FRIEDRICH SCHILLER UNIVERSITY JENA Draft Proposal Institutional Strategy to Promote Top-Level Research.... pour mieux préparer l avenir.

Transcription

1 FRIEDRICH SCHILLER UNIVERSITY JENA Draft Proposal Institutional Strategy to Promote Top-Level Research... pour mieux préparer l avenir. 2 nd Call

2 GRAPHIC DESIGN PRINT September 2006 Liebscher GbR, Jena Weimardruck GmbH

3 FRIEDRICH SCHILLER UNIVERSITY JENA Draft Proposal Institutional Strategy to Promote Top-Level Research... pour mieux préparer l avenir. Draft Proposal for the Establishment and Funding of the Institutional Strategy to Promote Top-Level Research APPLICANT Friedrich Schiller University Jena RECTOR OF THE HOST UNIVERSITY Prof. Dr. Klaus Dicke WORK ADDRESS Fürstengraben Jena Phone +49 (0) Fax +49 (0) rektor@uni-jena.de PARTNER INSTITUTIONS Max Planck Institute of Economics Max Planck Institute for Biogeochemistry Max Planck Institute for Chemical Ecology Leibniz Institute for Natural Product Research and Infection Biology Hans Knoell Institute Jena Leibniz Institute of Age Research Fritz Lipmann Institute Institute for Physical High Technology Jena Fraunhofer Institute for Applied Optics and Precision Engineering Foundation of Weimar Classics Consortium of Universities Halle, Jena, Leipzig Jena, 15th September 2006 Prof. Dr. Klaus Dicke, Rector Friedrich Schiller University Jena

4 CONTENT 0 Overview 1 1 Status Quo 3 2 Long-term Planning 9 3 Institutional Strategy Project Description 13 4 The Institutional Strategy in Context 24 ANNEX I. Basic Data of the University 2 II. Graphical Representation of the University s Decision Making Structures and Processes 8 III. Data Concerning Excellence in Research and Young Scientists Training 10 IV. Third Party Funding 15 V. Research Profiles of Key Researchers 20 VI. Activities on the 1 st and 2 nd Funding Line 22

5 ... pour mieux préparer l avenir. DRAFT PROPOSAL 1 0 Overview Abstract After its renewal and modernization following German reunification, Friedrich Schiller University Jena is striving to reclaim a leading position among mid-sized European universities of long-standing traditions. Its development goals are to increase the international visibility of the traditional foci of its research, to become increasingly attractive for excellent students and for outstanding researchers, and to dynamically produce power for innovation as a motor for the development of the Technology Region of Central Germany. In this, the University focuses on its members creativity, personal commitment, and motivation. In turn, the region s atmosphere, with its tradition of outstanding openess towards research, innovation, and cooperation, offers them stimulating opportunities for effectiveness and impact. The Institutional Strategy seeks to advance the university s development goals within three fields of action and to accelerate their realization: 1. by expanding and deepening the achievement potential of its priority research areas and their positive impact on the university overall, 2. by strengthening and further improving its support for young scientists while according special attention to gender mainstreaming, 3. by strengthening the general conditions benefiting research at the Jena location of research and innovation within as well as beyond the boundaries of the university. Zusammenfassung Nach dem erfolgreichen Neuaufbau nach der Wiedervereinigung strebt die Friedrich-Schiller- Universität Jena an, wieder wie früher einen führenden Rang unter den europäischen Traditionsuniversitäten mittlerer Größe einzunehmen. Internationale Sichtbarkeit in den überkommenen Schwerpunktbereichen ihrer Forschung, hohe Attraktivität für sehr gute Studierende und für herausragende Forscher, dynamische Innovationskraft als Motor für die Entwicklung der Technologieregion Mitteldeutschland sind ihre Entwicklungsziele. Dabei setzt die Universität auf Kreativität, persönliche Verpflichtung und Leistungsbereitschaft ihrer Mitglieder, denen das traditionell forscher-, innovations- und kooperationsfreundliche Klima von Universität und Region gute Wirkungsmöglichkeiten bietet. Das Zukunftskonzept sucht die Entwicklungsziele der Universität auf drei Handlungsfeldern zu befördern: 1. durch Stärkung der Leistungsfähigkeit ihrer Forschungsschwerpunkte mit Ausstrahlung auf die Universität insgesamt, 2. durch weitere Verbesserung ihrer Nachwuchsförderung unter besonderer Berücksichtigung des gender mainstreaming sowie 3. durch Intensivierung der Kooperationen mit weiterer Verbesserung der Ressourcennutzung innerhalb der Universität wie auch mit den Forschungsinstituten und der Wirtschaft.

6 2 DRAFT PROPOSAL... pour mieux préparer l avenir. List of Measures Measure A-1 Appointment Program 2015 (p. 14) Requested Funding (full period) Thousand EUR 1 Incentive Packages for New Appointments 20,000 2 Housing of Research Units in Natural Sciences 4,500 3 Additional Professorships for Basic Research 14,000 4 Establishing Controlling Department 950 A-2 Interconnecting Communication and Structures (p. 15) 5 Junior Professorships/Junior Research Groups 3,750 6 Dornburg Future Conference Expanding the Collegium Europaeum Jenense 500 A-3 Releasing the Dynamics of Individual Top-Level Achievements (p. 16) 8 Personnel Packages 3,000 9 Equipment Funds and Investment Costs 3,750 B-1 Further Development of the Jena Graduate Academy (p. 17) 10 Additional Fellowships Guest Professor Programs Renovation Jena Graduate Building 1, Administration Staff 600 B-2 Third-Party Funding Acquisitions Program for Young Scientists (p. 18) 14 Expanding the Program 2, Additional Junior Professorships 7,500 B-3 Gender Mainstreaming (p. 18) 16 Improving and Expanding Childcare Service Gender Mainstreaming Bridgeover Funding of Doctoral and Postdoctoral Fellows 750 C-1 Service for Transfer, Start-ups, and Research Funding (p. 20) 19 Jena Research Office 1, Jena Alliance for Research & Jena Research Magazine Biotech Start-ups Lab 300 Total 67,600 Total Expenses Staff expenses Other direct expenses Investments Suppl. Funding for indirect expenses (20% of direct exp.) Total (for the full period of funding) 45,200 14,350 8,050 11,910 79,510

7 ... pour mieux préparer l avenir. DRAFT PROPOSAL 3 1 Status Quo With Innovation by Tradition as its motto, Friedrich Schiller University Jena is striving to become a leading research institution on a European and global scale. The university is well-positioned to achieve such a leading role, which it in fact enjoyed until the 1930s. 1 It has been successfully reorganized and modernized following German reunification and its 10 schools collectively offer approximately 120 degree programs and currently serve 20,000 students. It is the only full university in the State of Thuringia. Embedded in the Jena science and high-tech region, the university has become an important focal point and stimulus for the region s boom. 2 It has already gained world-class status in a number of areas of the sciences and arts. This status has been achieved by deepening and expanding high-powered interdisciplinary research foci and combining them with Jena s rich academic tradition. On the basis of a SWOR-analysis and in the effort to further optimize its quality assurance and quality support processes, the University has developed a strategy that rests upon three basic maxims: Best heads, optimal use of opportunities, and proactive cooperation. Best Heads: The core of the growth and expansion strategy is an appointments policy that, while ensuring high quality standards, brings highly-capable scientists who are strong in interdisciplinary research to Jena, helps pave the way into the highest levels of international research for the top performers among them, and strives to ensure an excellent younger generation of scientists. Explicit gender-based affirmative action is just as much a component of the growth and expansion strategy as is the creation of an academically attractive environment offering good research and living conditions. Optimizing Opportunities: In order for the university to hold its own among the international competition, two things are equally necessary: (1) a large increase in the amount of financial and human resources, above all by raising revenue from third-party funding and (2) an increase in the international visibility of FSU s teaching and research foci. The university must consistently take advantage of newly arising opportunities, such as EU research support, just as it also must keep the dangerous effects of developments that cannot be influenced above all demographics under control. Proactive Cooperation: As a site of innovation, Jena has traditionally been known for its almost symbiotic cooperation among the university, the non-university research institutes, the University of Applied Sciences, and the local high-tech companies (cf. list of partner institutions). This cooperation needs to be deepened and expanded to include numerous Small and Medium-sized Enterprises (SMEs) of the region, some of which developed as spin-off companies. At the same time, the strong climate of cooperation must be sustained, supported, and (where possible) expanded. 1 Wissenschaftsrat, Empfehlungen und Stellungnahmen 1994, Bd. I, Köln 1994, Waiting for a Wunder, The Economist, February 11, 2006.

