centresin the Research Field
EARTH and ENVIRONMENT
IPP
DKFZ
GSI
MDC
DESY
HMI
EARTH and ENVIRONMENT
15%
11%
24%12%
17%
21%
Geosystem: The Changing Earth
Atmosphere and Climate
Marine, Coastal and Polar Systems
Biogeosystems: Dynamics,Adaptation and Adjustment
Sustainable Use ofLandscapes
Sustainable Developmentand Technology
Programmes
Person yearsin P3 2002
PT MAR 50
PT CO 174
PT POL 194
PT I 38
P3
EARTH and ENVIRONMENT
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)
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
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
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
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
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
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
Reviewers: Would you consider the general concept of a strategic review of relatively large scientific programmes as promising?
0
20
40
60
80
100
a) very much so b) moderately c) not promisingbut feasible
d) inadequate
%
Programme reviews augment the scientific reputation of Helmholtz amongst reviewers
128: Has your participation in a Helmholtz programme review improved your personal opinion of the scientific capacity of Helmholtz?
0
20
40
60
80
100
a) no, I alreadyhad a highopinion ofHelmholtz
b) no, myopinion ofHelmholtz
remains critical
c) yes, I waspositively
impressed
d) no, I wasdisappointed
%
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.
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
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