research policy guidelines and principles

1. The context: The science system in Lower Saxony

Covering a large land area, the German state of Lower Saxony boasts an academically diverse higher education landscape – with 20 public institutions of higher education at 22 locations, including 11 full universities and 7 universities of applied sciences (according to the Lower Saxony Higher Education Act) as well as two art and music colleges. Compared to other federal states, there are only an average number of non-university research institutions. In 2022, the state of Lower Saxony spent €1.8 billion on higher education (internal expenditure on research and development, Federal Statistical Office, only German). Notwithstanding, Lower Saxony’s per capita expenditure on science is below the national average (see Niedersachsenmonitor, p. 83, only German).

The zukunft.niedersachsen programme provides the state of Lower Saxony with additional funding for the promotion of ‘science and technology in research and higher education’ in accordance with the statutes of the Volkswagen Foundation. This support also encompasses ‘the communication of science to relevant audiences and the transfer of scientific research results’. On the recommendation of the state government, the Foundation grants funding to the Lower Saxony Ministry of Science and Culture (MWK) that is categorised as ‘additional’ funds.

The MWK’s ‘Future Agenda for Science’ defines a framework for its funding activities. In addition to this, the Lower Saxony Scientific Commission (WKN) has conducted a potential analysis to identify the strategic goals of the individual universities in Lower Saxony. In an interim report, the commission has described several research areas currently being prioritised by the state’s universities, outlining areas where further development is deemed necessary.

Through the funding initiative ‘Potenziale strategisch entfalten’, the MWK and the Volkswagen Foundation are offering universities the opportunity to update their strategic plans with a view to implementation from 2025 onwards. This offer also applies to the state’s university development planning. Review of the corresponding funding applications by an international panel of experts provides an additional source of comprehensive guidance on the further development of Lower Saxony’s science system.

Against the background of statutory requirements and the strategic approaches outlined above, the present Research Policy Principles and Guidelines address both applicants and funding providers in the zukunft.niedersachsen programme with guidance for the formulation, assessment, and decision-making process for funding applications.

2. Research policy guidelines

zukunft.niedersachsen aims to create new scope and opportunities for creativity and ingenuity in Lower Saxony in addition to innovative scientific findings. The goal is to ensure that this new knowledge directly benefits the people of the region. With this in mind, the overarching policy is to involve partners from politics and the wider society directly in the planning process from the outset.

Funding should build on the strengths of Lower Saxony’s scientific community and tap into its potential. Cooperation and networking between institutions and researchers can open up new areas of research and opportunities that go beyond the strengths of the individual participants. Excellent researchers who can unleash their creativity in Lower Saxony and attract new talent to the region are central to the success of zukunft.niedersachsen. They are the key factor in the international reputation and appeal of Lower Saxony as a location for scholarly research and innovation. In addition, high-performance technical infrastructures, especially in the digital sector, are another essential prerequisite for Lower Saxony’s success as a science centre.

The excellence-driven funding of zukunft.niedersachsen is intended to give universities, research institutions and, where possible, research areas between different institutions a distinctive profile. Their own initiative should be encouraged and strengthened. A willingness to experiment and take risks should lead to learning processes that raise the quality of research in Lower Saxony as a whole and over the longer term.

3. Research policy principles

All activities in the zukunft.niedersachsen funding programme are aimed at promoting and strengthening science, the economy, and community life in Lower Saxony. The following principles serve to implement this overarching goal.

3.1 Focus on the highest scientific quality

Through the zukunft.niedersachsen funding programme, the State of Lower Saxony and the Volkswagen Foundation aim to make Lower Saxony’s science system more attractive and competitive both within Germany and beyond. To this end, the MWK and the Foundation are working closely with domestic and international partners. The gain of scientific knowledge is seen as a value and goal in itself, but originality and innovative strength go hand in hand with this. The transfer and translation of scientific knowledge into politics, the economy, public discourse, and the public sector are equally important.

Specifically:
All funding applications for the ambitious and excellence-led funding programme undergo scientific review and processes of quality assurance.

3.2 Strategic focus on Lower Saxony and leverage effect

The zukunft.niedersachsen funding programme addresses both the strengths and the development needs of science in Lower Saxony. It aims to strengthen existing strengths and help to open up new areas and methods in scholarly research, teaching, and knowledge exchange. This strategic focus can only succeed in close coordination with other advisory bodies within Lower Saxony’s science system, in particular the Strategy Advisory Board of the zukunft.niedersachsen programme, the WKN and Niedersachsen.next.