8 4 DRAFT PROPOSAL... pour mieux préparer l avenir. The Institutional Strategy is based upon these maxims and proceeds from the following profile of existing excellence in research (1.1.), analysis of strengths and weaknesses (1.2), and package of measures (1.3). The package of measures exists independently of the Excellence Initiative and is being implemented. 1.1 Jena has been a brand known worldwide for innovative optical technology including research in innovative materials since the end of the 19 th century. In the 20 th century, a national if not international reputation as a center of highly innovative biotechnology joined this renown. Jena s university, bearing the name of Friedrich Schiller and situated next to Weimar, is internationally known in cultural-historical terms as a center of the Enlightenment, of German Idealism, and of early Romanticism. Jena attracted a great deal of attention during the 20 th century by modeling successful ways of coping with social change; it was the city in which the Berufsschule (vocational school) and the Volkshochschule (adult education center) were invented and developed and in which the Zeiss Foundation, founded by Ernst Abbe, anticipated the social (company-provided housing), economic (public-private partnership), and cultural (support for science and arts) achievements of the present. FSU s current research profile is indebted to this tradition of outstanding innovation. The profile is composed of the following main priority research areas: I. Ernst Abbe Center for Photonics. Carl Zeiss, Ernst Abbe, and Otto Schott initiated an interdisciplinary cooperation between science and industry in the area of optical technology. This cooperation became a symbiosis that could be built upon and consistently intensified after Its current organizational structures are the BMBF funded Center of Innovation Ultraoptics (2004) and the Innovation Cluster Optical Technologies (2006; jointly with IOF). More than 10 Thuringian companies are involved in the latter, including the global players Carl Zeiss and Jenoptik. Beyond that, more than 70 SMEs and research and educational institutions are integrated into the innovation cluster via the Thuringian network OptoNet Association. II. Innovative Materials and Technologies. This focus has been a hallmark of top-level research at FSU Jena ever since the times of Zeiss, Abbe and Schott. Work in the realm of materials development and its applications and the investigation of the structure and properties of new substances is conducted across the disciplines and schools, concentrating in Physics (Institute of Materials Science and Technology; Institute of Solid-State Physics; Institute of Condensed Matter Theory and Solid State Optics) and Chemistry (Otto Schott Institute of Glass Chemistry, Cellulose Research, and others). Biology and Medical Science are involved via innovative basic and applied research in the area of biomaterials. The cooperation with non-university institutes and partners in the industry is exemplary

9 ... pour mieux préparer l avenir. DRAFT PROPOSAL 5 in this respect. Most of FSU s patents are in this field. This extraordinary research spill out is documented by the fact that FSU was ranked best nationwide in the latest CHE- Rankings (2006) on Patents as an Indicator of Applied Research and Development. III. Dynamics of Complex Biological Systems. In the 20 th century, the region became a European research cluster for biotechnology, widely recognized as having a high potential for innovation. Hans Knoell, who founded the biomedical sciences in Jena and Germany in 1938, established a microbiological laboratory together with the Schott Company. Today s Beutenberg Campus, with its numerous research facilities and two business start-up centers (BIZ and TIP), has developed out of that first laboratory. The basic research conducted here ranges from the examination of global cycles of matter all the way to genome and protein analyses and biomedical science at the molecular level. The Bio- Instruments Jena concept won special mention at the BioRegio competition in 1996; 32 start-up and spin-off biotech companies are the outstanding result. Today, 22 companies with over 200 employees are working at the BioInstrumentation Center alone. In 2004, the Association for Biomedical Research was founded as an overarching organizational structure with the goal of bringing together all cooperative activities in research and further education. Additionally, ecological research has a long tradition in Jena. E. Haeckel coined the term Ecology to define a new discipline in Biology which deals with the interactions between organisms and environment. The establishment of the Haeckel Center for Functional Biodiversity Research (joint centre of the Universities Göttingen and Jena) will support the development of top-level research in this field. IV. Science and Cultural Patterns. Early Romanticism, German Idealism, and the world literature of German Classicism have their roots in the unique cultural region of Weimar- Jena circa Here is where philosophies and concepts of modernity that would have global influence arose. These ideas acted time and time again as a magnet for researchers from all over the world, who were certainly also attracted by the region s unique research infrastructure for the Arts and Humanities. Indeed, the intellectual atmosphere of the region during the passage from the 18 th to the 19 th century proved to be a Laboratory of Modernity in science, culture, and art. Far beyond merely retaining this heritage, the modern arts and humanities in Jena in cooperation with the Weimar Classics Foundation seize the classical era s claim to modernity and seek to adapt the fruits of the Weimar-Jena encyclopedic spirit to today s intellectual challenges. V. Individuals and Social Change. Social change is not just a traditional research topic in Jena. Coping with change, using knowledge and experience, is in fact the duty of societies in Europe, especially Eastern Europe, towards their own future. Inspired by Jena s distinguished tradition of innovations in addressing social, economic, and political

10 6 DRAFT PROPOSAL... pour mieux préparer l avenir. change, a research focus on the confrontation, difficulties, and dynamics of change in modern Europe has been developing in Jena since 1994 within the Social and Behavioral Sciences, with the involvement of Economics. Within the core of this research area is not just the empirical analysis of intergroup behavior, stability and change in the social elite, and the individual s confrontation of trends towards rapid transformation, but also consulting services of many types. The pertinent interdisciplinary research projects have made Jena a center of knowledge about social change and transformation in today s Europe. The Jena region s considerable momentum towards growth is a result of a traditionally research-friendly business environment. Research and its practical applications therefore strongly encourage business start-ups and spin-offs. The Jena region ranks among the top sites in Germany concerning the concentration of start-ups in tech-intensive industrial sectors as well as in the area of tech-intensive services. 3 FSU s participation in the EXIST-model region project GET-UP since 1998 is, along with other initiatives, a proof of its systematic support for start-ups and entrepreneurship. Since 2002, 15 EXIST-SEEDsponsored spin-off projects have emerged from FSU. At the same time, Jena has been turning into an important center of interdisciplinary location research. Ongoing activities in Jena in the field of Entrepreneurship were formally merged into an interdisciplinary Center for Entrepreneurship Jena at the start of 2006, comprising awareness raising, teaching and coaching of university start-up s. 1.2 FSU s strengths, beyond the research dynamics developed in the priority research areas presented above in (I V), include first and foremost an individual and structural disposition towards cooperation across the borders of the various disciplines. This disposition is supported by a targeted appointments policy, the special nature of FSU as a true UniverCity with the Beutenberg High-Tech Campus, and the interdisciplinary traditions of numerous academic fields. Several newly hired faculty members have emphasized Jena s cooperation-friendly and cooperation-stimulating research climate. Primarily the non-university research institutes, but also the University of Applied Sciences as well as Jena s globally active large corporations are included in this highly developed culture of cooperation. FSU has been working together with the universities in Halle and Leipzig since 1996 in an Universitätsverbund (University Consortium) that was first dedicated to teaching, then renewed and expanded in 2006 to include research. Additionally, the communicative, results-oriented cooperation between a strong university leadership and the schools on the one hand and the Senate and its committees on the other hand counts as one of the University s strengths. In extensively reorganizing numerous academic 3 Hightech-Gründungen in Deutschland: Trends und Entwicklungsperspektiven. Zentrum für Europäische Wirtschaftsforschung GmbH, Mannheim, 2006.

