FUNDING ATLAS 2015

93 Pages·2017·15.556 MB·English

by  coll. (DFG)

Deutsche
Forschungsgemeinschaft
Funding Atlas 2015
Key Indicators
for Publicly Funded Research
in Germany
Deutsche
Forschungsgemeinschaft
Funding Atlas 2015
Key Indicators
for Publicly Funded Research
in Germany
DeutscheForschungsgemeinschaft
GermanResearchFoundation
Kennedyallee40∙53175Bonn,Germany
Phone: [phone]
Fax: [phone]
[email protected]
www.dfg.de
ProjectManagement:
ChristianFischer,Dr.JürgenGüdler
ProjectTeam,InformationManagementDivisionoftheDFG:
AndreasBritten,WilliamDinkel,ChristianFischer,Dr.JürgenGüdler,AnkeReinhardt,MartinWeigelt,KatharinaWerhan
PressandPublicRelationsDivisionoftheDFG:
Layout,TypographyandCoverDesign:TimWübben
ProjectCoordinationandEditing:StephanieHenseler
Wewouldliketothankthefollowinginstitutionsfortheircooperation:
AlexandervonHumboldtFoundation
EUOfficeoftheFederalMinistryofEducationandResearch
FederalMinistryofEducationandResearch
FederalStatisticalOffice
GermanAcademicExchangeService
GermanFederationofIndustrialResearchAssociations„OttovonGuericke“
MedizinischerFakultätentag
ThisreportwasproducedwiththekindsupportoftheStifterverbandfürdieDeutscheWissenschaft.
WewouldliketothankDr.LotharKrempel,MaxPlanckInstitutefortheStudyofSocietiesinCologne,forpreparingtheprofile
analysespresentedinthisreportandDr.MatthiasWinterhager,InstituteforInterdisciplinaryStudiesofSciences–BielefeldUniversity,
forhissupportinthebibliometricanalysis.
TheFundingAtlas,alongwithalargenumberofExcelspreadsheetsincludinganalysesaswellasprintablegraphicfilescontaining
illustrations,canbeviewedatwww.dfg.de/fundingatlas.
AllbookspublishedbyWiley-VCHarecarefullyproduced.Nevertheless,authors,editors,andpublisherdonotwarrantthe
informationcontainedinthesebooks,includingthisbook,tobefreeoferrors.Readersareadvisedtokeepinmindthatstate-
ments,data,illustrations,proceduraldetailsorotheritemsmayinadvertentlybeinaccurate.
BibliographicinformationpublishedbytheDeutscheNationalbibliothek
TheDeutscheNationalbibliothekliststhispublicationintheDeutscheNationalbibliografie;detailedbibliographicdataareavailable
ontheInternetat<http://dnb.d-nb.de>.
ISBN978-3-527-34332-4
©2016WILEY-VCHVerlagGmbH&Co.KGaA,Weinheim
Allrightsreserved(includingthoseoftranslationintootherlanguages).Nopartofthisbookmaybereproducedinanyform–by
photoprinting,microfilm,oranyothermeans–nortransmittedortranslatedintoamachinelanguagewithoutwrittenpermission
fromthepublishers.Registerednames,trademarks,etc.usedinthisbook,evenwhennotspecificallymarkedassuch,arenottobe
consideredunprotectedbylaw.
Typesetting:primustypeHurlerGmbH,Notzingen
PrintingandBinding:DCMDruckCenterMeckenheimGmbH
PrintedonFSC®-certifiedpaper.
PrintedintheFederalRepublicofGermany.
