Establishment and strengthening of a
national research and innovation system:
Experience from the German Research
System and DFG’s operations.
Dr. Jörg Schneider
Deutsche Forschungsgemeinschaft
(German Research Foundation – DFG)
Warning …..
Statistics – at least recent statistics – are difficult to obtain.
Therefore, some of the figures are more educated guesses….
But always good enough to make the point I want to make.
2 joerg.schneider@dfg.de
!
Innovation System – a healthy tree …
R&D products for
Society, Economy,
Health, Environment…
…fed by
pre-competitive
applied research,
problem-driven…
… and growing on
basic research,
science-driven
3
… if provided for adequately!
Top down
funding,
problemoriented
€
€
€
€
€
Advice for politics
And society
Supply of food,
Water, energy
Sound bio- Healthcare
Industrial diversity
Clean & healthy
products
environment
€
€
€
€
€
€
€
€
€
€
€
4€
€
€
€
€
€
€
€
€
€
€
€
€
€
€
€
€
€
€
€
€
€
€
€
€ €€
€
€
€
€
€
€
€
Bottom up funding,
quality-oriented,
but no thematic
programmatics!
R&D Expenditures in Germany 2011
(estimated according to BMBF Report 2014)
84 Mrd. € for R & D
Federal
16,4
Joint Funding
States: 2,3
Federal: 5,1
Federal progr.,
problem-oriented
7,7
5 joerg.schneider@dfg.de
States
13,3
Enterprises
51,5
Other
2,8
Universities
Länder: 8 (+10 for educ.)
Bund: 1,1
DFG
MPG
WGL
HGF
FhG
…
Federal Research
Institutes
1,7
International
Research Institutes
1,0
Lissabon-Agreement:
3% of European GDP for R&D
► In March 2000, the European Council decided, during its Summit in
Lissabon, to develop Europe into “the most competitive and the most
dynamic knowledge-based economy in the world” by 2010.
► In order to achieve this ambitious aim, two major measures
were decided:
1. To increase employment throughout Europe
2. To increase R&D expenditure upt to 3% of GDP
► Germany is close, the Government wants more, but…..
6 joerg.schneider@dfg.de
Gross domestic expenditure on RD in selected countries
It is important that the private sector takes responsibility!
% GDP
Japan 2013
76%
China (VR) 2013
75%
Korea (Rep.) 2011
74%
Germany 2012
29%
61%
Switzerland 2012
61%
25%
Finland 2013
61%
26%
OECD 2012
60%
30%
USA 2012
59%
31%
28%
55%
54%
Singapore 2012
53%
Canada 2012
South Africa
10%
Business enterprise
Government
50%
60%
Other national sources
12%
3,0 %
12%
3,3 %
2%
5%
4%
6%
2,8 %
2,2 %
8%
1,9 %
2% 6%
2,0 %
6%
1,7 %
20%
3%
2,4 %
10%
3%
45%
40%
3,3 %
12%
29%
30%
7%
6%
13%
1,6 %
0,8 %
0%
2% 0,1 %
79%
20%
2,9 %
5%
34%
20%
0%
2%
39%
38%
Namibia 2010
2%
34%
46%
0%4%
4%
35%
47%
UK 2012
1%
0% 4,0 %
25%
Sweden 2013
EU 28 2012
3%1% 2,0 %
21%
66%
France 2012
7% 1% 3,5 %
17%
70%
80%
90%
100%
Abroad
Datenquelle: OECD (2015), Main Science and Technology Indicators, Vol. 2014/2, OECD Publishing, Paris. Zu Singapur und Namibia: http://data.uis.unesco.org
7 joerg.schneider@dfg.de
Triadic patent families in selected countries 2011
total number
Japan
United States
Germany
France
Korea
UK
China
Netherlands
Switzerland
Sweden
Italy
Canada
Belgium
Austria
Israel
Finland
Denmark
Australia
India
Spain
Norway
Ireland
Russian Federation
New Zealand
Brazil
Hungary
South Africa
Turkey
number per million inhabitants
76%
Japan
61%
Switzerland
61%
Sweden
66%
Germany
61%
Finland
Netherlands
Denmark
59%
USA
Israel
Austria
Korea (Rep.)