11 ... pour mieux préparer l avenir. DRAFT PROPOSAL 7 disciplines since 1990, the University has achieved an excellent (in East German comparison) appointments level; it has however not yet been able to keep pace with the traditionally top West German universities. Vis-à-vis these strengths, there are nevertheless weaknesses, particularly in safeguarding, consolidating, and expanding the priority research areas. The tasks of connecting them with each other and developing sustainable, formalized interconnecting structures that stimulate research innovation are still in their beginnings. 4 Because of a lack in breadth in basic research, the optimal balance between basic research and applied, technologyoriented research in the area of optics has not been achieved yet. 5 A clear deficit can still be seen in the area of third-party funding acquisitions. These acquisitions lie slightly below the national average; especially the DFG-acquisitions per scientist are unsatisfactory. Some areas, particularly clinical research, computer science, but also various disciplines in the arts and humanities are still falling significantly short of their potential. The national decline in the rate of new start-up biotech companies 6 has recently been evidenced at FSU as well as in Jena. Moreover, although networking between FSU and the region s numerous small SMEs a structural weakness in the new German states was started during the university s extensive renewal and modernization after 1990, it has not yet reached the intensity and extent desired; neither has the university s research as a whole been sufficiently networked with national and international research efforts. As the University approaches its 450 th anniversary in 2008, it sees opportunities above all in an appointments strategy focused on attracting and encouraging cooperation among bright young women and men of research, in optimal support structures for these young scientists as well as in institutional research funding that cooperatively accompanies the full process of research, from initial ideas and basic research all the way to practical applications. For all of this, there are resources that have only partially been tapped into so far: The introduction of tuition fees (most likely in 2010), the possibilities of EU research funding, and the acquisition of alternative financial resources in connection with amplified marketing, fundraising and public relations measures. The university sees the following risks (that are to be managed and minimized): The demographic development of Thuringia, the possibility of economic setbacks for the region, moreover the financial situation of the Free State of Thuringia, as well as a political environment that has become precarious regarding educational funding as a result of the federalism reform. In addition to this, a growing number of replacement investments must be made without the advantage of the manifold funding possibilities available in the years following reunification. 4 See the report of the Expertenkommission Wissenschaftsland Thüringen, 2004, 5 Assessment of the draft proposal Excellence Cluster Ernst Abbe Center for Photonics, 1 st call of the Excellence Initiative. 6 Statistisches Bundesamt (Federal Statistical Office): Unternehmen der Biotechnologie in Deutschland (biotech companies in Germany). Ergebnisse der Wiederholungsbefragung (results of the follow-up survey) 2004.

12 8 DRAFT PROPOSAL... pour mieux préparer l avenir. 1.3 In view of the instruments and measures currently existing and in implementation, the following timetable should be noted: the current university leadership, in office since September 2004, has been able to build upon the highly-functional school structures that have been developed since 1990 with a constantly improved appointments process, a streamlined administration that sees itself as a service provider for researchers and instructors, and an invigorating, constructive atmosphere filled with an impressive Jena spirit of cooperation. In planning and implementing its growth and expansion strategy, the leadership must carefully take into account, along with the prioritized implementation of the Bologna Reforms ( ), the new version of the Thuringian Higher Education Act (2005/06; anticipated to take effect in January 2007) and the changes in internal organization resulting from it. Within the framework of this timetable, the following measures have been taken or introduced: On the basis of detailed discussions with all schools, an overall strategy emerged following the three basic maxims: Best Heads Optimizing Opportunities Proactive Cooperation. This strategy was coordinated with and agreed upon by the board of trustees and was, in a manner of speaking, caught in the line by the Excellence Initiative. The very detailed discussions towards developing goal and performance agreements with the schools are almost finished; the agreements should be finalized in the winter term 2006/07. The core of the overall strategy is to define research priorities, in closest cooperation with the schools, in order to strengthen areas of excellence, to enable flexible interconnecting structures, and to optimize Jena s research environment in a sustainable manner. Although the university, with approximately 8 10 million of 120 million, has a relatively high proportion of flexible funds at its disposal, the university leadership has set a cost-reduction goal of cutting %. This aims towards generating further options in shaping the priority research areas, but also towards achieving via concentration an overall rise in quality. The following specific measures correspond to the above: In defining the priority research areas, the foci described above in (I V) were established. All priority research areas are participating in the Excellence Initiative; they are interdisciplinary, span across the schools, and include non-university research institutions. Furthermore, three scientific centers organized as Centers for Advanced Studies are being set up. They will take their place alongside the existing Centers (e.g., Center for Applied Ethics, Center for the History of the 20 th Century, Jena Center for Bioinformatics). The three new centers will serve to more strongly interconnect the research foci and offer a common content as well as intellectual and organizational framework for scientists from all fields (particularly smaller disciplines). This framework should enable the involved scientists to conduct research at and

13 ... pour mieux préparer l avenir. DRAFT PROPOSAL 9 beyond the borders of the established disciplines, to profit from interdisciplinary dialogue, and to define questions for joint investigation, independently of particular disciplines. These three Centers for Advanced Studies are: The Understanding and Management of Complex Systems, the Cultural Context of Aging, and the Historization of Academic Fields. In 2004, plans that had already been introduced some time ago for gender-based affirmative action and support for young scientists were bundled in the Jenaer Modell der Nachwuchs- und Frauenförderung (Jena Plan for Gender-Based Affirmative Action and Young Scientist Support). Already during the first funding phase (until 2006), this led to extraordinarily good results. The program combines the following measures and organizations: (1) support for Ph.D. candidates can be ensured on the basis of competitively funded graduate fellowships (including fellowships for women in the final phase of their Ph.D.) within the framework of the Jenaer Graduiertenakademie (Jena Graduate Academy, founded in 2006), in connection with the Graduate Schools cooperating therein. (2) After earning a doctoral degree, one can apply for funding to initiate an independent, third-party funded research project ( Förderung zur Verbesserung der Drittmittelfähigkeit support towards increasing third-party funding acquisitions). The funding lasts one year and is accompanied by (3) a program towards Weiterbildung des wissenschaftlichen Nachwuchses (advanced training for young scientists - PROWIN), which provides information about third-party funding programs and transfers knowledge and skills concerning application techniques, personnel management, and more. (4) There is also a program towards the Förderung von Nachwuchsgruppen (funding for junior research units at least 50 % of the group leaders are women), which is connected with (5) the funding measures towards the Verbesserung der Berufungsvoraussetzungen (improvement of academic career chances), as well as (6) a special program towards the improvement of women s academic career chances. The entire system is strictly built upon the merit principle; the Senate s research committee plays a decisive role in the allocation of these funds. 2 Long-term Planning The long-term development goal of the FSU is to further develop and dynamically expand no more then six internationally-recognized interdisciplinary and trans-disciplinary research clusters into novel, impulse-generating basic research areas directly connected to applied research and technological innovation or to social, cultural, political, and economic consultation processes in Europe. These profile-sharpening research areas are to be embedded within the rest of the university s well-balanced academic spectrum these areas shall respond quickly to challenges for the future and to technological and societal change, converting them