Contents
Foreword 8
1 Introduction 11
2 PubliclyFundedResearchinGermany–AnOverview 13
2 1 ResearchandResearchFunding:anInternationalComparison 13
2 2 FinancialandStaffResourcesforGermanResearch 15
2 3 FundingProvidersandProgrammesIncludedintheFundingAtlas 18
2 3 1 DeutscheForschungsgemeinschaft(DFG,GermanResearchFoundation) 20
2 3 2 EUFrameworkProgrammeforResearchand
TechnologicalDevelopment 20
2 3 3 EuropeanResearchCouncil(ERC) 23
2 3 4 FederalGovernmentFundingforR&DProjects 26
2 3 5 AlexandervonHumboldtFoundation(AvH) 28
2 3 6 GermanAcademicExchangeService(DAAD) 28
3 InstitutionsandRegionsofResearchinGermany 31
3 1 PlacesofResearchinGermany 31
3 2 Institution-relatedFiguresataGlance 31
3 3 DFGAwardstoHigherEducationInstitutions 34
3 4 InternationalAttractivenessofHigherEducationInstitutions 39
3 5 ResearchProfilesofRegions 40
4 Subject-basedFundingProfilesofResearchInstitutions 49
4 1 TheDFGSubjectClassificationSystem 49
4 2 AnOverviewofSubject-relatedIndicators 51
4 3 OverallViewofSubjectandFundingAreaProfilesof
HigherEducationInstitutions 53
4 4 FundingProfilesintheHumanitiesandSocialSciences 56
4 5 FundingProfilesintheLifeSciences 60
4 6 FundingProfilesintheNaturalSciences 65
4 7 FundingProfilesintheEngineeringSciences 69
5 FocusontheExcellenceInitiative 75
5 1 AppraisingtheExcellenceInitiativewithanInstitutionTypology 77
5 2 InternationalCooperationinGraduateSchoolsandClustersofExcellence 80
5 3 ABibliometricExaminationoftheExcellenceInitiative 80
5 4 InterdisciplinaryCooperationintheExcellenceInitiative 83
5 4 1 DataBasisandMethod 84
5 4 2 CooperationBetweenResearchAreas 85
5 4 3 TheMostFrequentlyOccurringSubjectAreas 87
5 4 4 StructuralEffectsofInterdisciplinaryCooperation 88
6 Appendix 95
Tables
Table2-1: DFGfundinginstruments:awardsfortheyears2011to2013 21
Table2-2: ThemostfrequentcountriesoforiginanddestinationofERC-fundedresearchers2007to2013 25
Table3-1: ParticipationinDFG,federalgovernmentandEUfundingprogrammesforresearch
bytypeofinstitution 33
Table3-2: NumberofAvHandERCfundingrecipientsbytypeofinstitution 34
Table3-3: ThemostfrequentlyselectedhostuniversitiesbyAvH-andDAAD-fundedresearchers2009to2013 40
Table3-4: ThemostfrequentlyselectedhostuniversitiesbyERC-fundedresearchers2007to2013 41
Table4-1: DFGsystemofreviewboards,researchareasandscientificdisciplines 50
Table4-2: ParticipationinDFG,federalgovernmentandEUfundingprogrammesforresearch
byscientificdiscipline 53
Table4-3: ParticipationinDFG,federalgovernmentandEUfundingprogrammesforresearch
bytypeofinstitutioninthehumanitiesandsocialsciences 57
Table4-4: ThehighereducationinstitutionswiththehighestDFGawardsfor2011to2013inabsolutefigures
andrelativetostaffsizeinthehumanitiesandsocialsciences 59
Table4-5: ParticipationinDFG,federalgovernmentandEUfundingprogrammesforresearch
bytypeofinstitutioninthelifesciences 61
Table4-6: ThehighereducationinstitutionswiththehighestDFGawardsfor2011to2013inabsolutefigures
andrelativetostaffsizeinthelifesciences 64
Table4-7: ParticipationinDFG,federalgovernmentandEUfundingprogrammesforresearch
bytypeofinstitutioninthenaturalsciences 65
Table4-8: ThehighereducationinstitutionswiththehighestDFGawardsfor2011to2013inabsolutefigures
andrelativetostaffsizeinthenaturalsciences 68
Table4-9: ParticipationinDFG,federalgovernmentandEUfundingprogrammesforresearch
bytypeofinstitutionintheengineeringsciences 69
Table4-10: ThehighereducationinstitutionswiththehighestDFGawardsfor2011to2013inabsolutefigures
andrelativetostaffsizeintheengineeringsciences 72
Table5-1: Personnelandthirdpartyfundingofhighereducationinstitutionsin2012bytypeofparticipation
intheExcellenceInitiative 77
Table5-2: ParticipationinDFG,federalgovernmentandEUfundingprogrammesforresearch
bytypeofparticipationintheExcellenceInitiative 78
Table5-3: NumberofAvH,DAADandERCfundingrecipientsathighereducationinstitutions
bytypeofparticipationintheExcellenceInitiative 79
Table5-4: Themostfrequentstandardisedsubjectareasforeachprogrammelineunderthe
ExcellenceInitiativecomparedwiththeDFG‘sCoordinatedProgrammes 89
Figures
Figure2-1: ExpenditureonR&DinGermanyandabroadin2011 14
Figure2-2: TrendinR&DexpenditureinGermanybytypeofinstitution2003to2012 15
Figure2-3: FundingofGermanresearchin2012bysector 16