55%
France
Belgium
Luxembourg
UK
46%
Norway
Ireland
47%
Canada
Italy
0
2000 4000 6000 8000 10000 12000 14000
Australia
New Zealand
Triadic: patents are registered in
Europe, Japan & US
Source: OECD (2014)
http://dx.doi.org/10.1787/factbook-2014-63-de
8 joerg.schneider@dfg.de
Iceland
Spain
Slovenia
Hungary
Estonia
Czech Republic
0
20
40
60
80
100
120
Major Players within German Research System (simplified!!!)
Federal
Government
Länder
Governments
DFG
Higher
Education
Sector
HGF
MPG
Federal institutions
performing R&D
Länder instituitions performing R&D
FhG
WGL
Academies
Federation
of Industrial
Cooperative
Research
Associations
9 joerg.schneider@dfg.de
Institutional funding
Federal
Government
Länder
Private sector
Project funding
Federal
Government
Private sector
DFG
Intramural
research
laboratories
Business
enterprise sector
Source: BuFo 2000
Research
-Funders
-Performers
Why is the German system so complicated?
1. Deutsches Grundgesetz (German Constitution) in
Article 5 (Basic Human Rights): The arts and sciences,
research and education are free. Thus, the Governments have to provide free money!
2. On the other hand, the Governments have to ensure
problem-oriented research (competitiveness of economy, well-being of citizens and nature).
3. Finally: according to the Grundgesetz and the principle
of subsidiarity the responsibility for science and
education (and for the universities) lies with the Länder
(federal states), not the Federal Government.
10 joerg.schneider@dfg.de
What does it mean for research (funding)?
•
Nearly all universities belong to the 16 federal states, funding for teaching and
basic funding for research from states, not from federal government!
•
Due to the German Constitution (Grundgesetz), the Federal Government is
not allowed to support universities directly, very few exceptions which have to
be legalized by treaties between federal government and all 16 states!
•
Extra-university research institutes (Max-Planck, Fraunhofer, Helmholtz,
Leibniz) are jointly funded by federal and state governments (as regulated by
constitution, law and several by-laws).
Conclusion: it may look complicated, but it is a very well ballanced
interplay between several key (f)actors
11 joerg.schneider@dfg.de
Major Players within German Research Funding (simplified!!!)
Federal
Government
Länder
Governments
DFG
Higher
Education
Sector
HGF
MPG
Federal institutions
performing R&D
Länder instituitions performing R&D
FhG
WGL
Academies
Federation
of Industrial
Cooperative
Research
Associations
12 joerg.schneider@dfg.de
Institutional funding
Federal
Government
Länder
Private sector
Project funding
Federal
Government
Private sector
DFG
Intramural
research
laboratories
Business
enterprise sector
Source: BuFo 2000
Research
-Funders
-Performers
Division of tasks within the public system
Institutional funding
Project funding
13 joerg.schneider@dfg.de
Problem-driven research
Science-driven research
•
•
•
•
•
•
•
•
•
Leibniz Institutes
Helmholtz Institutes
Federal Research Inst.
Joint Research C. EU
AiF Member Institutes
Max-Planck Institutes
Fraunhofer Institutes
CERN
EMBL
• Ministerial Funding Pro- • DFG
rams (e.g. Water
• Fellowship programs
management, Biotech)
(DAAD, AvH, EU-Marie
• EU Funding Prg. (e.g.
