Chief Executive Unit ESF-ALLEA WORKPLAN For the Review of the Research Institutes of the Bulgarian Academy of Sciences Annex 2 to the BAS-ESF-ALLEA Memorandum of Understanding Revision 20 January 2009 Changed on: 10 February 09, 19 February 09, 27 February 09, 2 March 09, 16 March 09, 18 March 09, 19 March 09 ESF Contact: Farzam RANJBARAN
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Chief Executive Unit
ESF-ALLEA WORKPLAN
For the Review of the Research Institutes of the Bulgarian
Academy of Sciences
Annex 2 to the BAS-ESF-ALLEA Memorandum of Understanding
Revision 20 January 2009
Changed on: 10 February 09, 19 February 09, 27 February 09, 2 March 09, 16 March 09, 18 March 09, 19 March 09
0. SUMMARY OF CHANGES IN THIS REVISION .......................................................................... 3
A. SCOPE ................................................................................................................................................. 4
B. REFERENCE AND APPLICABLE DOCUMENTS........................................................................ 4
C. INTRODUCTION .............................................................................................................................. 4
D. TERMS OF REFERENCE ................................................................................................................. 5
E. PROJECT PLANNING AND IMPLEMENTATION ..................................................................... 6
F. A BRIEF HISTORY AND ORGANISATIONAL STRUCTURE OF THE BAS ......................... 9
G. EVALUATION PROTOCOL .......................................................................................................... 14
H. TEMPLATE FOR THE SELF EVALUATION REPORTS ......................................................... 15
Page 3 of 20
Chief Executive Unit
0. Summary of Changes in this Revision
Changed on 10 February 2009:
Page 4 Paragraph 1: number of panel members (excluding the Chair) for PE-2 (Biological
Sciences) is changed to 8 (from 5) and for PE-3 (Earth Sciences) is changed to 5 (from 8).
Changed on 19 February 2009:
Page 5, Figure 3: the Date of the first meeting of the RMC and the Panels was changed from
being during 1-6 June to be during 8-13 June.
Page 7, Figure 6: The date of the first meeting of the RMC and the Panels was changed from 1-6
June to be during 8-13 June.
Changed on 27 February 2009:
Page 9: Based on a request from BAS, under division 1: Mathematical Sciences, the research unit
4- National Laboratory of Computer Virology, shall be excluded from the evaluation and
therefore the list of research units is modified accordingly.
Page 11: Based on a request from BAS, under Division IV. BIOLOGICAL SCIENCES, the research
unit 2- Institute of Physiology is substituted by 2- Institute of Neurobiology
Page 11: Based on a request from BAS, under Division V. EARTH SCIENCES, the research unit: 10-
Central Laboratory for Solar- Terrestrial Influences is substitute by 10- Institute for Solar-
Terrestrial Influences
Changed on 2 March 2009:
Page 4, last line of paragraph 1: sentence was changed to: “It is envisaged that in addition to
their Chairs, there will be …”
Page 12: Fifth paragraph was modified to: “There are a total number of 69 Research Units “
Changed on 16 March 2009:
Page 6 to 8: Figures (3-7) changed to account for about four weeks delay in the timeline.
Changed on 18 March 2009:
Page 4: [Ref 6] was added.
Page 14: New Section G. “Evaluation Protocol” was added
Changed on 18 March 2009:
Page 15: New Section H. “Template for Self-Evaluation Report Protocol” was added
Page 4 of 20
Chief Executive Unit
A. SCOPE
At the request of the Bulgarian Academy of Sciences (BAS), the European Science Foundation (ESF)
together with the European Federation of National Academies of Sciences and Humanities (ALLEA) will
conduct a comprehensive evaluation of the Bulgarian Academy’s Research Units (RU) under eight
Research Divisions. This document complements the Memorandum of Understanding (MoU) signed
between BAS, ALLEA and ESF. It serves as the project plan that defines and guides the activities of the
three parties involved towards a successful completion of the review.
B. REFERENCE AND APPLICABLE DOCUMENTS
[Ref. 1] Formal request from BAS to ESF and ALLEA for conducting the Review
[Ref. 2] Minutes of the first meeting of the representatives of ESF, ALLEA and BAS
[Ref. 3] Memorandum of Understanding (MoU) signed by the three organisations
[Ref. 4] BAS-ESF contract
[Ref. 5] Bulgarian Academy of Science – A Profile
[Ref. 6] Standard Evaluation Protocol, 2003 – 2009, For Public Research Organisations.
