Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Controlling in the DFG

International Workshop on Accountability in Research Funding

“A New Decade of Managing Risks and Accountability Challenges”

Oslo, Norway

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Contents

1. An introduction to the DFG

2. Controlling, statistical reporting, quality assurance and

auditing in the DFG Head office

3. Controlling and cost-performance accounting

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Who we are

► The central public funding organisation for academic research in

Germany, constituted as association under private law.

► The 96 members of the association are

- 69 German universities

- 16 major non-university research institutions (e.g. Max Planck

Society, Fraunhofer-Gesellschaft, WGL)

- 8 German academies of sciences and humanities

- 3 scientific associations

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Mission

►The German Research Foundation serves

all branches of science and the humanities

by funding research projects and facilitating

cooperation among researchers.

►It devotes particular attention to the

education and advancement of young

researchers.

►It promotes equality between men and

women in the scientific and academic

communities.

►It advises parliaments and public authorities

on scientific matters and

►fosters relations with the private sector and

between scientists and academics at home

and abroad.

* Data base: Approvals 2.501 m € 2009

Humanitiesand social sciences

(15.2%)

Life sciences(38.5%)

Natural sciences(25.0%)

Engineeringsciences(21.3%)

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Sources of DFG funding

Annual budget 2009: € 2.2 billion

Sources:

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Addressees of the DFG research funding

Universities

Others

2,4

1,5

2,2

2,7

0,5

2,1

0

2

4

6

8

10

12

1

Helmholtz-Gemeinschaft

Fraunhofer-Gesellschaft

Max-Planck-Gesellschaft

Leibniz-Gemeinschaft

Public Research Institutions

Other Research Institutions

88.6 % 11.4 %

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Contents

1. An introduction to the DFG

2. Controlling, statistical reporting, quality assurance

and auditing in the DFG Head office

3. Controlling and cost-performance accounting

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Controlling, statistical reporting, quality assurance and auditing

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Reporting based on data about the

processing of funding applications (Information Management)

For Adressees in the DFG head office

► Application/approval ratios by characteristics as

scientific area, type of institution, gender,

funding programme

► Information about the use of the financial frame

for approvals

For universities and other research institutions

► Information about the processing of their

particular applications

► Number and type of approvals

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Reporting based on the processing of funding applications

Surveys carried out by the DFG Head

Office (Information Management):

► DFG Funding Ranking

► Applications handed in by junior

professors

► Female scientists in the DFG

► Survey of the grantees in DFG

Research Training Groups

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Reporting based on the processing of funding applications

Programme Evaluation carried out by the

Institute for Research Information and Quality

Assurance

► Reviewers opinion survey: Quality of peer

reviews in the DFG

► Evaluation of the Emmy Noether

Programme

► Evaluation of the Excellence Initiative

► Evaluation of the Transregional

Collaborative Research Centres

► a central research facility,

funded by the DFG.

► http://www.research-

information.de/

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Contents

1. An introduction to the DFG

2. Controlling, statistical reporting, quality assurance and

auditing in the DFG Head office

3. Controlling and cost-performance accounting

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Mission of the cost-performance accounting and controlling

► Provide data about the efficiency of internal

processes to the management

► Achieve cost transparency

► Increase cost awareness

► Monitor the cost development

► Improve the data basis for the planning of

resource allocations

► Improve the calculation basis for economic

appraisals in the service units

► Develop instruments for other departments in

order to support their detecting financial or

process risks

Department ICentral Administration

Budget and Accounting

Human Resources and Legal Affairs

Information Technology and Infrastructure

Information Management

Administrative Support:

Sino-German Center for ResearchPromotion in Beijing

DFG Office North America

DFG Office Russia / Commonwealth

DFG Office India

DFG Office Japan

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Reports based on financial data

► Cost-performance accounting and controlling

reports

► Reporting about administrative expenses

► Reporting about funding expenditure

► Reports that match financial data with data

from the grant application database, such as

reports about open awards or the time period

until the first employing of funds

► Planned: Develop standardized reports for

other organisational units with the goal to

provide hints about unusual project accountings

in funded research institutions

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Cost monitoring

►Material costs, grouped

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Cost monitoring

►External cost units, grouped

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Controlling

►Total administrative costs per funded euro (including overhead funding)

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Controlling

►Administrative costs per funded euro by funding programme (without

overhead funding)

0 %

10 %

20 %

30 %

40 %2005

2006

2007

2008

2009

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Controlling

►Material costs of the workplace, per capita and per year, by cost types

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Controlling

In-depth analyses of relevant

topics. That were till date:

►Costs of business trips

►costs of the participation in

ERA-Nets

►Costs of the advancement of

international scientific

cooperations 0

2,000

4,000

6,000

8,000

10,000

12,000

2004 2005 2006 2007 2008

Tagungsförderung

Mercator-Gastprofessuren

Kongr.-/Vortr.-/Info.reisen

Int. Mitgliedsch./Beitr. (IZ)Fördg.intern.Forsch.koop (IZ)

Forschungskoop.mit Entw.länd.

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Consequences

These management information have nudged changes in administrative

processes on the medium term:

►Modification of the procedures in the research funding for

developing countries

►Transfer of the funding of conference trips to the DAAD

►Reorganisation of the processing of publication grants

►Organisational studies of the advancement of

international scientific contacts and of the information

technology in the DFG.

Controlling in the DFG, Dr. Beate Wilhelm

Oslo, 24.6.2010

Thank you for your attention

For more information

► on the DFG: www.dfg.de/en/

► on DFG-funded projects: www.dfg.de/gepris/

► on over 17,000 German research institutes: www.dfg.de/research_explorer/