establishment and strengthening of a national research and innovation system: experience from the...

Establishment and strengthening of a national research and innovation system: Experience from the German Research System and DFG’s operations.

Dr. Jörg SchneiderDeutsche Forschungsgemeinschaft(German Research Foundation – DFG)

[email protected]

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

Innovation System – a healthy tree …

R&D products forSociety, Economy,Health, Environment…

…fed bypre-competitive applied research, problem-driven…

… and growing onbasic research,science-driven

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… if provided for adequately!

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Top down funding, problem-oriented

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Bottom up funding, quality-oriented, but no thematicprogrammatics!

Industrialproducts

Advice for politicsAnd society

Healthcare

Supply of food, Water, energy

Sound bio-diversity

Clean & healthyenvironment

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(estimated according to BMBF Report 2014)

84 Mrd. € for R & D

Federal16,4

Enterprises51,5

Joint Funding States: 2,3Federal: 5,1

Federal Research Institutes

1,7

UniversitiesLänder: 8 (+10 for educ.)

Bund: 1,1

Federal progr., problem-oriented

7,7

Other2,8

DFGMPGWGLHGFFhG…

[email protected]

States13,3

International Research Institutes

1,0

R&D Expenditures in Germany 2011

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► 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…..

[email protected]

Lissabon-Agreement: 3% of European GDP for R&D

6

[email protected]

Gross domestic expenditure on RD in selected countries

Datenquelle: OECD (2015), Main Science and Technology Indicators, Vol. 2014/2, OECD Publishing, Paris. Zu Singapur und Namibia: http://data.uis.unesco.org

Namibia 2010

South Africa

UK 2012

Canada 2012

Singapore 2012

EU 28 2012

France 2012

USA 2012

OECD 2012

Finland 2013

Switzerland 2012

Sweden 2013

Germany 2012

Korea (Rep.) 2011

China (VR) 2013

Japan 2013

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

20%

38%

46%

47%

53%

54%

55%

59%

60%

61%

61%

61%

66%

74%

75%

76%

79%

45%

29%

34%

39%

34%

35%

31%

30%

26%

25%

28%

29%

25%

21%

17%

0%

3%

6%

12%

2%

3%

2%

6%

5%

2%

2%

4%

0%

1%

3%

7%

2%

13%

20%

6%

6%

10%

8%

4%

5%

12%

12%

7%

4%

0%

1%

1%

Business enterprise Government Other national sources Abroad

3,5 %

2,0 %

4,0 %

2,9 %

3,3 %

3,0 %

3,3 %

2,4 %

2,8 %

2,2 %

1,9 %

2,0 %

1,7 %

1,6 %

0,8 %

0,1 %

% GDP

It is important that the private sector takes responsibility!

7

[email protected]

Triadic patent families in selected countries 2011 total number number per million inhabitants

Source: OECD (2014)http://dx.doi.org/10.1787/factbook-2014-63-de

TurkeySouth Africa

HungaryBrazil

New ZealandRussian Federation

IrelandNorway

SpainIndia

AustraliaDenmark

FinlandIsrael

AustriaBelgiumCanada

ItalySweden

SwitzerlandNetherlands

ChinaUK

KoreaFrance

GermanyUnited States

Japan

Czech Republic

Estonia

Hungary

Slovenia

Spain

Iceland

New Zealand

Australia

Italy

Canada

Ireland

Norway

UK

Luxembourg

Belgium

France

Korea (Rep.)

Austria

Israel

USA

Denmark

Netherlands

Finland

Germany

Sweden

Switzerland

Japan

0 20 40 60 80 100 1208

76%

61%

66%61%

61%

59%

55%

46%

47%

Triadic: patents are registered in Europe, Japan & US

Major Players within German Research System (simplified!!!)