Vereniging van Universiteiten (VSNU), Nederlandse Organisatie voor Wetenschappelijk
Onderzoek (NWO), Koninklijke Nederlandse Akademie van Wetenschappen (KNAW).
January 2003, ISBN 90-5588 278x, link e.g., www.knaw.nl/publicaties/pdf/90000091.pdf
C. INTRODUCTION
On 13 October 2008, an official request [Ref. 1] signed by the BAS President, Professor Nikola Sabotinov,
was sent to the ESF Chief Executive, Professor Marja Makarow, and to the ALLEA President, Professor
Juri Engelbrecht, inviting the ESF and ALLEA to take on the task of conducting the evaluation of the BAS-
RUs. Following this request, a meeting was held at the BAS offices on 21 November 2008 in Sofia with
participants from ESF and ALLEA to discuss the details of the exercise. Minutes of this meeting are
provided in [Ref. 2]. The participants of this meeting form the ESF-ALLEA-BAS ad hoc Technical
Committee (members of the ad hoc committee are introduced in [Ref. 2]). In this meeting a broad-
level agreement was reached on the format of the review and participation of the different
organisations. Following the first meeting in Sofia, a Memorandum of Understanding was prepared and
signed by the three parties on 20 January 2009. This workplan complements the MoU by providing the
details of the activities, their timeline, and the division of responsibilities between the parties involved
Self-Evaluation Reports: actual situation based on the period 2004-2008 and prospective development
Section I. Actual situation based on last five years achievements
1. Name of the research unit and date of establishment. Organization chart of the Unit. 2. Areas of activities and/or mission description. 3. Relation of the research areas and topics of the unit with the research policies and programs
approved by the General Assembly of BAS, and with national and/or EU research priorities. 4. Leadership – description based on the Organization chart with the names and titles of all
leaders elected or appointed (directors, deputy directors, scientific secretaries, heads of structural units1 according to the Organization chart, chairperson of the scientific council, etc);
5. Researchers and other personnel. Analysis of personnel and personnel development in the
period 2004-2008. Separate information about the young researchers2. 6. Formal and informal bilateral and multilateral co-operation and relations with other research
establishments: 6.1 within the Academy (examples of complementary and interdisciplinary approaches) , 6.2 at national level (complementary and interdisciplinary approaches; involvement of
university and industrial partners) 6.3 in Europe and world wide ( internationalization of the research; participation in the
construction of European research area; regional collaborations in Central and Eastern Europe). Development in the period 2004-2008; Assessment of the importance of such cooperation;
7. Organization of the research process at the unit: team work, individual research activities,
seminars, quality control, supervision of junior researchers, institutional planning and reporting, description of the internal procedures of evaluation etc.
8. Participation of the unit in different educational activities. Analysis for the period 2004-2008.
Critical assessment of these activities. PhD training should be considered separately and should include critical analysis of the conditions and quality of this training.
9. Services of particular national importance connected to3 :
1 Here and further these are the sub-units of the RU: sections, laboratories, research groups, etc.
2 In the category of the young researchers are those under 35
3 If relevant for the respective RU.
.
A) operation of national, state and governmental institutions and supporting their functioning;
B) different regional initiatives and infrastructures in the country.
10. Overall academic achievements or reputation of the research unit illustrated by all data for the period 2004-2008 with special stress on:
A) up to five most important scientific achievements; B) up to five most important applied results and/or realizations; C) total number of citations appeared in the period 2004-2008. Critical assessment of all data.
Section II. Strategy and policies for future development 1. Envisaged development of research subjects and plans in short and long term including the
perspectives for the future strengthening of interdisciplinary co-operations within Academy, at national level and internationally (in Europe and worldwide).
2. Actual personnel policy as basis for personal development policy including both plans for
improving PhD training schemes and PhD personnel recruitment. 3. Financial situation. Sources of finance: budget subsidy, additional sources- public, private,
international; cash flow and acquired or donated material assets (indirect, in kind and other type of individual support as for ex. through the international bilateral cooperation should not be considered); strategy and policy for attracting more funding.
4. Critical assessment of the current structure of the research unit with the view of its future
development. 5. Innovation potential of the research unit – patents, advanced technologies, prototypes,
applications, perspectives for strengthening the relations with industry and/or other sectors important for the economic development of the country4. Critical assessment and future plans.
6. Short view of the perspectives of the unit emphasizing its position within the research
structure and the strategic views of BAS. Suggestions of what has to be done to meet the expectations of the society for the future role of the Academy.