14 10 DRAFT PROPOSAL... pour mieux préparer l avenir. energetically into research impulses and finally, they shall consider with all necessary thoroughness the possible societal costs and consequences. The university must, first and foremost within the focal areas, become an international magnet for outstanding students, young scientists, and researchers. In the process, the university is committed to the overarching concept which was concentrated in the example of Ernst Abbe s life s work. This concept demands that the generation of knowledge be optimally organized into areas of excellence and embedded at the same time into an intellectual and practical environment of Jena researchers that is characterized by high standards of social, economic, and political responsibility. The university views the Institutional Strategy as the opportunity of a vigorous developmental boost forward, towards an accelerated and sustainable realization of its development goal. At the same time, the Excellence Initiative s conditions and framework for success as well as its demands for excellence are seen overall as a roadmap, as a framework for orientation regarding quality standards as well as a critical mid-term report on the current status of development. The projects of the Excellence Initiative will be further developed and supported. Top performance in research cannot be planned, only achieved by means of an appointments policy consistently directed towards excellence, extensive support of young scientists, as well as the creation of optimal scientific and structural conditions. The following goals are oriented accordingly: Further improvement of the appointments process, in order to emphasize even more strongly the principles of balance between individual excellence and topic-centered research, special consideration of women at every decision stage of the process, incentives and conditions for creativity and third-party funding acquisition (including all possibilities of W-salaries). Parallel to this, the development of a quality assurance and support procedure allowing regular reviews of the professor s performance in respect to the agreements made upon appointment; Equipping the priority research areas and the Graduate Academy with organizational, financial, and human resources that will make them attractive for high-powered scientists and promote innovative research ideas. Consolidating and expanding the networks connecting the areas with the non-university research institutes and the companies of the Jena region and beyond. Included in this are the university s own Reach-Out Program to SMEs as well as efforts to bring to Jena further non-university research institutes conducting basic research. Support for research and knowledge transfer is to be further improved and expanded upon a new organizational basis as one-stop service agency for regional actors.

15 ... pour mieux préparer l avenir. DRAFT PROPOSAL 11 Closer cooperation with the neighboring universities inside and outside of Thuringia, especially within the framework of the University Consortium Halle Jena Leipzig, in order to offer a coordinated, coherent Jena spectrum of elite, research-oriented degree programs (with 20 % foreign-born students) and in order to sustainably expand the circulation of basic research, applied research, and innovative product development or professional consulting in the broader surroundings. Further development of the Jena Plan for Gender-Based Affirmative Action and Young Scientist Support and of the Jena Graduate Academy. This includes the goal that Doctores Jenenses identify on a long-term basis with their university and the research location as well as the goal of opening tenure-track options (which are aligned to the priority research areas) for top graduates of the Graduate Academy. It also includes expanding the highlysuccessful soft skills training program (PROWIN) to include young researchers. In cooperation first and foremost with the city of Jena, forming an environment that is highly attractive for top researchers and qualified younger scientists. In this process, the most important goals are the creation of a women-friendly and family-friendly work environment as well as an institutionalized dialogue between the university and business and society. FSU s long-term development planning is confronted with the challenge of having to integrate, into a unified overall plan, three imperatives that do not all point in the same direction: (1) developing priority research areas and establishing a strong profile in research; (2) offering a broad spectrum of academic education and training of the highest quality; and (3) to carefully take into account the irreversible process of differentiation within worldwide competition in the area of post-secondary education. Because an increase in resources from state funds is considered unlikely, the university must generate its own elbowroom for forming its future. With this framework, FSU is holding on to the longer-term goal of becoming a location of excellent research and teaching that is clearly visible in the breadth of its disciplines throughout the European Higher Education Area. Moreover, the university strives to become a research location that emits impulses of innovation by means of its priority research areas. These must, however, still be expanded to include at least clinical research. Finally, the FSU also strives to transform itself into a motor for the economic and cultural development of the region. In doing all this, the establishment of priority research areas should not be allowed to stagnate into a static corset, rather it must be shaped into a dynamic system of research innovation, a system that is capable of learning, growing, and changing. Concerning its positioning in the national and international scientific environment, the FSU has repeatedly gotten its bearings from national and international rankings (keeping in

16 12 DRAFT PROPOSAL... pour mieux préparer l avenir. mind all the caution necessary to exercise such instruments), and also from the number of Collaborative Research Centers (CRCs), Research Training Groups (RTGs), and Collaborative Research Units (CRUs). In this respect, the following targets have been set for 2015: (1) In the CHE-Rankings, 50 % of the considered disciplines should rank in the top ten. (2) In the DAAD s and Humboldt Foundation s rankings, the current placement figures are to be halved. (3) In the Shanghai-Rankings, the target is a rank among the top 200 universities. (4) Moreover, a total of 8 CRCs (at least two of which medical), 8 RTGs, and 6 CRUs must be achieved. At the core of the strategy to be pursued, there are the three basic maxims (cf. p. 3) from which the following seven principles are derived: (1) Continued optimization of the strategically aligned appointments policy. By 2015, approximately 125 instructional positions are to be newly appointed. In doing this, the principles listed above must be applied and procedurally safeguarded. (2) Increasing third-party funding acquisition, e.g., via sanctions and incentives in the allocation of resources, as already practiced in taking full advantage of the flexible range of W-salaries. (3) Generating elbowroom for shaping the future by reducing overstretched, sprawling disciplines to their core areas (examples: The cultural science components of media science were discontinued and the romance languages and literatures were consolidated) in coordination with the course offerings of neighboring universities. Also continued development of performance-based funds distribution by developing differentiated standards for resource allocation. (4) Introducing tuition fees (most likely in 2010) in order to decrease instructors teaching loads by introducing lecturers while at the same time introducing more flexible time management possibilities, especially for top researchers. (5) Strengthening the research cooperation between the FSU and non-university research by setting up an institutionalized Jenaer Allianz für Forschung (Jena Alliance for Research) with a joint research office. (6) Improving the general conditions and attractiveness of the Jena research location above all by means of a cooperation agreement with the city of Jena and the pursuit of the Jenaer Bündnis für Familie (Jena Alliance for Families founded in 2006 with considerable university involvement). (7) Flanking, sponsoring-financed programs to promote research and creativity, such as guest professor programs (the current pilot project is in optics, financed by Carl Zeiss), future conferences that will be set up with the participation of the Hochschulrat (University Council).