[email protected]

Institutional funding

Federal Government

Länder

Private sector

Intramuralresearch laboratories

Federationof Industrial CooperativeResearch Associations

DFG

HGF

MPG

FhG

WGL

Federal institutionsperforming R&D

Länder insti-tuitions per-forming R&D

Academies

Higher EducationSector

Project funding

Federal Government

Private sector

DFG

Federal Government

Länder Governments

Business enterprise

sector Source: BuFo 2000

Research -Funders -Performers

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Why is the German system so complicated?

[email protected]

1. Deutsches Grundgesetz (German Constitution) in Article 5 (Basic Human Rights): The arts and sciences, research and education are free. Thus, the Govern-ments have to provide free money!

2. On the other hand, the Governments have to ensure problem-oriented research (competitiveness of econo-my, 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.

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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

[email protected]

Major Players within German Research Funding (simplified!!!)

[email protected]


Federal Government

Länder

Private sector

Intramuralresearch laboratories

Federationof Industrial CooperativeResearch Associations

DFG

HGF

MPG

FhG

WGL

Federal institutionsperforming R&D

Länder insti-tuitions per-forming R&D

Academies

Higher EducationSector

Project funding

Federal Government

Private sector

DFG

Federal Government

Länder Governments

Business enterprise

sector Source: BuFo 2000

Research -Funders -Performers

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[email protected]

Division of tasks within the public system

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

Project funding

• Ministerial Funding Pro-rams (e.g. Water management, Biotech)

• EU Funding Prg. (e.g. Car of the Future, Cardiovascular Diseases)

• DFG• Fellowship programs

(DAAD, AvH, EU-Marie Curie)

• European Research Council (ERC)

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► 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

[email protected]

German Research System – publically funded

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[email protected]

R&D Budgets of Federal Ministries

Source: Federal Report on Research and Innovation 2014, BMBF 15

[email protected]

Research project funding by Federal Ministries

Source: Federal Report on Research and Innovation 2014, BMBF 16

► Federal Government – top down thematic programmes












[email protected]


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[email protected]

Mobility Funding by Federal Government

Federal Foreign Office 184 Mio € 38 Mio €

Fed. Min. Education & Research 101 Mio € 60 Mio €

Fed. Min. Economic Coo. & Development 40 Mio € 6 Mio € European Commission (Erasmus ….) 60 Mio € Other Sources 45 Mio € 6 Mio €

Total budget 430 Mio € (2014) 110 Mio € (2013)

mobility of students/education sector

mobility of researchers

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► Länder Governments – Universities









[email protected]


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Institutions of Higher Education IHE

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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

Source: Federal Statistics Bureau

Universities

Universitiesof Applied Sciences

108 Universities

65% of students

31% of students

. .% of Students

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[email protected]

R&D at German Universities – Third Party Funding 2012

Source: www.statista.com21 [email protected]

Basic funding for R&Dby Länder: about 10 Bil. €

DFG

Federal Government

Private Sector

European Union

Foundations

Länder

Total













[email protected]


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► 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“

Research Organizations: Max-Planck Society

[email protected]

Basic researchHarnack-prinziple

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Research Organizations: Fraunhofer Society

► 66 Institutes


► 22,000 employees

► Incl. 6,403 „students“

► Central Administration with

300 admin. staff

► Mission: high quality applied research - „earn money“

[email protected]

applied research30/30/40

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Research Organizations: Helmholtz Association

► 18 Institutes



► Incl. 16,000 scientists

► Central Office with

70 admin. staff

► Mission: high quality problem-oriented, long-term research

[email protected]

Long termLarge instruments

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Research Organizations: Leibniz Association

► 86 Institutes



► Incl. 8,000 scientists

► Central Office with

60 admin. staff

► Mission: high quality problem-oriented research

[email protected]

Regular independentevaluation

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[email protected]


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[email protected]

Pact for Research and InnovationPakt 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



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[email protected]

Higher Education Pact 2020Hochschulpakt 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

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[email protected]

Higher Education Pact 2020Hochschulpakt 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)

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[email protected]

Excellence InitiativeTop-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

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[email protected]

