Research and Innovation in Germany and the Role of DFG Dr. Jörg Schneider Deutsche Forschungsgemeinschaft (German Research Foundation)
My Talk Today 1. Background State versus Private Sector 2. Direct Funding by Government 3. Joint Funding of Reearch Organizations 4. Mobility Funders 5. German Universities 6. German Research Foundation Principles 7. German Research Foundation Funding Instruments 2
Warning.. 1. Statistics at least recent statistics are difficult to obtain. Therefore, some of the figures are rather educated guesses. But always good enough to make the point I want to make.! 3
The German Innovation System a healthy tree R&D products for Society, Economy, Health, Environment fed by pre-competitive applied research, problem-driven 4 and growing on basic research, science-driven
5 if provided for adequately! (approximately 65% by private sector, here only engagement by state) Supply of food, Water, energy Industrial products Sound biodiversity U n i v e r s i t i e s Advice for politics and society Universities Healthcare Clean & healthy environment Top down funding, problemoriented & Federal States 30bil. 10% Bottom up funding, quality-oriented, but no thematic programmatics! 3 bil.
R&D Expenditures in Germany 2011 (estimated according to Federal Report on Research and Innovation 2014) 84 Mrd. for R & D Federal 16,4 States 13,3 Enterprises 51,5 Other 2,8 Joint Funding States: 2,3 Federal: 5,1 Federal progr., problem-oriented 7,7 DFG MPG WGL HGF FhG Federal Research Institutes 1,7 Universities Länder: 8 (+10 for educ.) Bund: 1,1 International Research Institutes 1,0 6
Gross domestic expenditure on RD in selected countries It is important that the private sector takes responsibility! Iran 2008 31% 62% % GDP 7% 0% 0,75% Japan 2013 76% 17% 7% 1% 3,5 % China (VR) 2013 75% 21% 3% 1% 2,0 % Korea (Rep.) 2011 74% 25% 1% 0% 4,0 % Germany 2012 66% 29% 0% 4% 2,9 % Sweden 2013 61% 28% 4% 7% 3,3 % Switzerland 2012 61% 25% 2% 12% 3,0 % Finland 2013 61% 26% 2% 12% 3,3 % OECD 2012 60% 30% 5% 5% 2,4 % USA 2012 59% 31% 6% 4% 2,8 % France 2012 55% 35% 2% 8% 2,2 % EU 28 2012 54% 34% 3% 10% 1,9 % Singapore 2012 53% 39% 2% 6% 2,0 % Canada 2012 47% 34% 12% 6% 1,7 % UK 2012 46% 29% 6% 20% 1,6 % South Africa 38% 45% 3% 13% 0,8 % Namibia 2010 20% 79% 0% 2% 0,1 % 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Business enterprise Government Other national sources Abroad 7 Datenquelle: OECD (2015), Main Science and Technology Indicators, Vol. 2014/2, OECD Publishing, Paris. Zu Singapur und Namibia: http://data.uis.unesco.org
Triadic patent families in selected countries 2011 number per million inhabitants Triadic: patents are registered in Europe, Japan & US Source: OECD (2014) 8 Japan Switzerland Sweden Germany Finland Netherlands Denmark USA Israel Austria Korea (Rep.) France Belgium Luxembourg UK Norway Ireland Canada Italy Australia New Zealand Iceland Spain Slovenia Hungary Estonia Czech Republic 47% 46% 55% 59% 61% 66% 61% 61% 76% %age of F&E Expenditure provided by the Private Sector 0 20 40 60 80 100 120
German Federation of Industrial Research Associations (AiF) Entrepreneurial innovation is Germany s most valuable resource. German Mittelstand.. Leading national organization promoting applied R&D benefiting SMEs It builds up alliances together with partners from industry, science and government in order to turn ideas into successful products/processes/services. As an industry-driven organization, the AiF aims at initiating applied R&D for SMEs. 100 industrial research associations with approx. 50,000 businesses, mostly SMEs, as members 1,200 associated research institutes AiF manages public programs of the German federal government to strengthen SME competitiveness. Since 1954, it has disbursed more than 9,5 billion in funding for over 200,000 research projects for SMEs AiF is an independent industrial federation: it is financed entirely by industry and receives no institutional funding. 9
German Research System publically funded 2. Federal Government top down thematic programs 6 bil Federal Government DAAD and AvH Federal Government federal research institutes Länder Governments universities Länder Governments states 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 10
11 if provided for adequately! (approximately 65% by private sector, here only engagement by state) Supply of food, Water, energy Industrial products Sound biodiversity U n i v e r s i t i e s Advice for politics and society Universities Healthcare Clean & healthy environment Top down funding, problemoriented & Federal States 30bil. 10% Bottom up funding, quality-oriented, but no thematic programmatics! 3 bil.