For each funding initiative, it is necessary to examine why, with what objective and in what form intervention at the state level should take place. It is important to critically examine whether alternative funding opportunities exist at the national or international level, for example through the German Research Foundation or the European Union’s Framework Programme for Research. Funding initiatives in the frame of zukunft.niedersachsen should enable successful participation in these programmes, but not duplicate them.

Specifically:
The WKN works with the MWK to further develop the guiding principles for Lower Saxony’s science system. The offices of the Volkswagen Foundation, the WKN and Niedersachsen.next coordinate on an ongoing basis. Joint meetings with the MWK ensure congruent action.

The Strategy Advisory Board for zukunft.niedersachsen, an independent scientific panel of experts, reviews the strategic orientation and quality standards of the individual funding initiatives. In doing so, it is guided by the overarching recommendations of the WKN.

3.3 Development of sustainable structures and long-term effects

Funding under the zukunft.niedersachsen programme is start-up financing. It cannot and should not replace basic funding, as the funding is not provided by the state but is additional and temporary funding provided by the Volkswagen Foundation. The strategic aim is to use this additional funding to achieve the greatest possible leverage effect with regard to the state’s positioning in nationwide and international competition. Within the framework of non-profit legislation, the funding period for support measures is chosen to be long enough to achieve a sustainable effect and establish viable structures.

Specifically:
For each funding measure, it must be determined in advance precisely what effects are intended (e.g., according to the input-output-outcome-impact logic) and what long-term sustainable structures are to be established.

When submitting their application, applicants are obliged to specify concrete (sub)goals for their project work and to outline an exit scenario for phasing out zukunft.niedersachsen funding if the project goal extends beyond the funding period.

4. Objectives for the five structural lines of zukunft.niedersachsen

4.1 Bright minds for Lower Saxony

The funding of professorships in the structural line ‘Bright Minds for Lower Saxony’ supports Lower Saxony’s universities in attracting and retaining leading scientists of international renown and promising academic talent in the early stages of their careers. This strengthens the basis for cutting-edge research in Lower Saxony and gives the state’s universities the opportunity to distinguish themselves in research, teaching, and transfer by identifying and promoting top scientists. Particular support is given to attracting and retaining individuals who meet the European Research Council (ERC) criteria for excellence.

4.2 New areas of research

Universities and research institutions can explore new topics, methods, or research procedures in order to generate new ideas and offer their support in the context of major societal challenges. This gives researchers the opportunity to take risks with their research ideas and to question or significantly expand existing knowledge. This objective inevitably includes the risk of failure – but in the best-case scenario, the pilot measures will have a pioneering effect. The structural line also includes funding measures which, due to their scientific excellence, may even lead in the medium term to the establishment of new research institutes jointly funded by the federal and state governments.

4.3 Profile and university structure development

The structural line offers universities the opportunity to strengthen their research profiles and expand their focus on teaching and transfer in order to increase visibility and distinctiveness in science – and beyond. Alternatively, or in addition, the management and administrative structures of the universities are to be further developed and professionalised. The funding thus serves to implement and further develop long-term strategic concepts that will continue to exist beyond the limited funding period.

4.4 Networks and collaborations

The strengths of Lower Saxony’s science sector often only come to the fore in domestic and international competition when they are pooled across institutions. Development potential can be optimally exploited when it is coordinated across the state, for example in the establishment and expansion of infrastructure or the digital design of research, teaching, and administration. The funding of alliances and collaborations opens up the possibility of realising these bundling effects within a particular region, throughout the state or with partners beyond the state border, and of leveraging the corresponding development potential.

Networks and cooperation projects pursue a project goal that is either achieved within the funding period or lies beyond the funding window and can be achieved on a sustainable basis.

They can be technically or thematically oriented, for example on topics that are of major importance to Lower Saxony. The topics can be set by the funding bodies or suggested by the scientific community.
They can be functionally oriented, for example to create value chains from research to commercial application.
They can have a structural impact, for example to develop central governance at a suitable science location, thereby creating synergy effects between the participating organisations at the location or in the region and simplifying joint action.

4.5 Additional research infrastructures

Cutting-edge research requires excellently equipped laboratories and an infrastructure that gives researchers access to the latest technologies and state-of-the-art methods. If project results are to be established on a sustainable basis, the necessary spatial, technical, and human resources must be made available in the long term. In this respect, research buildings stabilise research collaborations and make them visible in national competition.

The competitive establishment of larger equipment centres or core facilities, which are available to scientists in Lower Saxony across institutions and in jointly managed environments, can contribute to the sustainable development of expertise for complex and costly procedures as well as to resource efficiency. In addition, the structural line also allows for the promotion of ‘social research infrastructure’ such as the creation of empirical data pools or the establishment of cohort structures.