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

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► Both together – Joint funding of

● German Research Foundation DFG


● Franhofer Society


● Leibniz Annsociation



[email protected]


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[email protected]

Institution Federal : States share of Länder (federal states)

Helmholtz 90 : 10 host state Fraunhofer 90 : 10 66% host state, 33% according to Königstein key (of 30 %!!!!!)Max Planck 50 : 50 50% host state, 50% according to Königstein key

Leibniz 50 : 50research institutes

75% host state, 25% according to Königstein key

service institutes

25% host state, 75% according to Königstein key

DFG (basic funds) 58 : 42 according to Königstein key DFG (Excellence In.) 75 : 25 host state DFG (20% overheads)DFG (22% overheads)

100 : 091 : 9

No shareaccording to Königstein key

DFG (large equipment) 50 : 50 Host state Academies' Program 50 : 50 host state Leopoldina 80 : 20 host state Wissenschaftskolleg 50 : 50 host state Research at FHs 100 : 0 no share

Joint Funding

from 2016 !

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[email protected]

Federal State Share in % Federal State Share in %

Baden-Würtemberg 12,81503 Niedersachsen 9,31388

Bayern 15,19297 Nordrhein-Westfalen 21,44227

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 100%

Königstein Key (2010)

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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

[email protected]

DFG‘s Funding Instruments – all open to international co-

operation

[email protected]

and to foreign researchers working in Germany

Funding Programmes

InfrastructureInternational

Scientific Contacts

Coordinated Programmes

Individual Grants

► Individual Research Grants

► Mercator Guest Professorships

► Reinhard Koselleck-Projects

Awards

►Gottfried Wilhelm Leibniz-Prize

►many more

Promoting Young Researchers

► Research Fellowships

► One‘s own position

► Emmy Noether-Programme

► Heisenberg-Programme ► Research Units

► Priority Programmes

► Collaborative Research

Centres► International Research

Training Groups► Excellence Initiative

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[email protected]









► Funding only if institution agrees on

ethical standards

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How is the DFG structured?

[email protected]

Senate (36+3 scientists)

Executive Commitee

Ex. Board & 8 Vice-

Presidents

Joint Committee (Senate & 17/32 Governmental

representatives)

Executive Board

President Secretary GeneralHead Office

Reviewers assess funding proposals

All eligible scientists and academics

48 Review Boards (elected!)

General Assembly (members!) elect, select, appoint

cooperate

approves annual report and account approbates the Executive Committee establishes directives

ensurequality

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Presidents (since1980)

E. Seibold (1980 - 1985)

H. Markl (1986 -

1991)

W. Frühwald (1992 -

1997)

E.-L. Winnacker (1998 - 2006)

M. Kleiner (2007 - 2012)

Vizepräsidenten

President + 8 vice-presidents of DFGExecutive Committee

M. Famulok(Chemistry)

P. Funke(History)

W. Ertmer(Physics)

K. Becker(Biology)

L. Bruckner-Tuderman(Medicine)

M. Hochbruck(Mathematics)

W. Schön(Law)

F. Allgöwer(Engineering)

M. Barner, President GermanFounders Association, Guest

Peter Strohschneider

[email protected]

Secretary General:Ms Dorothee Dzwonnek


[email protected]










ethical standards

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The DFG´s Head Office

[email protected]

Department I Central Administration

ExecutiveOffices

Quality Assurance

and ProgrammeDevelopment

Inter-nationalAffairs

Press and

Public Relations

Economicsand

Auditing

Berlin Office

Internal Advisory Committee

Extended Executive Board

Heads of Divisions and Executive-Level Offices

Executive BoardPresident

Secretary General

Deputy Members:Heads of Departments I to III

ForumHeads of Divisions

Budget and Accounting

Human Resources/Legal Affairs

Information Technology and Infrastructure

Information Management

Administrative Support for DFG Offices

Department II Scientific Affairs

Department III Coordinated Programmes

and Infrastructure

Research Centres

Research Careers Scientific Library Services

and Information Systems Scientific Instrumentation

and Information Technology

Humanities and Social Sciences

Life Sciences 1 Life Sciences 2 Physics, Mathematics,

Geosciences Chemistry and Process

Engineering Engineering Sciences

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[email protected]










ethical standards

43










► Funding only if institution agrees

on ethical standards

[email protected]

International cooperation for setting the right perspective!