17 ... pour mieux préparer l avenir. DRAFT PROPOSAL 13 3 Institutional Strategy Project Description The project of the Institutional Strategy should significantly boost the FSU s long-term development over a 5-year time period. During this time period, the revision of the Thuringian Higher Education Act will require, among other things, the expansion of quality management structures as well as the establishment of new regulations regarding appointments. Second, there are dangers that must be avoided: Setbacks due to financial bottlenecks in new appointments, delayed re-investments, or overburdening of instructors. Third, decisive action will have to be taken towards strengthening the priority research areas and securing their sustainability. The project is comprised of three strategic fields of action: (A) Strengthening Fundamental Research and Optimizing the Research Profile, (B) Supporting Women and Young Scientists, and (C) Improving the Research Environment in Jena. Packages with a total of 21 measures are planned within its framework. Field of Action A. Strengthening Fundamental Research and Optimizing the Research Profile With the existing CRCs, RTGs, and CRUs, as well as various projects which are individually funded, the university has achieved a dynamic excellence in research within the priority research areas designated above as well as beyond that in other, smaller areas. The participation of the priority research areas in the 1 st and 2 nd calls of the Excellence Initiative is having considerable structure-building effects in the case of the successful Biodiversity Group 7, and beyond that through the founding of the Ernst-Abbe-Center for Photonics and the establishment of the Jena Graduate Academy. The FSU projects proposed in the 2 nd call should broaden these areas of research excellence and make them sustainable. The Institutional Strategy is about bestowing a stronger developmental dynamic upon the research areas and strengthening their performance capacity. It is also about more strongly supporting young researchers and especially women, as well as introducing innovative measures towards improving the general conditions for research processes in Jena. This should have positive effects overall on the university and the research location and last but not least increase the capacity to confront the general acceleration of research processes proactively and not reactively. Within this framework, there are three packages of measures planned towards strengthening basic research and optimizing the research profile: (A-1) improving, expanding, and stimulating research overall with an Appointments Program 2015 that augments and goes beyond the individual applications of the 1 st and 2 nd Funding Lines; (A-2) creating interconnecting communications and structures towards forming bridges among research areas; 7 As part of the Haeckel Center for Functional Biodiversity Research (jointly with the University of Göttingen)

18 14 DRAFT PROPOSAL... pour mieux préparer l avenir. (A-3) promoting and releasing the dynamics of individual top-level achievements. A-1. Appointments Program 2015 Starting position: in the first decade after reunification, when the university had to overcome the GDR appointments policy of four decades, it had good investment and equipment funds at its disposal, thanks to various special renewal and modernization programs. The arts and humanities have been almost completely reorganized and renewed since The university was able to make on average good to very good appointments, but only relatively few top-level ones. In the more recent past, a comparatively large number of excellent young researchers have been appointed. With falling equipment funds and simultaneously rising needs (above all in the natural sciences) for replacement investments, the university succeeded only in very few cases in appointing renowned C 4 / W 3 professors. Given this starting position and the approximately 125 appointments to be made by 2015, it is imperative to establish an Appointments Program 2015 that combines four components with each other. First, an appointments policy consistently oriented towards excellence, aiming to attract well-known, dynamic researchers to all of the FSU s schools. For this, excellent start-up personnel and equipment (limited to five years) should be offered as an incentive when making the most important appointments, alongside an inspiring academic environment and the very good climate of cooperation. Second, strategic alignment of appointments (e.g. by headhunting, by using savings from rearrangements, or by making overlapping early-appointments) towards strengthening and augmenting existing and newly emerging research foci. Third, further development of the system of flexible funds allocation performance-based and burden-based (with extra funds for proven excellence). Fourth, a system of research quality control, assurance, and support that is to be expanded in the context of the goal and performance agreements. Planned measures are: 1. Setting up an appointments fund for incentive packages for new appointments in the amount of 4 million (continuation after five years with third-party funding acquired from overheads; fallback position: 5 x 2 packages, each 100,000 from state funds; applied for). 2. Renovation project Helmholtzweg 4 and Froebelstieg 3 towards the housing of working groups of the natural sciences, 1 million ( 4.5 million over 5 years; fallback position: open). 3. Establishment of as many as eight professorships (corresponding to the priority research areas) serving to broaden basic research (specification in mid-2007, depending on the research dynamic and success of applications within the Excellence Initiative), 8 x 350,000 = 2.8 million (continuation after five years from savings from, among other things cutting

19 ... pour mieux préparer l avenir. DRAFT PROPOSAL 15 back disciplines to their core areas; fallback position: Four professorships distributed over five years). 4. Building a highly-capable controlling department as a policy unit. One of its purposes will be to further develop a system of full-cost accounting and to expand the performance-based funds allocation system, three administrative assistants (BAT II a) and one technical assistant ( 190,000; continuation after five years with two assistants covered by the recurrent budget; fallback position: strengthening the current controlling department by adding one position). The development goal is an improvement in rankings (50 % better), as well as the additional establishment of two CRCs, two CRUs, and two RTGs and an overall increase of 25 % in third-party funding acquisition per professor within five years (for evaluation cf. p. 21). A-2. Interconnecting Communication and Structures Starting position: Priority research areas constitute the skeleton of a university, whereas interconnecting structures can be seen as forming its nervous system. They form an intellectual and organizational framework for the contents and methods involved in teaching, conducting research, and developing concepts that span across the disciplines. More research innovations within overlapping areas mean increasingly weightier contributions towards generating creativity, defining concepts, and with that, stimulating research. It should come as no surprise that often the small disciplines, seemingly distant from central research questions, are the ones that bring innovative impulses into research processes. And it is exactly those areas that are to be integrated into broader research areas through interconnecting communication and structures. Last but not least, involving young scientists in such structures motivates them towards conducting research and helps them experience how to conduct it in a truly interdisciplinary way. The FSU possesses a variety of interconnecting structures of varying intensity and differing organizational form: The Collegium Europaeum Jenense, the Center for Applied Ethics, the Jena Center for the 20 th Century, the Center for Teacher Education and Didactics Research, the Interdisciplinary Center for Scientific Calculations, and the Jena Center for Bioinformatics. In 2006, a coherent network was formed quickly within the social sciences and humanities towards conducting research on aging. In CRC 482, six schools are involved, in CRC 580 three. The strategic goal in forming interconnecting communication and structures is on the one hand the ideas generated out of a plurality of perspectives that lead to the establishment of new, profile-building consortia (like the recent RTG Human Dignity, a cooperation between the Center for Applied Ethics and the Max-Weber-Center Erfurt), and on the other hand the involvement of new (especially

20 16 DRAFT PROPOSAL... pour mieux préparer l avenir. newly appointed) partners in overarching research contexts contexts that these new partners should communicate when training younger scientists and teaching courses. To increase the energy and vitality of its research processes, the university shall set up and expand three cross-sectoral areas as Centers of Advanced Studies ( Understanding and Management of Complex Systems, Cultural Contexts of Aging, and Historization of Academic Fields ) and shall further intensify its scouting activities for research topics by means of future conferences. The specific measures are: 1. For each of the three cross-sectoral areas mentioned above, one junior professor and one junior research unit, 3 x 250,000 = 750,000 (follow-up arrangement: three tenure track positions in the process of overlapping early-appointments; fallback position: 18 months of boost financing for two young scientists units, using third-party funding), 2. High-powered Dornburg Future Conferences of the Allianz für Forschung Jena (Alliance for Research see below for more on the alliance), to be organized each year with involvement of the University Council, per year 75,000 ( 375,000; after five years one conference every third year, financed by sponsoring; fallback position: One conference in 2008, 30,000, from sponsoring). 3. Expanding the Collegium Europaeum Jenense into an International Forum of the Arts and Humanities, with a special focus on Eastern Europe (one BAT II a position, 60,000 and equipment funds in the amount of 40,000 per year = 100,000). A-3. Releasing the Dynamics of Individual Top-Level Achievements Starting position: The broadening of priority research areas must be flanked by support for smaller areas and also for individual research and cooperative research initiatives. The university is interested in keeping a balance between concentrated research areas, group as well as individual research, in order to secure its continued development across the whole spectrum of disciplines and in order to optimize the communication between individual researchers towards new ideas for preliminary and explorative research. Additionally, a reduced teaching load for younger newly-hired professors should enable them to strengthen their research efforts during the starting phase. Therefore, the FSU grants and organizes, in a competitive process, person-specific support packages (individual researcher and cooperative programs) that, for example, allow relief from current projects and from teaching duties (compensation regulations), the use of research infrastructure, administration assistance for foreign scientists, as well as special childcare measures. Individual support packages have proved themselves as stop-gap and bolstering measures for CRCs; in the Interdisciplinary Center for Clinical Research (medical science) the program Initiative Projects has been started this year. The following measures are planned:

