Helmholtz-Association Programme-Oriented Funding (POF) - a new concept of strategic research planning and evaluation - Jörn Thiede Vice-President of the.

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

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Interdisciplinarity

Max-Planck1,25 Mrd. €

Leibniz1,6 Mrd. €

Fraunhofer1,0 Mrd. €

Disciplinarity

Ap

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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