Concept and Legal Background of the Excellence Strategy
The Excellence Strategy is a central funding program of the federal and state governments aimed at strengthening the scientific performance of German universities. It builds on the previous Excellence Initiative and is characterized by complex legal, budgetary, and administrative requirements. The objective is to keep Germany as a science location internationally competitive through the sustainable promotion of top-level university research.
Legal Basis of the Excellence Strategy
Funding Guidelines at Federal and State Level
The legal basis of the Excellence Strategy primarily lies in the agreement between the federal government and the states in accordance with Article 91b of the Basic Law (GG). This agreement regulates the joint promotion of science and research at universities of supra-regional importance. The framework conditions of the funding, the distribution of competences, and the management of the funding are determined by detailed federal-state agreements and corresponding funding guidelines.
Budgetary Regulations
Within the context of the funding, the allocation of funds is subject to the budgetary provisions of federal budget law, especially the Budgetary Principles Act (BHO) and the respective state budgetary regulations (LHO). In particular, the principles of cost-effectiveness and economy as well as requirements for the use of funding are legally binding. Recipients of funding are obliged to ensure a proper and verifiable use of the allocated funds.
Administrative Law Requirements
The administration of the Excellence Strategy is subject to the Administrative Procedures Act (VwVfG), which regulates the framework for application, selection, and approval procedures. The administrative tasks are predominantly carried out by the German Research Foundation (DFG) and the Science Council. These bodies are bound to the principles of transparency, equal treatment, and traceability.
Structural Elements and Legal Framework Conditions
Funding Lines
The Excellence Strategy is divided into two main funding lines:
- Clusters of Excellence: These support thematically focused, internationally competitive research projects at universities.
- Funding of Excellence Universities: Here, the overall strategy of a university for the promotion of research and scientific development is supported.
The allocation of funding takes place through a multi-stage competitive selection process characterized by legal requirements for transparency, equal opportunities, and objectivity.
Funding Procedures and Legal Remedies
Applications must be submitted within legally prescribed deadlines and are subject to adherence to defined substantive and formal requirements. The selection is of central importance and is conducted as part of objective peer review procedures that have the legal status of an administrative procedure.
Funding approvals are considered administrative acts within the meaning of § 35 VwVfG. This gives applicants the possibility to file objections and, if necessary, appeals before administrative courts against negative decisions.
Legal Obligations of Funding Recipients
Proof of Use and Monitoring
Funded universities are subject to extensive obligations to provide evidence of proper and appropriate use of allocated funds. This includes regular proof-of-use reports, which are based on the legal requirements of funding law. In addition, federal and state audit offices have supervisory rights under the Budgetary Principles Act.
Repayment Claims and Sanctions
If funds are not used in accordance with legal requirements, repayment claims can be asserted. These are based on §§ 48 to 49a of the Administrative Procedures Act and regulate the conditions and deadlines for repayment, in particular in the case of misuse of funds, breach of conditions, or errors in the allocation process.
Transparency and Compliance Requirements
Within the context of the Excellence Strategy, institutional transparency standards and measures for the avoidance of conflicts of interest are required by law or by funding guidelines. Cases of corruption, bribery, or misappropriation of funds are subject to criminal and disciplinary sanctions.
Judicial Review and Legal Protection
Administrative Judicial Protection
Decisions in the selection process, particularly rejections of applications, are subject to review by the administrative courts. The courts examine compliance with mandatory procedural rules and the principle of equal treatment, Art. 3 Sec. 1 GG, in the context of the selection and evaluation process.
Constitutional Framework Conditions
The Excellence Strategy operates within the constitutional framework. The distribution of competencies between the federal government and the states is subject to the control of the Federal Constitutional Court, particularly with regard to the freedom of science, Art. 5 Sec. 3 Sentence 1 GG, and the prohibition/requirement of cooperation under Art. 91b GG.
Relevance of the Excellence Strategy in Science Law
The Excellence Strategy is a significant component of German science law and sustainably shapes the institutional framework conditions for university research. Legal regulations concerning the allocation of funds, obligations to provide evidence, and control mechanisms ensure that the program is implemented in a transparently, fairly, and sustainably manner both in terms of funding policy and legal requirements.