21 ... pour mieux préparer l avenir. DRAFT PROPOSAL For ten packages/contracts per year ten personnel positions (10 x 60,000 = 600,000; fallback position: two personnel positions); 2. Equipment funds and investment costs: 750,000 (fallback position: 75,000). Field of Action B. Supporting Women and Young Scientists Whereas the FSU has been able to achieve considerable success in recent years in the area of support for young scientists, the results concerning the support for female scientists are still ambivalent; especially regarding appointments. The FSU aims to strengthen its concept of combined support structures for women and young scientists a concept being implemented in the Jena Plan for Gender-Based Affirmative Action and Young Scientist Support. Both components of this plan must be bolstered in a lasting way. Gender mainstreaming measures are urgently to intensify. B-1. Further Development of the Jena Graduate Academy Starting position: FSU currently has six DFG funded RTGs and additionally participates in two. Beyond this, it is partner in two International Research Schools (Leibniz and Max Planck). The university founded the Jena Graduate Academy in 2006 in order to further improve the content and organization of the structured education of Ph.D. candidates according to top-level international standards. In the pilot phase (until 2011), the Graduate Academy will consist of two Graduate Schools ( Human Behaviour in Social and Economic Change ; Microbial Communications ; both involved in the Excellence Initiative). These two schools in turn bundle, supplement, and expand the RTGs and doctoral programs within the university s priority research areas that are already funded. Joining these are two doctoral programs within Excellence Clusters ( Engineering of Signalling Network and Laboratory of the Enlightenment ). The university has supported the creation and growth of the Graduate Schools and the Graduate Academy with office staff (two personnel positions) as well as with office space in one part of the building (1000 of 2500 m 3 ) that was remodeled for the CRC 580 (involved in the Graduate School Human Behaviour ). The following measures are planned towards the end of further developing the Graduate Academy: 1. Expanding the Graduate Academy by increasing the number of fellowships (5 x 15,000 = 75,000; fallback position: Five fellowships from budget resources and sponsoring). 2. Expanding the program Promovieren mit Kind (earning a doctorate while raising a child) (see B-3). 3. Establishing two international guest professor programs (2 x 60,000 = 120,000; after five years, continued every other year with funds from sponsors; fallback position: one guest professor program funded by sponsors).

22 18 DRAFT PROPOSAL... pour mieux préparer l avenir. 4. Renovating further building sections to offer centralized office and meeting locations ( 1.3 million; fallback position open). 5. Supporting the office staff (2 BAT II a, 120,000; continuation after five years with overhead funding from granted RTGs; fallback position: One position paid from budget resources). B-2. Third-party Funding Acquisitions by Young Scientists and Their Networks Starting position: In 2005, the various young scientist support efforts conducted since 1998 were integrated into a two-year program towards improving young scientists abilities to acquire third-party funding. On Level 1, seed projects of young postdocs were supported for one year; projects from this seed applications for third-party funding were generated. Level 2 is concerned with networks of young scientists, they were recruited from the Level 1 preparatory projects by the Research Committee. The common project idea, formulated as a joint application, is supported additionally for two years. The support on both levels is accompanied by the PROWIN-Program. The program has proved so far to be a success.the FSU projects that a rise in the number of funded seed projects from (up until now) 55 (of those, 60 % women) to 80 (Level 1) is possible during the next call for proposals in Alongside the 55 projects, two interdisciplinary young scientists networks ( Molecular Diagnostics ; Movement Systems, Jena/Ilmenau ) have been funded (Level 2); the FSU is striving to raise that number to five. The measures planned are: 1. Expanding the program for the funding periods 2007/08 and 2009/10 by raising Level 1 by 250,000 (the university s own contribution remains at 250,000) and likewise raising Level 2 up to 500,000 (fallback position: Continuing program funding at the current level). 2. Additionally establishing six junior professorships, of which every other year three will be awarded to the best graduates of the structured doctoral programs under the condition that candidates will apply for Emmy Noether Funds (DFG) or comparable programs (6 x 250,000 = 1.5 million; continuation and fallback position: Gaining funds for 3 fellowships from foundations and sponsors). B-3. Gender Mainstreaming Starting position: In working towards gender equality, the university has made considerable progress within the framework of young scientist support programs and in some areas beyond that, but in general, it cannot claim extensive success. Within the framework of the University s gender-based affirmative action plans, some programs have been implemented so far (Studieren mit Kind Studying while Raising a Child); Jena Plan for Gender-Based Affirmative Action and Young Scientist Support ; involvement in four work-

23 ... pour mieux préparer l avenir. DRAFT PROPOSAL 19 ing groups of the Jena Local Alliance for Families, founded in 2006; specific measures for supporting women and families via consortium projects; projects for female pupils in the natural sciences, especially in Physics and Mathematics; the current situation in the area of childcare in Jena can also be characterized as generally good. Nevertheless, statistics show again and again that in gender distribution there is a female pyramid; the presence of women decreases progressively from the bottom of academia (start of higher education) to the top (appointments): in the School of Biology and Pharmacy for example, a rate of 76 % female students jars with a rate of 24 % female professors (doctoral candidates 45 %; postdoctoral candidates 30 %). The University draws three conclusions from this: first, in disciplines with a rate of less the 40 % female first-year students, the efforts starting already during secondary schooling must be strengthened; second, the operative as well as awareness-raising capacity of the equal opportunity commissioners must be strengthened at all levels; third, there is the central challenge of raising the rate of female postdoctoral candidates and most importantly of appointments at the professorial level. To these ends, the University has planned the following measures: 1. Improving and expanding childcare by (a) establishing a central agency located at the Graduate Academy that will help arrange childcare at short notice for male and female doctoral candidates children; (b) a fund for flexible childcare, in order to provide for example child-attendants traveling with the professor on conference and lecture trips ( 40,000), (c) a financial contribution to the measures currently being designed by the working group Flexible Childcare within the framework of the Jena Alliance for Families ( 30,000). 2. Strengthening gender mainstreaming within the appointments process via (a) demonstrable head-hunting in cases of none or few (< 25 %) applications from women as well as female candidates inclusion and special consideration by the appointing committee during the 2 nd selection round; (b) the Rector s appointing of gender mainstreaming commissioners (in addition to the equal opportunity commissioners) in all schools (primarily male commissioners, in order to avoid additionally burdening women); (c) a budget for personnel and equipment expenditures of the Equal Opportunity Office for measures within the framework of the Total equality Award competition ( 50,000). 3. Covering the funding gaps that will arise (end of 2006) with the discontinuation of the HWP-funds, for doctoral fellowships and end-phase dissertation fellowships and for post-doctoral funding ( 150,000). Field of Action C. Improving the Research Environment in Jena The comparative advantages created for the University by the excellent interdisciplinary and cooperative climate on the one hand and the University s symbiotic relationship with