45

[email protected]

Major task: working on framework conditions for optimal international cooperation for German researchers

[email protected]

Global forum for non-ministerial research (funding) organizations

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Internationally: Cooperate on joint standards of projects selection, scientific conduct, general ethics, open access,Brain circulation,IPR, …..

Annual Regional MeetingSub-Saharan Africa 2014 – 2016(?)

Advocating basic research once again and finally…… Top down funding, problem-oriented

Industrialproducts

Advice for politicsAnd society

Healthcare

Supply of food, Water, energy

Sound bio-diversity

Clean & healthyenvironment

No basic research:

Results have to bebrought in from anoutside system!

Same is true for students!!!!!

47

[email protected]

GDP and Expenditure on R&D (GERD) per capita in selected countries, 2011 or in the most recent year

Source: http://data.uis.unesco.org, datasets: demographic and

socio-economic, science,technology and innovation

GERD per capita in current PPP$

Namibia 2010

South Africa 2010

China 2011

UK 2011

Canada 2011

France 2011

Japan 2011

Germany 2011

Korea (Rep.) 2011

Singapore 2011

USA 2011

Switzerland 2008

Sweden 2011

Finland 2011

-100 100 300 500 700 900 1100 1300 1500

GERD per capita in current PPP$

Namibia 2010

China 2011

South Africa 2010

Korea (Rep.) 2011

Japan 2011

France 2011

UK 2011

Finland 2011

Germany 2011

Sweden 2011

Canada 2011

USA 2011

Switzerland 2008

Singapore 2011

0 10,000 20,000 30,000 40,000 50,000 60,000 70,000

GDP per capita in current PPP$

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PPP$: adjusted to purchasing power

http://data.uis.unesco.org/

http://data.uis.unesco.org/MetadataWebApplication/ShowMetadata.ashx?Dataset=DEMO_DS&ShowOnWeb=true&Lang=en




http://data.uis.unesco.org/MetadataWebApplication/ShowMetadata.ashx?Dataset=SCN_DS&ShowOnWeb=true&Lang=en




Das Wissenschaftssystem in Deutschland, Dr. Jörg SchneiderBonn, März 2015

Gross expenditure on R&D (GERD) in selected countries

49

Namibia 2010

South Africa 2010

Singapore 2012

Finland 2012

Switzerland 2008

Sweden 2012

Canada 2012

UK 2012

France 2012

Korea 2011

Germany 2012

Japan 2011

China 2012

United States 2012

0 200000000 400000000

Lesotho 2011

Cabo Verde 2011

Congo 2009

Gambia 2011

Burundi 2011

Togo 2010

Namibia 2010

Madagascar 2011

Burkina Faso 2009

Mauritius 2005

Zambia 2008

Mozambique 2010

Mali 2010

Botswana 2005

Gabon 2009

Senegal 2010

Ghana 2010

Sudan 2010

Ethiopia 2010

Uganda 2010

Tanzania 2010

Nigeria 2007

Kenya 2010

South Africa 2010

0 1000000 2000000 3000000 4000000Datenquelle: http://data.uis.unesco.org, Dataset: Science, technology and innovation. Indicator GERD in '000 current PPP$.

Thank you very much

for your attention

[email protected]

Dr. Joerg SchneiderHead of International DivisionDeutsche [email protected]

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establishment and strengthening of a national research and innovation system: experience from the...

Documents

federal research institutes

german research system

basic research

research funders

competitive applied

german system

federal progr

rd expenditures