German
Research Evaluation and Performance-related Funding Allocation (LOM) at the UMG
Research Evaluation
In 2000, the University Medical Center Göttingen (UMG) established an annual internal research performance evaluation system, which serves since 2003 as the basis for a formula-bound system of funding allocation (Leistungsorientierte Mittelvergabe, LOM).
The research performance of the departments is assessed annually over a period of three years ex post (relating to the past). The criteria for the current formula-bound, performance-related system of funding allocation follow the recommendations of the German Research Foundation (Deutsche Forschungsgemeinschaft, DFG) for performance-related funding allocation at the medical faculties. The annual evaluation of the institutions of the UMG weighs at a 1:1 ratio the quality and amount of publications as well as the amount and origin of third-party funds spent. Authorships will be weighed from the next evaluation period. Publication achievements and third-party funds are presented as an absolute value and in percent of the total performance during the respective evaluation period (e.g., 2008-2010). The overall result (publications and third-party funds) for a department serves as the basis for the calculation of the performance-related funding allocation (LOM).
Performance-related Funding Allocation
Until 2006, the UMG allocated only material resources on the basis of the above described criteria. Since 2007, additional staff appropriations are allocated based on performance and teaching load. The model for the basic- and performance-related allocation of staff appropriations to the research- and teaching departments differs between the areas of (1) Pre-clinic, (2) Clinical, clinical-theoretical, and theoretical departments, and (3) Departments for Dentistry, Oral Medicine and Craniomaxillofacial Surgery, allowing to take into account aspects of capacity rights.
All three models provide the basic configuration for teaching and research, as guaranteed by the German constitution.
The formula-bound, performance-related funding allocation is based exclusively of the results of research evaluation.
The performance-related funding of medical/scientific staff is based on the percentage achieved during research evaluation, with the exception of the capacity-relevant departments (Pre-clinic, Dentistry). The allocation of other staff takes into account the "relevant research performance”, i.e., the research performance per budget invested. All departments are classed as basic-, intermediate-, or highest performance, depending to their relative research output. Highest performing departments receive additional staff at a ratio of 1:1 to medical/scientific staff. For the intermediate departments the ratio is 1:0.5. Departments with basic performance receive no performance-related funding.
During the budget year 2001, a total of € 20.2m were allocated to the departments on the basis of formula-bound evaluation.
Besides the formula-bound funding allocation, further funds are provided on the basis of applications (application-based funding = antragsbasiertes LOM). This procedure complements the more past oriented formula-bound system and thus ensures the strategic support of research and teaching. Application-based funds either undergo an evaluation procedure or are part of the framework of agreements on objectives with the Board of Directors. Application-based funding includes staff- and material resources for special teaching performances, special research-related services, start-up support for special research projects at individual departments, as well as appointments of new, and commitments to retain staff. These allocations are on principle temporary.
The until now applied system of funding allocation, based exclusively on criteria of research evaluation, is complemented since 2011 by the performance-related funding for teaching (LOM Lehre, € 0.5 min 2011).
In 2011, the departments received a total of € 11.8m of application-based funds, so that, together with the formula-bound funds, a total of 32% of the research and teaching budget was allocated on the basis of performance.
In addition to the budgets for material and staff costs of the departments, the utilization of the central animal research facilities (Zentrale Tierexperimentelle Einrichtung, ZTE), the largest service unit in research, has been converted into a performance-related system. In 2009, a quota system based on mouse units was established, where the quota is derived from research output.
Investment Funds
More than ten years ago, a system of performance-related allocation of investment funds was established that is based on evaluation results. In 2010, a total of € 2.15m were made available for investments < € 25K (standalone devices), of which about € 0.9m were allocated based on research performance, € 0.2m for the appointment of new and the commitment to retain staff, and about € 1m as base rate, based on the inventory.
An annual 1.5% of the amount supplied by the Land (Landeszuführungsbetrag) is contributed to the call and innovation pool for measures of high innovation potential.
Structure- and Innovation Fund
In 2008, the UMG established a Structure- and Innovation Fund for the development of research. This fund has since incorporated € 5.8m.
FACTScience
At the UMG, internal research evaluation and the management of resources relevant for research are supported by the system FACTScience. Publications and data on third party funds are assigned to the institutions. Publications and third party funds are evaluated based on a predefined procedure.
Since fall 2005, FACTScience is used for research evaluation in all 12 faculties of the Georg August University.
HELP with the entry of publications into FACTScience
- Criteria for evaluation of publications at the UMG (PDF)
- Information on the assessment and evaluation of publications in FACTScience (PDF)
- Guide for entries into FACTScience, including download from PubMed (PDF)
- Guide for the generation of publication reports (PDF)
- Guide for the amendment of publication reports (PDF)
- Presentation from the informational meeting 2009 (PDF)