Frequently Asked Questions
What legal framework conditions apply to the Excellence Strategy of the federal and state governments?
The Excellence Strategy of the federal and state governments is based on clearly defined legal regulations, primarily anchored in administrative law, budgetary law, and subsidy law. Fundamentally, it is the administrative agreement between the federal government and the states regarding the Excellence Strategy that regulates the tasks, rights, and obligations. The allocation of funds is governed by Article 91b of the Basic Law (GG), which allows cooperation between the federal and state governments in the field of science and enables special projects such as the Excellence Strategy. Specific funding guidelines are issued within the framework of allocation, which detail the application process, selection procedures, evaluation, and reporting obligations. In addition, the regulations on academic freedom according to Article 5 Sec. 3 GG, as well as the principles of transparency, equality, and anti-corruption in the use of funds, must be observed. Legal supervision and monitoring are performed by federal and state audit offices as well as internal audit bodies. Disputes or objections against funding decisions can be reviewed in the context of legal remedy proceedings.
Who is legally eligible to apply within the framework of the Excellence Strategy?
Only German universities or consortia of several universities are eligible to apply, as legally established in the funding guidelines of the Excellence Strategy and in the administrative agreement between the federal and state governments. Non-university research institutions, universities of applied sciences, as well as private and foreign universities, are legally excluded. Furthermore, universities must meet the requirements stipulated in the funding guidelines – including a minimum level of basic funding, sufficient resources, and sustainability. In the case of consortium applications, it is mandatory that all participating universities conclude a legally binding cooperation agreement, which expressly contains provisions on the joint use of the funding, liability, data protection, and intellectual property.
How is the legal process for the selection and evaluation procedure regulated?
The selection and evaluation procedure is subject to strict legal standards to ensure fairness, transparency, and objectivity. The evaluation takes place in multiple steps: Following a formal application, the legal structure is distinguished in particular by the formation of independent review panels, which are selected in accordance with regulations. During the administrative process, rights of access to files and documentation requirements must be observed to allow for later review. The decision-making process is carried out by internationally composed excellence commissions, whose composition and procedures are set out in the guidelines. Rights to appeal and file lawsuits against rejected applications are governed by the provisions of the administrative procedural laws of the states or the Administrative Court Procedure Act (VwGO).
What legal requirements apply to the use and accounting of funds?
The funds of the Excellence Strategy are subject to public budget law, which mandates the purposeful, economical, and efficient use of resources (§ 7 Budgetary Principles Act, HGrG). Universities must document all expenditures and regularly submit proof-of-use statements and status reports. Misappropriation or incorrect use of funds can lead to repayments and, where applicable, to criminal consequences (especially with regard to subsidy fraud, § 264 StGB). In addition, the regulations of grant law apply, in particular §§ 23 and 44 of the Federal Budget Code (BHO), the principles of proper bookkeeping, and corresponding state law provisions.
What rights and obligations arise from a data protection perspective in the context of the Excellence Strategy?
The processing of personal data in the context of application, evaluation, and funding is strictly subject to the requirements of the General Data Protection Regulation (GDPR) and the relevant state data protection laws. Applying universities must ensure that only necessary personal data are collected and processed exclusively for the specified purpose. Reviewers and commission members are under a particular obligation of confidentiality and secrecy. The rights of data subjects, such as the right to information, rectification, and erasure, must be guaranteed, and a data protection officer must be involved. In the case of international review panels, additional regulations are required to ensure legal data transfer, especially to third countries outside the EU.
How is the legal management of intellectual property from funded projects regulated?
The management and exploitation of intellectual property arising from research projects funded through the Excellence Strategy are fundamentally governed by university law and relevant copyright and patent law regulations. In consortium agreements or cooperation agreements, clear legal provisions must be specified regarding how inventions and publications are utilized, to whom exploitation rights belong, and how license revenues are distributed. These provisions are often based on the Employee Inventions Act (ArbEG) as well as internal university guidelines on technology transfer and innovation management. Additionally, in cases of international cooperation, differing national legal norms must be observed and potential conflicts in legal enforcement contractually regulated.