12 Source: Federal Report on Research and Innovation 2014, BMBF
Some examples for federal research priorities Health Sorry, not available in English) Global Change Knowledge technologies/software Optical technologies Research on Education Humanities Demographic change 13
Find more on: www.bmbf.de/en/ 14
www.dlr.de/pt/en/ 15
Research Organizations: Federal Research Institutes Total budget (2011):1.746 Mio incl. 869 Mio for F&E 43 institutes, working for and reporting directly to one of 12 (out of 14) federal ministries Roughly 50% research, 50% advice and support for federal ministries/government 16
Federal Research Institutes examples Foreign Affairs (AA) German Archaeological Institute (DAI) Economy (BMWi) Federal Institute for Materials Research and Testing (BAM) National Institute for Metrology (PTB) Health (BMG) Paul-Ehrlich-Institut Sera and Vaccines (PEI) Trafic and Infrastructure (BMVI) National Meteorological Service (DWD) Environment (BMUB) Federal Office for the Environment (UBA) Defence (BMVg) Institute of Microbiology of the Federal Armed Forces 17
German Research System publically funded 3. Federal Government top down thematic programs Federal Government DAAD and AvH Federal Government federal research institutes Länder Governments universities Länder Governments states research institutes Both together Joint funding of German Research Foundation DFG Max Planck Society Franhofer Society Helmholtz Association Leibniz Association various smaller institutio 18
19 if provided for adequately! (approximately 65% by private sector, here only engagement by state) Supply of food, Water, energy Industrial products Sound biodiversity U n i v e r s i t i e s Advice for politics and society Universities Healthcare Clean & healthy environment Top down funding, problemoriented & Federal States 30bil. 10% Bottom up funding, quality-oriented, but no thematic programmatics! 3 bil.
Division of tasks within the public system Problem-driven research Science-driven research Institutional funding Leibniz Institutes Helmholtz Institutes Federal Research Institutes AiF Institutes Max-Planck Institutes Fraunhofer Institutes Project funding Ministerial Funding Programs (e.g. Water management, Biotech) EU Funding Prg. (e.g. Car of the Future, Cancer REsearch) DFG Fellowship programs (DAAD, AvH, EU-Marie Curie) European Research Council (ERC) 20
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 Basic research Harnack principle 21
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 Applied research Budget: 30/30/40 22
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 Long term research Large instruments 23
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 Regular independent evaluation 24
German Research System publically funded 4. Federal Government top down thematic programs Federal Government DAAD and AvH Federal Government federal research institutes Länder Governments universities Länder Governments states 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 25
Mobility Funding by Federal Government mobility of students/education sector mobility of researchers Federal Foreign Office 177 Mio 37 Mio Fed. Min. Education & Research 103 Mio 64 Mio Fed. Min. Economic Coop. & Development 41 Mio 5 Mio European Commission (Erasmus.) 65 Mio 1 Mio Other Sources 55 Mio 4 Mio Total budget 441 Mio (2014) 111 Mio (2014) 26
German Research System publically funded 5. Federal Government top down thematic programs Federal Government DAAD and AvH Federal Government federal research institutes Länder Governments Universities Länder Governments states 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
Institutions of Higher Education IHE (in 2012).. 65% of students 108 Universities Universities of Applied Sciences 31% of students 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 Universities PhD can only be granted by Universites Source: Federal Statistics Bureau 28
Beginners in dual system sector and higher education sector 2014: approx. 20% started occupational training at special schools Dual System Education Universities/of Applied Sciences Occupational training: 350 professions defined by Federal Institute for Occupational Education (BIBB) 29 Berufsbildungsbericht 2015
German Research System publically funded 6. Federal Government top down thematic programs Federal Government DAAD and AvH Federal Government federal research institutes Länder Governments universities Länder Governments states research institutes Both together Joint funding of German Research Foundation DFG Max Planck Society Franhofer Society Helmholtz Association Leibniz Association various smaller institutions Further joint efforts to strengthen innovation system 30
DFG is driven by scientific demand DFG acts and funds bottom up no thematic priorities (rare exceptions) No calls, no deadlines (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 31
Some major principles of DFG DFG funds projects rather than individual people, although both come together in some specific funding instruments All DFG instruments are open to foreigners who (want to) stay in DE Federal and state governments provide roughly 3 bil. (2016) for excellent research This is often fundamental or basic research Selection based on: excellence DFG acts in response mode or bottom up 32
DFG is driven by scientific demand DFG acts and funds bottom up no thematic priorities (rare exceptions) No calls, no deadlines (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 33