Curie)
Car of the Future,
• European Research
Cardiovascular
Council (ERC)
Diseases)
German Research System – publically funded
► Federal Government – top down thematic programs
► Federal Government – DAAD and AvH
► Federal Government – federal ministerial research institutes
► Länder Governments – universities
► Länder Governments – federal ministerial research institutes
► Both together – Joint funding of
● German Research Foundation DFG
● Max Planck Society
● Fraunhofer Society
● Helmholtz Association
● Leibniz Association
● various smaller institutions
► Further joint efforts to strengthen innovation system
14 joerg.schneider@dfg.de
R&D Budgets of Federal Ministries
15 joerg.schneider@dfg.de
Source: Federal Report on Research and Innovation 2014, BMBF
Research project funding by Federal Ministries
16 joerg.schneider@dfg.de
Source: Federal Report on Research and Innovation 2014, BMBF
German Research System – publically funded
► Federal Government – top down thematic programmes
► Federal Government – DAAD and AvH
► Federal Government – federal ministerial research institutes
► Länder Governments – universities
► Länder Governments – federal ministerial research institutes
► Both together – Joint funding of
● German Research Foundation DFG
● Max Planck Society
● Fraunhofer Society
● Helmholtz Association
● Leibniz Association
● various smaller institutions
► Further joint efforts to strengthen innovation system
17 joerg.schneider@dfg.de
Mobility Funding by Federal Government
mobility of students/education sector
mobility of researchers
Federal Foreign Office
Fed. Min. Education & Research
Fed. Min. Economic Coo. & Development
European Commission (Erasmus ….)
Other Sources
184 Mio €
101 Mio €
40 Mio €
60 Mio €
45 Mio €
Total budget
430 Mio € (2014) 110 Mio € (2013)
18 joerg.schneider@dfg.de
38 Mio €
60 Mio €
6 Mio €
6 Mio €
German Research System – publically funded
► Federal Government – top down thematic programmes
► Federal Government – DAAD and AvH
► Federal Government – federal ministerial research institutes
► Länder Governments – Universities
► Länder Governments – federal ministerial research institutes
► Both together – Joint funding of
● German Research Foundation DFG
● Max Planck Society
● Fraunhofer Society
● Helmholtz Association
● Leibniz Association
● various smaller institutions
► Further joint efforts to strengthen innovation system
joerg.schneider@dfg.de
19
Institutions of Higher Education IHE
.
.
% of Students
Universities
of Applied
Sciences
65% of students
108 Universities
31% of students
In Germany (2012):
427 IHE with 2,5 Mio. students
26 % IHE are universities
(108) with 65% of all students
74% IHE are Universites of
Applied Sciences –
Fachhochschulen and similar
46% pupils from one year go to
IHE
 PhD can only be granted by
Universites
Universities
Source: Federal Statistics Bureau
20 joerg.schneider@dfg.de
R&D at German Universities – Third Party Funding 2012
DFG
Federal Government
Basic funding for R&D
by Länder: about 10 Bil. €
Private Sector
European Union
Foundations
Länder
Total
21 joerg.schneider@dfg.de
joerg.schneider@dfg.de
Source: www.statista.com
German Research System – publically funded
► Federal Government – top down thematic programmes
► Federal Government – DAAD and AvH
► Federal Government – federal ministerial research institutes
► Länder Governments – universities
► Länder Governments – federal ministerial research institutes
► Both together – Joint funding of
● German Research Foundation DFG
● Max Planck Society
● Fraunhofer Society
● Helmholtz Association
● Leibniz Association
● various smaller institutions
► Further joint efforts to strengthen innovation system
22 joerg.schneider@dfg.de
Research Organizations: Max-Planck Society
► 80 Institutes
► Budget: 1.8 B €
► 17,000 employees incl.