Figure2-4: Trendinbasicandthird-partyfundingofhighereducationinstitutions2003to2012 17
Figure2-5: Trendsinhighereducationinstitutions‘incomefromthird-partyfunding2003to2012
byfundingsource 18
Figure2-6: DFGinformationservicesonresearchfunding 19
Figure2-7: R&DfundingintheEU‘sSeventhFrameworkProgramme2007to2013bycountryandtype
offundingrecipient 22
Figure2-8: R&DfundingintheEU‘sSeventhFrameworkProgramme2007to2013bycountryandfundingarea 24
Figure2-9: ERC-fundedresearchers2007to2013bycountryofdestinationandscientificdiscipline 27
Figure2-10: AvH-andDAAD-fundedresearchers2009to2013bycountryoforiginandscientificdiscipline 29
Figure3-1: LocationsofresearchinstitutionsinGermany 32
Figure3-2: DFGawardsfor2011to2013byhighereducationinstitutionandresearcharea 36
Figure3-3: RatioofDFGawardsfor2011to2013tostatisticallyexpectedvalues,correctedforsubject
structure,ofthe40highereducationinstitutionswiththehighestawardsvolume 38
Figure3-4: LocationdensityofresearchinstitutionsinGermanregionsin2015 42
Figure3-5: RegionaldistributionofDFGawardsfor2011to2013byresearcharea 44
Figure3-6: RegionaldistributionofR&Dprojectfundingbythefederalgovernment2011to2013
byfundingarea 45
Figure3-7: RegionaldistributionofR&DfundingintheEU‘sSeventhFrameworkProgramme2007to2013
bytypeoffundingrecipient 47
Figure4-1: DFGawardsfor2011to2013andtotalincomefromthird-partyfundingin2012byresearcharea
andperprofessoratuniversities 52
Figure4-2: FundingprofilesofHEIs:subjectmapbasedonDFGawardsfor2011to2013(ranks1–40) 54
Figure4-3: JointparticipationsbyresearchinstitutionsinDFG-fundedjointprogrammesandresulting
collaborativerelationships2011to2013inthehumanitiesandsocialsciences 58
Figure4-4: JointparticipationsbyresearchinstitutionsinDFG-fundedjointprogrammesandresulting
collaborativerelationships2011to2013inthelifesciences 62
Figure4-5: JointparticipationsbyresearchinstitutionsinDFG-fundedjointprogrammesandresulting
collaborativerelationships2011to2013inthenaturalsciences 67
Figure4-6: JointparticipationsbyresearchinstitutionsinDFG-fundedjointprogrammesandresulting
collaborativerelationships2011to2013intheengineeringsciences 71
Figure5-1: ResultsofthesecondphaseoftheExcellenceInitiative:fundedinstitutions2012to2017 76
Figure5-2: InternationalityofGraduateSchoolsandClustersofExcellence–countriesoforiginof
participants2013 81
Figure5-3: Trendinpublicationoutput(chemistry/physics),2002to2013,globally,incountrieswith
highresearchactivity,andinGermany 82
Figure5-4: Comparisonofthenumberofstandardisedsubjectareas,specifiedforeachfundingline,
perscientificdisciplineforGraduateSchools,ClustersofExcellenceandCoordinatedProgrammes 85
Figure5-5: InterdisciplinarycollaborationinGraduateSchools:numberofresearchareasinvolved
inindividualgroups,byscientificdisciplineofthegroup 86
Figure5-6: InterdisciplinarycollaborationinClustersofExcellence:numberofresearchareasinvolved
inindividualgroups,byscientificdisciplineofthegroup 87
Figure5-7: NetworkofsubjectareasinvolvedinGraduateSchools 90
Figure5-8: NetworkofsubjectareasinvolvedinClustersofExcellence 91
8
Foreword
Through the Funding Atlas, the Deutsche allyrenownedvisitingresearchersandthey
Forschungsgemeinschaft (DFG, German are also well networked with other univer-
Research Foundation) has been providing sities and non-university research institu-
a continually expanded set of key indica- tions within their own regions. They create
tors on publicly funded research at Ger- spaces for both disciplinarily focussed and
man universities and non-university re- interdisciplinary networked research and
searchinstitutionssince1997.Theseventh attract an above-average amount of third-
German edition, published in September party funding, not just from the DFG but
2015, appeared at a time when important also from other major funding providers
decisions were being prepared in relation (in particular the ministries of the federal
to German research – for example by the government and the EU). Bibliometric
so-called “Imboden” Commission. Com- studies reveal that publication output and
posed of internationally prominent mem- the impact of this output (measured by
bers, this commission was tasked with citations) are also outstanding.