24 20 DRAFT PROPOSAL... pour mieux préparer l avenir. the research institutions and businesses in Jena on the other hand have been repeatedly emphasized. In planning the course of the University s future development, special attention should thus be paid to enhancing the Jena research location overall by improving the opportunities it offers for top researchers. The University therefore pursues, in close cooperation with the City of Jena and local enterprises and together with other research institutions, a policy of location marketing that is decidedly oriented towards research and innovation. Multiple activities and events demonstrate the dynamic character of this location marketing policy: e.g., arrangements for a cooperation agreement with the city, Jena s university-supported entry in the national City of Science competition, and important University contributions to the Long Night of the Sciences (11/2005). At the same time, these events also provide an experiential basis towards pursuing the question of how the University s research environment can still be significantly improved. In pursuing this improvement, the University is paying special attention to four considerations. First, transferring research results into the private sector (and conversely, businesses bringing ideas and research gaps to the attention of fundamental research endeavors) during shorter and shorter innovation cycles is a special challenge for a highly-innovative research location. In this, the University can only expand its role as a motor for innovation through the numereous SME which define Thuringia s business landscape. Second, the support of university start-ups in Jena, for which FSU cooperates with the University of Applied Sciences as well as the two start-up incubators BIZ and TIP under the umbrella of the Jena Center for Entrepreneurship. This long-standing cooperation started with the EXIST-competition of the BMBF in 1998, in which Jena won the status of a nation-wide model region for its pioneering support of university entrepreneurs. The success rate needs to be stabilized and expanded. Third, it is about time to create in Jena a common research office of the Jena Alliance for Research, entrusted with research funding, F&E marketing, public relations, and assistance for spin-offs, as a facility of all research institutions. Such a one stop agency will bundle strengths, strengthen skills, stimulate cooperation, and serve as the Poster Child of the research location. Beyond that, coordination between FSU and non-university institutes regarding their appointments policies is to be intensified within the framework of the Alliance in order to deepen research linkages in Jena. C-1. Services for Transfer, Start-ups, and Research Funding Starting position: At FSU, a highly-efficient Office for Research Funding and Transfer has been developed in recent years. With support from the Thuringian Ministry of Arts, this Office already provides services in the region to facilitate the participation in EU research programs. An in-house patent and licensing service supports the FSU s proactive IPR

25 ... pour mieux préparer l avenir. DRAFT PROPOSAL 21 strategy. At the same time, the office assists in organizing and coordinates business contacts, coordinates awareness raising, mentoring and coaching of start-up s, and is also internationally very active via its involvement in the COIMBRA-Group. In addition, excellent support measures encouraging business start-ups have been implemented under the roof of the Center for Entrepreneurship Jena. To stabilize the past successes and further expand the supporting activities, the following measures are planned: 1. Expansion of the Office for Research Funding and Transfer into a Jena Research Office that is open to all Jena research institutions. A professional, interrelated service spectrum for research and enterprise development shall be offered to the users. The main goals are to assist in preparing and to raise the quality of funding applications, to support young scientists in acquiring third-party funding, and also to manage communication between research and business, especially by coordinating the FSU s reach-out program for regional SMEs. (4 personnel positions and equipment funds, 300,000; after 5 years, sustainable shared funding by all participating partners; fallback position: spin-off after 3 years, federal funding for support of university start-ups). 2. The formal founding of a Jena Alliance for Research (e.v. - registered association) as a marketing, lobbying, and public relations organization for the Jena location, with responsibilities concerning idea-scouting and particularly public relations work (Management and a joint research magazine per year 150,000; continuation using business earnings and financing from the participating research institutes; fallback position: founding in 2008). 3. Developing a biotech Start-ups Lab (pilot project): in cooperation with BioCentiv inc., BioRegio e.v. and the Cluster Initiative Central Germany Biotechnology Life Sciences, a biotech Start-ups Lab should be developed. It should implement new paths and structures of applied research and technology transfers for spin-offs. The projects should be located within the BIZ and carried out in close cooperation with the Jena Office of Research; a conceptual plan designed by the operating company BioCentiv inc. is on hand. (1.5 BAT II a positions, equipment funds 120,000; fallback position: 60,000 from state funds). Monitoring and Evaluation. In order to monitor, evaluate, and check the results of the proposed measures as a whole, the following procedure is planned: the University leadership issues a report each year to the University Council about the implementation and success of the measures proposed within the Institutional Strategy. The Council comments on the report and makes recommendations, also regarding the University s long term development planning. The Council also evaluates each measure according to the extent of its goal

26 22 DRAFT PROPOSAL... pour mieux préparer l avenir. realization (A = achieved; B = on the way; C = lagging behind the projected goal). After three years, the goals must be realized to the extent that at least 65 % of the measures are assessed as A and B, of which at least 50 % must be A. Otherwise, the Council is to make recommendations (based upon an external evaluation) towards revising the strategies concerning how the programs are conducted. By the time the period of funding is over, a goal achievement level of at least 95 % A and B (of which 80 % is A) must be reached. The concluding assessment, made upon the basis of external appraisements of the priority research areas as well as of the overall development, is to be incorporated into a recommendation issued by the University Council regarding the University s development from 2012 to Financial Planning in Thousand EUR: Measure Staff expenses Other direct expenses Investments Total 1 A1-1 20,000 20,000 2 A1-2 4,500 4,500 3 A1-3 10,000 4,000 14,000 4 A A2-1 3, ,750 6 A A A3-1 2, ,000 9 A3-2 1,500 2,250 3, B B B1-3 1,300 1, B2-1 2,500 2, B2-2 6,300 1,200 7, B B C1-1 1, , C C Total 45, ,350 8,050 67,600 Supplementary funding for indirect expenses (20% of direct expenses) 11,910 Total including indirect expenses 79,510

27 ... pour mieux préparer l avenir. DRAFT PROPOSAL 23 Yearly Total Expenses for Measures in Thousand EUR: Measure 2007 (Nov/ Dec) (Jan- Oct) Total 1 A ,000 4,000 4,000 4,000 3,333 20,000 2 A ,500 3 A ,800 2,800 2,800 2,800 2,333 14,000 4 A A ,750 6 A A A ,000 9 A , B B B , B , B ,500 1,500 1,500 1,500 1,250 7, B B C , C C Total 2,254 13,520 13,520 13,520 13,520 11,266 67,600 Table of the Number of Staff Members Funded for Each Measure: Salary scale W3 W2 W1 BAT I, Ia, Ib BAT IIa others 1 (A 1-1) (A 1-3) (A 1-4) (A 2-1) 3 1,5 7 (A2-3) 1 8 (A 3-1) (B2) 2 15 (B2-2) (C1-1) 5 21 (C1-3) 1 TOTAL ,5 19