5,200 scientists
► plus 13,400 „students“
► Central Administration with
500 admin. staff
► Mission: high quality basic
research - „Nobel Awards“
23 joerg.schneider@dfg.de
Basic research
Harnack-prinziple
Research Organizations: Fraunhofer Society
► 66 Institutes
► Budget: 1.9 B €
► 22,000 employees
► Incl. 6,403 „students“
► Central Administration with
300 admin. staff
► Mission: high quality
applied research - „earn money“
24
joerg.schneider@dfg.de
applied research
30/30/40
Research Organizations: Helmholtz Association
► 18 Institutes
► Budget: 3.8 B €
► 33,000 employees
► Incl. 16,000 scientists
► Central Office with
70 admin. staff
► Mission: high quality
problem-oriented, longterm research
25 joerg.schneider@dfg.de
Long term
Large instruments
Research Organizations: Leibniz Association
► 86 Institutes
► Budget: 1.5 B €
► 17,000 employees
► Incl. 8,000 scientists
► Central Office with
60 admin. staff
► Mission: high quality
problem-oriented research
26 joerg.schneider@dfg.de
Regular independent
evaluation
German Research System – publically funded
► Federal Government – top down thematic programmes
► Federal Government – DAAD and AvH
► Federal Government – federal ministerial research institutes
► Länder Governments – universities
► Länder Governments – federal ministerial research institutes
► Both together – Joint funding of
● German Research Foundation DFG
● Max Planck Society
● Fraunhofer Society
● Helmholtz Association
● Leibniz Association
● various smaller institutions
► Further joint efforts to strengthen innovation system
27 joerg.schneider@dfg.de
Pact for Research and Innovation
Pakt für Forschung und Innovation
The Pact for Research and Innovation is designed to give
financial planning security to institutions that are jointly
funded by the Federal Government and the Länder (states):
► Max Planck Society MPG
► Fraunhofer Society FhG
► Helmholtz Association HGF
► Leibniz Association WGL
► German Research Foundation DFG
2005 – 2010: Budget increase of 5% every year
2011 – 2015: Budget increase of 5% every year
2016 – 2020: Budget increase of 3% every year
28 joerg.schneider@dfg.de
Higher Education Pact 2020
Hochschulpakt 2020
Pillar 1: Program for the admission of additional university entrants
2007 – 2023
Federal Government invests 20.3 billion €
states invest 18.3 billion €
for new university places for students
Not for research!!!!
!!! Pact 2020 come on top of Quality Pact for Teaching !!!
2011 – 2020 Federal Government provides 2 billion € for the
improvement of teaching at universities
29 joerg.schneider@dfg.de
Higher Education Pact 2020
Hochschulpakt 2020
Pillar 2: Program allowances (overheads) for
projects funded by DFG
2010 – 2015 2.3 billion €
as pilot project
exclusively by Federal Government for 20%
overheads on DFG project funding
2016 – 2020 2.2 billion €
now jointly
20% by Federal Government
2% by state governments together
(according to Königstein Key)
30 joerg.schneider@dfg.de
Excellence Initiative
Top-class research for even better competitiveness
2005 – 2011
1.9 billion €
2012 – 2017
2.7 billion €
2017 – ???
similar investments
75% Federal State
25 % host state of funded institution
2005 – 2017; currently funded:
► 45 Graduate Schools
► 43 Clusters of Excellence
► 11 Institutional Strategies
31 joerg.schneider@dfg.de
December 2014 – a Turning Point in German Research Funding
► Both Houses of the German Parliament agree
on loosening the constitutional prohibition of
long-term federal investments in university
research!
► From 2015 on, Federal Government will cover
annual budget of the states for students support
1,2 billion € in 2015. Condition: states have to
invest money in education
32 joerg.schneider@dfg.de
German Research System – publically funded
► Federal Government – top down thematic programmes
► Federal Government – DAAD and AvH
► Federal Government – federal ministerial research institutes
► Länder Governments – universities
► Länder Governments – federal ministerial research institutes
► Both together – Joint funding of
● German Research Foundation DFG
● Max Planck Society
● Franhofer Society
● Helmholtz Association
● Leibniz Annsociation
● various smaller institutions
► Further joint efforts to strengthen innovation system
33 joerg.schneider@dfg.de
Joint Funding
Institution
Helmholtz
Fraunhofer
Max Planck
Leibniz
DFG (basic funds)
DFG (Excellence In.)
DFG (20% overheads)
DFG (22% overheads)
DFG (large equipment)
Academies' Program
Leopoldina
Wissenschaftskolleg
Research at FHs
34 joerg.schneider@dfg.de
Federal :
States
share of Länder (federal states)
90 : 10 host state
90 : 10 66% host state, 33% according to Königstein key (of 30 %!!!!!)
50 : 50 50% host state, 50% according to Königstein key
research
75% host state, 25% according to Königstein key
institutes
50 : 50
service
25% host state, 75% according to Königstein key
institutes
58 : 42 according to Königstein key
75 : 25 host state
100 : 0 No share
from 2016 !