How is the DFG structured? establishes directives General Assembly (members!) approves annual report and account approbates the Executive Committee elect, select, appoint Senate (36+3 scientists) Executive Commitee Ex. Board & 8 Vice- Presidents Joint Committee (Senate & 17/32 Governmental representatives) cooperate ensure quality 48 Review Boards (elected!) Executive Board President Secretary General Head Office Reviewers assess funding proposals All eligible scientists and academics 34
DFG is driven by scientific demand DFG acts and funds bottom up no thematic priorities (rare exceptions) No calls, no deadlines (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 35
The DFG s Head Office Internal Advisory Committee Extended Executive Board Heads of Divisions and Executive-Level Offices Executive Board President Secretary General Deputy Members: Heads of Departments I to III Forum Heads of Divisions Press and Public Relations Executive Offices Economics and Auditing Quality Assurance and Programme Development International Affairs Berlin Office Department I Central Administration Budget and Accounting Human Resources/Legal Affairs Information Technology and Infrastructure Information Management Administrative Support for DFG Offices Department II Scientific Affairs Humanities and Social Sciences Life Sciences 1 Life Sciences 2 Physics, Mathematics, Geosciences Chemistry and Process Engineering Engineering Sciences Department III Coordinated Programmes and Infrastructure Research Centres Research Careers Scientific Library Services and Information Systems Scientific Instrumentation and Information Technology 36
DFG acts and funds bottom up no thematic priorities (rare exceptions) No calls, no deadlines (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 37
DFG - Iran Iranian Ministry for Energy Amirkabir University Iranian National Science Foundation INSF Botschafter Dr. Majedi Cultural Heritage, Handicrafts and Tourism Organization (ICHHTO) Prof. Zargham Prof. Allgöwer
Some major principles of DFG 7. Eligibility Researchers of all disciplines. who have completed their sceintific training and thus hold a Dr./PhD who want to carry out their own research project in a publically funded research institution in Germany No age limits Proposals may be written in English 39
DFG s Funding Instruments - all open to international co-operation or to None-Germans Promoting Young Researchers 3 International Scientific Contacts 4 Infrastructure Research Fellowships One s own position Funding Instruments Emmy Noether-Program Heisenberg-Program 2 Coordinated Programs Individual Grants 1 Prizes Research Units Priority Programs Individual Research Grants Gottfried Wilhelm Leibniz-Prize Collaborative Research Mercator Guest Scientists Reinhard Koselleck-Projects many more Centres International Research Training Groups Excellence Initiative 40
DFG s Funding Instruments - all open to international co-operation or to None-Germans Promoting Young Researchers 3 International Scientific Contacts 4 Infrastructure Research Fellowships One s own position Funding Instruments Emmy Noether-Program Heisenberg-Program 2 Coordinated Programs Individual Grants 1 Prizes Research Units Priority Programs Individual Research Grants Gottfried Wilhelm Leibniz-Prize Collaborative Research Mercator Guest Scientists Reinhard Koselleck-Projects many more Centres International Research Training Groups Excellence Initiative 41
DFG s Funding Instruments - all open to international co-operation or to None-Germans Promoting Young Researchers 3 International Scientific Contacts 4 Infrastructure Research Fellowships One s own position Funding Instruments Emmy Noether-Program Heisenberg-Program 2 Coordinated Programs Individual Grants 1 Prizes Research Units Priority Programs Individual Research Grants Gottfried Wilhelm Leibniz-Prize Collaborative Research Mercator Guest Scientists Reinhard Koselleck-Projects many more Centres International Research Training Groups Excellence Initiative 42
Emmy Noether Program Early career researchers from all disciplines generally up to 4 years after obtaining a doctorate At least two years of postdoctoral experience substantial international research experience (abroad or by respective co-operation) Foreign applicants are expected to continue their scientific career in Germany following completion of the funding period (to be confirmed by the applicant). 43
DFG s Funding Instruments - all open to international co-operation or to None-Germans Promoting Young Researchers 3 International Scientific Contacts 4 Infrastructure Research Fellowships One s own position Funding Instruments Emmy Noether-Program Heisenberg-Program 2 Coordinated Programs Individual Grants 1 Prizes Research Units Priority Programs Individual Research Grants Gottfried Wilhelm Leibniz-Prize Collaborative Research Mercator Guest Scientists Reinhard Koselleck-Projects many more Centres International Research Training Groups Excellence Initiative 44
www.dfg.de/en/research_funding/programmes/international_ cooperation/initiation_international_collaboration/index.html 45
Most important message to take home today: anne.schmitz@dfg.de Tel.: 0228 885 2346/2226 Further information On DFG On German research institutions On projects funded by DFG On German research landscape Prof. Aliyar Javadi javadi@irasa.org www.dfg.de www.dfg.de/foerderatlas www.dfg.de/gepris http://research-explorer.de