evaluating the implementation and pro- Furthermore, as the Funding Atlas also
gress of the Excellence Initiative of the fed- demonstrates, the programme has not wid-
eral and state governments, funded be- ened the gap between universities which re-
tween 2007 and 2012 (phase 1) and be- ceive Excellence Initiative funding and
tween 2013 and 2017 (phase 2) with a to- thosewhichdonot.Instead,apositiveeffect
tal budget of €4.3 billion, and developing canbeseenfortheGermanresearchsystem
proposalsforitscontinuation.TheGerman as a whole: never have researchers from so
Council of Science and Humanities and the many research institutions submitted pro-
DFG, the two organisations jointly respon- posals to the DFG as during the reporting
sible for implementing the programme, period of this Funding Atlas (2011 to 2013).
supported the work of the commission Demand for third-party funding offered by
with a substantial data-based report. The providers other than the DFG has further
Imboden Commission also used the DFG increased, as has the interest of leading for-
Funding Atlas to reach conclusions about eign researchers in working, at least tempo-
the performance of Excellence Initiative- rarily, at a German research institution.
funded universities with the aid of rele- The DFG Funding Atlas, published every
vant indicators. three years, provides an overview of the
The commission presented its report in German research landscape through the
January 2016, and a little later, in June of key indicators it presents on publicly fund-
this year, the federal and state govern- ed research. The emphasis is on data relat-
ments decided in favour of continuing the ing to third-party funding by the DFG. The
programme. Asof 2019it willbe known as Funding Atlas also analyses the participa-
the Excellence Strategy and will comprise tion of German institutions in the funding
two funding lines: Clusters of Excellence programmes of other national and interna-
and Universities of Excellence. tional research funding organisations as
The continuation of the programme pro- well as bibliometric data. Less emphasis is
videsstrikingconfirmationofthesuccessof placed on the question of quantitative suc-
the Excellence Initiative – a success which cess; rather, the figures presented in the
is also clearly demonstrated by the figures Funding Atlas 2015 paint a picture of the
presented in the DFG Funding Atlas. Uni- key subject areas and thematic areas at
versities participating in the programme German universities and non-university
are attractive destinations for internation- research institutions.
Foreword 9
ThisEnglisheditionoftheFundingAtlas The comprehensive picture of current
2015 presents a selection of the findings research funding in Germany presented in
contained in the German edition. There is the Funding Atlas 2015 informs national
a special focus on analyses which shed and international target groups about
light on the Excellence Initiative. The Eng- ‘places of research’ in Germany and thus
lish edition of the Funding Atlas also takes contributes to the international visibility
a more in-depth look at the ‘international- of German research in its breadth and
isation of research’. height.
DorotheeDzwonnek
SecretaryGeneral
oftheDeutscheForschungsgemeinschaft
11
1 Introduction
20 Years of the Funding Atlas withtheprimaryaimofsendingoutahighly
visiblesignalofthecapabilitiesoftheGerman
With the Funding Atlas 2015, the Deutsche research system. Additional resources in ex-
Forschungsgemeinschaft (DFG, German Re- cess of €4.6 billion were deployed to fund
searchFoundation)ispresentingtheseventh outstanding research projects and intensify
edition of this reporting system. In terms of the training of particularly talented early ca-
reporting years, the series now covers a peri- reer researchers in Graduate Schools (GSC)
odof23years(1991to2013). andClustersofExcellence(EXC),whichwere
During this period, both the German and selected through a rigorous competitive pro-
international research systems have under- cess. The third funding line, Institutional
goneanumberofchanges.InGermany,there Strategies (Zukunftskonzepte, ZUK), helps to
have been two key developments. In the furtherdeveloptheprofileofselecteduniver-
1990s, the main aim was to address the chal- sities.