28 24 DRAFT PROPOSAL... pour mieux préparer l avenir. 4 The Institutional Strategy in Context The Institutional Strategy of the Friedrich Schiller University Jena shows continuity with the development goals that have been defined since 1990, furthers the progressive development strategy of the University under the leading maxims Best Heads Optimizing Opportunities Proactive Cooperation. It is nestled within three contexts: first, within the context of reforms and changes to general conditions in the recent past, among which the Excellence Initiative constitutes the interim climax; second, within the University s long-term planning towards achieving again the prominence that it enjoyed until the 1930s; and, third, within the University s efforts to sustainably improve and strengthen the central development conditions of the Jena research location. In view of the first context, it should be mentioned that the University supports the introduction of W-salaries and utilizes them as a way to promote achievement and seeks to configure them constructively (for example, the registrar s training program in spring 2006). Similarly, the implementation of the Bologna Reforms is being accompanied and co-arranged by a Jena Manifesto concerning University Education (formulated by a Rector s committee) and the University is playing a part in the revision of the Thuringian Higher Education Act, to which it is has been trying to contribute its applicable experiences from the 16 years since reunification. FSU s participation in the Excellence Initiative overall and this Institutional Strategy in particular corresponds to three strategic sub-goals of the University: in its strategic plan, it has formulated an overarching strategy of establishing and expanding priority research areas. This strategy in turn takes as its basis the strengthening of research areas that have traditional roots in Jena and are capable of competing internationally. At the same time however, the priority research areas should not be allowed to stagnate and become the corset of a limited and segmented university in danger of petrification. Instead, they are to dynamically illuminate all of the University s research areas, developing them into a flexible and creative system a system in which research should be optimized (in the entire breadth of all offered disciples) and a balance fruitful for innovation should be achieved between concentrated priority research areas and individual research. In this way, Jena s interdisciplinary and cooperative uniqueness shall be preserved and strengthened, the university profile shall be sharpened, and FSU shall be better and more visibly positioned within the ever tougher competition of the European educational landscape. Lastly, and in line with FSU s long-term planning, the comparative advantages of the Jena location are to be decisively strengthened, in order to consolidate and expand the role of the University as the region s motor for innovation and as the focal point of higher education in the Free State of Thuringia. The Institutional Strategy s three fields of action correspond to central development conditions en route to the goals mentioned. Field of Action A aims at deepening basic

29 ... pour mieux préparer l avenir. DRAFT PROPOSAL 25 research in the priority research areas, releasing the dynamics of communicative processes among FSU researchers and creating more room for creativity. FSU s priority research concepts are overall location concepts, into which non-university research is integrated. By means of their involvement in the Excellence Initiative, they function as an impetus for development, spurring on the surrounding scientific environment and accelerating the overall development of top-level research. Field of Action B focuses on supporting young scientists. Their presence and creativity is not only centrally important for the University itself. The University and only the University provides these young scientists essential human and intellectual resources for non-university research institutions, for private sector research, and for all professional sectors in the region and beyond. These institutions depend on creative and innovative research skills. Such efforts are also served by the gender mainstreaming measures proposed, which however in and of themselves address a socio-political challenge par excellence and attempt to successfully tackle it. In Field of Action C, the University actualizes the region s opportunities and acknowledges its responsibility for the region a region that, with Jena, is one of Germany s most booming and innovation-friendly locations. By more firmly bundling and interconnecting research capacities all the way to a common Jena Research Office, the dynamics of the more recent past shall be retained, new synergies shall be released, and the international networking and visibility of the location shall be increased. The packages of measures aim overall towards expanding strengths and just as much towards addressing weaknesses, and they consistently emphasize improving FSU s chances within the European and global competition to get the best heads. Only top researchers can use these chances and convert them into research impulses. Therefore, aspects of the University s appointments policy figure prominently in many of the proposed measures. Upon a successful realization of the Institutional Strategy, the University expects progress beyond the current level of development regarding, on the one hand, the indicators of national and international rankings, especially rankings of third-party funding acquisitions, of completed doctorates, and of the increasing depth of its basic research shown in internationally visible publications. On the other hand, the University is also expecting its research-friendly climate and the Jena research location overall to shine even more brightly on international scale. In the competition for the best heads, image is a prominent factor as well. This is shown by the fact that the success of competing universities in the Excellence Initiative is already one major issue claimed in appointments negotiations at FSU Jena. It is however also shown by Auguste Rodin s 1906 apt formulation of the University s tradition and self-image in his letter of appreciation from Paris for his Jena honorary doctorate: cette université d Jena seculaire et mondiale qui conserve puissam-ment le passé pour mieux préparer l avenir.

30

31 ANNEX

32 ANNEX I Basic Data of University

33 Basic Data of University ANNEX I 3 Annex 1 Basic Data of the University (fiscal year 2005) Total Budget, fraction thereof third-party funding (non-weighted) in Thousand EUR Excl. medical school: incl. medical school: (without university hospital): total: 144,542 EUR 83,505 EUR 228,047 EUR thereof third-party funding: thereof third-party funding: thereof third-party: funding: 29,435 EUR 10,030 EUR 39,465 EUR Third-Party Funding (non-weighted) Per professor: Excl. medical school: incl. medical school: total: 118,000 EUR 157,000 EUR 126,000 EUR Per scientific staff member (including professors): Excl. medical School: incl. medical: total: 16,000 EUR 9,000 EUR 13,000 EUR For the categories of the official statistics in Thousand EUR: Philology and Cultural Studies Sport Law, Economic, Social Sciences Mathematics, Natural Science Human Medicine Agricultural Science, Science of Forestry, Nutritional Science Engineering Science 6,399 EUR 540 EUR 2,110 EUR 18,987 EUR 10,030 EUR 1,065 EUR 334 EUR Student Capacity Excl. medical school: total: Enrolled Students WS 2005/06 SS 2006 total thereof female foreign

34 4 ANNEX I Basic Data of University Professors Excl. medical school: incl. medical school: total: total thereof female foreign Student/Professor Ratio 66 enrolled students per professor Scientific Staff Excl. medical school: incl. medical school: total: total thereof female foreign funded by third party Number of Graduations total thereof female foreign Diplom Magister Staatsexamen Bachelor 1-3 Master

35 Basic Data of University ANNEX I 5 Number of Ph.D. Graduations Total Philology and Cultural Studies Sport Law, Economic, Social Science Mathematics, Natural Science Human Medicine Agricultural Science, Science of Forestry, Nutritional Science Engineering Science Science of Art Female Philology and Cultural Studies Sport Law, Economic, Social Science Mathematics, Natural Science Human Medicine Agricultural Science, Science of Forestry, Nutritional Science Engineering Science Science of Art Foreign Philology and Cultural Studies Sport Law, Economic, Social Science Mathematics, Natural Science Human Medicine Agricultural Science, Science of Forestry, Nutritional Science Engineering Science Science of Art - 1 -

36 6 ANNEX I Basic Data of University Number of Habilitations Total Philology and Cultural Studies Sport Law, Economic, Social Science Mathematics, Natural Science Human Medicine Agricultural Science, Science of Forestry, Nutritional Science Engineering Science Science of Art Female Philology and Cultural Studies Sport Law, Economic, Social Science Mathematics, Natural Science 2-1 Human Medicine Agricultural Science, Science of Forestry, Nutritional Science Engineering Science Science of Art Foreign Philology and Cultural Studies Sport Law, Economic, Social Science Mathematics, Natural Science Human Medicine Agricultural Science, Science of Forestry, Nutritional Science Engineering Science Science of Art - - -

37 Basic Data of University ANNEX I 7 Number of Appointments of Professors Total Philology and Cultural Studies Sport Law, Economic, Social Science Mathematics, Natural Science Human Medicine Agricultural Science, Science of Forestry, Nutritional Science Engineering Science Science of Art Female Philology and Cultural Studies Sport Law, Economic, Social Science Mathematics, Natural Science Human Medicine Agricultural Science, Science of Forestry, Nutritional Science Engineering Science Science of Art Foreign Philology and Cultural Studies Sport Law, Economic, Social Science Mathematics, Natural Science Human Medicine Agricultural Science, Science of Forestry, Nutritional Science Engineering Science Science of Art - - -

38 ANNEX II Graphical Representation of the University s Decision Making Structures and Processes

39 Graphical Representation of the University s Decision Making Structures and Processes ANNEX II