91 : 9 according to Königstein key
50 : 50 Host state
50 : 50 host state
80 : 20 host state
50 : 50 host state
100 : 0 no share
Königstein Key (2010)
Federal State
Share in %
Federal State
Share in %
Baden-Würtemberg
12,81503
Niedersachsen
Bayern
15,19297
Nordrhein-Westfalen
Berlin
5,03822
Rheinland-Pfalz
4,81284
Brandenburg
3,10452
Saarland
1,23114
Bremen
0,93119
Sachsen
5,16869
Hamburg
2,54537
Sachsen-Anhalt
2,92874
Hessen
7,22575
Schleswig-Holstein
3,37218
Mecklenburg-Vorpommern
2,08237
Thüringen
2,79484
Sum
35 joerg.schneider@dfg.de
9,31388
21,44227
100%
DFG is driven by scientific demand
► DFG acts and funds bottom up
► no thematic priorities (rare exceptions)
► no regional priorities
► no political priorities
► no political influence
► everything decided by scientists
► everything in competition
► everything in peer review
► Funding only if institution agrees
on ethical standards
36 joerg.schneider@dfg.de
DFG‘s Funding Instruments – all open to international co-operation
and to foreign researchers working in Germany
International
Scientific Contacts
Promoting Young
Researchers
Infrastructure
► Research Fellowships
► One‘s own position
Funding Programmes
► Emmy Noether-Programme
► Heisenberg-Programme
Coordinated
Programmes
► Research Units
► Priority Programmes
Individual Grants
► Individual Research Grants
► Mercator Guest Professorships
► Reinhard Koselleck-Projects
37 joerg.schneider@dfg.de
Awards
► Collaborative Research
Centres
► Gottfried Wilhelm Leibniz-Prize ► International Research
Training Groups
► many more
► Excellence Initiative
DFG is driven by scientific demand
► DFG acts and funds bottom up
► no thematic priorities (rare exceptions)
► no regional priorities
► no political priorities
► no political influence
► everything decided by scientists
► everything in competition
► everything in peer review
► Funding only if institution agrees on
ethical standards
38 joerg.schneider@dfg.de
How is the DFG structured?
General Assembly (members!)

establishes directives

approves annual report and account

approbates the Executive Committee
elect,
select,
appoint
cooperate
Senate
(36+3 scientists)
Joint Committee
(Senate & 17/32
Governmental
representatives)
Executive
Commitee
Ex. Board &
8 VicePresidents
48 Review Boards
(elected!)
Executive Board
President
Secretary General
Head Office
Reviewers

assess funding proposals
All eligible scientists and academics
39
joerg.schneider@dfg.de
ensure
quality
President + 8 vice-presidents of DFG
Executive Committee
Presidents (since1980)
E. Seibold
(1980 - 1985)
H. Markl
(1986 - 1991)
W. Frühwald
(1992 - 1997)
E.-L. Winnacker
(1998 - 2006)
M. Kleiner
(2007 - 2012)
Vizepräsidenten
M. Famulok
(Chemistry)
P. Funke
(History)
W. Ertmer
(Physics)
K. Becker
(Biology)
L. BrucknerTuderman
(Medicine)
M. Hochbruck
(Mathematics)
W. Schön
(Law)
Peter Strohschneider
Secretary General:
Ms Dorothee Dzwonnek
40 joerg.schneider@dfg.de
F. Allgöwer
(Engineering)
M. Barner, President German
Founders Association, Guest
DFG is driven by scientific demand
► DFG acts and funds bottom up
► no thematic priorities (rare exceptions)
► no regional priorities
► no political priorities
► no political influence
► everything decided by scientists
► everything in competition
► everything in peer review
► Funding only if institution agrees on
ethical standards
41 joerg.schneider@dfg.de
The DFG´s Head Office
Internal Advisory
Committee
Extended Executive Board
Heads of Divisions and
Executive-Level Offices
Press
and
Public Relations
Executive
Offices
Executive Board
President
Secretary General
Forum
Heads of Divisions
Deputy Members:
Heads of Departments I to III
Economics
and
Auditing
Quality
Assurance
and Programme
Development
International
Affairs
Berlin
Office
Department III
Department I
Central Administration
 Budget and Accounting
 Human Resources/Legal Affairs
 Information Technology and
Infrastructure
 Information Management
 Administrative Support for DFG Offices
joerg.schneider@dfg.de
42
Department II
Scientific Affairs
 Humanities and Social
Sciences
 Life Sciences 1
 Life Sciences 2
 Physics, Mathematics,
Geosciences
 Chemistry and Process
Engineering
 Engineering Sciences
Coordinated Programmes
and Infrastructure
 Research Centres
 Research Careers
 Scientific Library Services
and Information Systems
 Scientific Instrumentation
and Information Technology
DFG is driven by scientific demand
► DFG acts and funds bottom up
► no thematic priorities (rare exceptions)
► no regional priorities
► no political priorities
► no political influence
► everything decided by scientists
► everything in competition
► everything in peer review
► Funding only if institution agrees on
ethical standards
43 joerg.schneider@dfg.de
DFG is driven by scientific demand
► DFG acts and funds bottom up
► no thematic priorities (rare exceptions)
► no regional priorities
► no political priorities
► no political influence
► everything decided by scientists
► everything in competition
► everything in peer review
► Funding only if institution agrees
on ethical standards
44 joerg.schneider@dfg.de
International cooperation for
setting the right perspective!