The statements of the self-evaluation report should be supported by evidence that is
contained in the annual reports of the research units. This evidence has to be presented in accordance with the 12 annexes to this report or added in the tables related to annexes 1, 6, 7, 8, and 11.
4 If relevant for the respective RU
ANNEXES TO THE SELF-EVALUATION REPORT
COMPRISING THE PERIOD 2004-2008
Annex1: Table of the research projects for the period 2004-2008. Annex 2: List of the publications of the research scientists split up as follows:
2.1. Papers published in science journals 2.1.1 Abroad 2.1.2. In Bulgaria 2.2. Papers published in full text in congresses and symposia proceedings, as well as in thematic/subject collections 2.2.1.Abroad 2.2.2.In Bulgaria 2.3. Scientific books published 2.3.1.Abroad 2.3.2. In Bulgaria 2.4. Text-books and other training aids 2.5. Popular science and other papers for general public 2.5.1. books and brochures 2.5.2. articles
The list of publications has to be split up by types of publication as enumerated above, and the numbering in each paragraph has to start from 1.
The description of each paper published has to comprise: names of the authors, title of the journal, proceedings or collections, volume, issue, pages from-to, year. All data concerning papers published in Bulgarian have to be translated into English, marking “in Bulgarian” between brackets.
The description of each book published has to comprise: authors, title, publishing house, city, year, total number of pages, illustrations and figures. All data concerning books published in Bulgarian have to be translated into English, marking “in Bulgarian” between brackets.
Annex 3: List of scientific products ready to be implemented in industry. Annex 4:Table of the scientific products, inventions and patents produced over the period 2004-2008, presented within the following columns: heading, registration number of the patent, etc., user, mode of participation of the scientific unit in the implementation, mode of realization (e.g. marketing, implementation, etc.), effect of the realization, transfer of technologies under contracts with industry. Annex 5: Patent-license activities, including individual patents of scientists of the Unit registered over the period 2004-2008. The results have to be presented in tables:
5.1 Support of protection documents: Columns: authors, headings, participation of external organizations and private persons participating in the support; income from license realization broken down by years. 5.2. Applications for protection documents under way: Columns: authors; names; countries; 5.3. Protected patents and licenses, introduced in our country and abroad during the period; Columns: authors; names; countries; revenues from licensing realization so far by year.
Annex 6: Information about the regular personnel of the unit by 31 December 2008 according to the attached form. Annex 7: Information about the distribution of the regular personnel of the unit in age groups according to the attached form. Annex 8: Information about the PhD students in the unit by year for the period 2004-2008 and the state by 31 December 2008 according to the attached form. Annex 9: Tables presenting the participation of scientists from the unit in teaching and training: 9.1. In institutions of higher education:
9.1.1. Lectures and specialized classes: Columns: subject or topic; lecturer, degrees and titles; institution of higher education; total number of academic hours for the academic years. This information should be presented by year for the period 2004-2008 and as a whole for the period. 9.1.2. Practices and seminars: Columns: subject or topic; lecturer, degrees and titles; institution of higher education; total number of academic hours for the academic years. This information should be given by year for the period 2004-2008 and as a whole for the period; 9.1.3. students preparing their bachelor or master theses - numbers by institutions of higher education. This information should be given by year for the period 2004-2008 and as a whole for the period.
9.2. Post-graduate training and specialization courses: Columns: subject or topic; supervisor (lecturer), degrees and titles; place of delivering; total number of academic hours for each year. This information should be given by year for the period 2004-2008 and as a total for the period; 9.3. Schools organized by the unit: topic, total number of participants, including those from abroad, total number of lecturers, including those from abroad. This information should be given by year for the period 2004-2008 and as a total for the period. 9.4. List of contracts and agreements with institutions of higher education and scientific organizations in the country. This information should be given as a whole for the period.
Annex 10: Information about the expert activity of the scientists and the specialists with higher education from the unit:
10.1. List of councils, commissions and other expert bodies of external for BAS institutions (governmental and non-governmental), foundations, organizations, publishing houses and others, where scientists and specialists from the unit are participating. This information should be given as a total for the period.
Annex 11: Information about the international activity of the unit according to a questionnaire applied. This information should be given as a total for the period. Annex 12: List of scientists from the unit, participating in editorial boards. This information should be given as a total for the period:
12.1. of journals in Bulgarian (the journal has to be indicated) 12.2. of journals abroad (the journal has to be indicated)
ATTENTION: Each section, table or annex to the Report should start with a heading containing the name of the respective research unit. In all tables, the numbers, resources etc. should be summed up by year and as a total for the period 2004-2008.