Major task: working on framework conditions for optimal international
cooperation for German researchers
45 joerg.schneider@dfg.de
Global forum for non-ministerial research (funding) organizations
Internationally:
Cooperate on joint standards of
projects selection,
scientific conduct,
general ethics,
open access,
Brain circulation,
IPR, …..
Annual Regional Meeting
Sub-Saharan Africa 2014 – 2016(?)
46 joerg.schneider@dfg.de
Advocating basic research once again and finally……
Top down
funding,
problemoriented
Advice for politics
Supply of food,
And society
Water, energy
Sound bio- Healthcare
Industrial diversity
Clean & healthy
products
environment
No basic research:
Results have to be
brought in from an
outside system!
Same is true for
students!!!!!
47
GDP and Expenditure on R&D (GERD) per capita
in selected countries, 2011 or in the most recent year
GDP per capita in current PPP$
GERD per capita in current PPP$
Singapore 2011
Finland 2011
Switzerland 2008
Sweden 2011
USA 2011
Switzerland 2008
Canada 2011
Sweden 2011
USA 2011
Germany 2011
Singapore 2011
Finland 2011
UK 2011
Korea (Rep.) 2011
France 2011
Germany 2011
Japan 2011
Japan 2011
Korea (Rep.) 2011
South Africa 2010
France 2011
China 2011
Canada 2011
Namibia 2010
UK 2011
0
10,000
20,000
30,000
40,000
50,000
60,000
PPP$: adjusted to purchasing power
70,000
China 2011
South Africa 2010
Namibia 2010
0
Source: http://data.uis.unesco.org,
datasets: demographic and socioeconomic, science,technology and
innovation
48 joerg.schneider@dfg.de
500
1000
1500
Gross expenditure on R&D (GERD) in selected countries
South Africa 2010
Kenya 2010
Nigeria 2007
Tanzania 2010
Uganda 2010
Ethiopia 2010
United States 2012
China 2012
Japan 2011
Germany 2012
Korea 2011
France 2012
UK 2012
Canada 2012
Sweden 2012
Switzerland 2008
Finland 2012
Singapore 2012
South Africa 2010
Namibia 2010
Sudan 2010
Ghana 2010
Senegal 2010
Gabon 2009
Botswana 2005
Mali 2010
Mozambique 2010
Zambia 2008
Mauritius 2005
Burkina Faso 2009
Madagascar 2011
Namibia 2010
Togo 2010
0
200
Burundi 2011
400
Gambia 2011
Millions
Congo 2009
Cabo Verde 2011
Lesotho 2011
Datenquelle: http://data.uis.unesco.org, Dataset: Science, technology and
innovation. Indicator GERD in '000 current PPP$.
0
1
2
3
4
Millions
Das Wissenschaftssystem in Deutschland, Dr. Jörg Schneider
49 Bonn, März 2015
Thank you very much
for your attention
Dr. Joerg Schneider
Head of International Division
Deutsche Forschungsgemeinschaft
joerg.schneider@dfg.de
50 joerg.schneider@dfg.de