lenges of reunification, establish an essential- In addition to the main objective of Excel-
ly restructured research system in the ‘new’ lence Initiative funding – to enable research
federalstatesoftheformerEastGermanyand that meets the highest theoretical and meth-
integrate this into the system as a whole. In odological standards – secondary objectives
themorerecentpast,theExcellenceInitiative relating to research policy are playing an im-
introduced by the federal government and portantroleinthedevelopmentandconcrete
the state governments in 2005 has been and implementation of programmes (and, ulti-
continuestobeamajorinitiatorofimportant mately, the evaluation of their success):
changes. equality, early career support, internationali-
On an international level, particular men- sation,interdisciplinarity,profilebuildingand
tion will also be made of only two changes, structural development, and finally, coopera-
both in connection with the European Re- tion between institutions, regions and coun-
search Area. Firstly, the pan-European com- tries, between higher education institutions
petition for research grants acquired a new (HEIs) and non-university institutions, as
dimension with the establishment of the Eu- well as between academia, industry and soci-
ropeanResearchCouncil(ERC),basedonthe ety.
model of the DFG, in Brussels in 2006. Sec- The latest edition of the Funding Atlas pre-
ondly, the growing importance of interna- sents a wealth of data on all of these topics,
tional cooperation was underlined by the es- providing a statistical examination of the Ex-
tablishment of Science Europe in 2011. This cellence Initiative and of the developments
newformofself-organisationcurrentlybrings in the German research system as a whole
togethermorethan50nationalfundinginsti- duringtheperiodunderreview.
tutionsandresearchorganisationsinorderto
develop and coordinate joint activities with
the aim of strengthening the European Re- The Funding Atlas – Data Sourced from
searchArea. Funding Providers, not Recipients
In essence, the Funding Atlas is a reporting
Special Focus on the Excellence system based on figures relating to third-par-
Initiative tyfundingandthe(international)fundingof
individuals. A large majority of the data pre-
TheExcellenceInitiativecurrentlyplaysakey sented originates from the funding institu-
role in Germany. It was launched in 2005 tions named in the report. The statistics gen-
12 1 Introduction
erated from this data are therefore based not tions of the DFG can order a limited number
on complex, error-prone surveys of funding of printed copies of the English version from
recipients, but on information extracted di- theDFGHeadOffice.
rectly from the databases maintained by
fundingproviders.
Alongwith theDFG,thisincludesthemin- Funding Atlas Online Material Provides
istriesoftheGermanfederalgovernment(es- Extensive Table Data
pecially the Federal Ministry of Education
and Research and the Federal Ministry for The publication of the Funding Atlas 2012
Economic Affairs and Energy) and the EU saw the introduction of the parallel online
(throughtheEU’s7thFrameworkProgramme publication of all tables and figures in the re-
for Research and Technological Develop- port as individual files on the DFG website.
ment).ThisFundingAtlasgivesgreateratten- There is also high demand for the data on
tion to the measures in the EU’s Ideas pro- which the tables are based in XLS format.
gramme implemented through the European Over40,000downloadsofthesefilesoverthe
ResearchCouncil(ERC). course of one year, which were made availa-
As indicators of the international visibility ble along with the publication of the 2015
and attractiveness of institutions, data has edition in September 2015, testify to the ac-
been sourced from the Alexander von Hum- tive use of this material. The online material
boldt Foundation (AvH) and the German Ac- is supplemented by a dedicated website for
ademic Exchange Service (DAAD). As the the Funding Atlas 2015, which presents the
funding profile of these organisations is focalthemesofthepublicationandillustrates
geared towards international exchange, it is the individual research profiles of German
not the awarded amounts that are of interest HEIs on the basis of the key figures for each
here but the number of supported research institution(www.dfg.de/fundingatlas).
visitstoGermany.
Thedataonstaffandavailablefinancialre-
sourcescompiledannuallybytheStateStatis- Funding Atlas Supported by
ticalOffices,whichisthencentrallyprocessed Stifterverband and Various
by the Federal Statistical Office (DESTATIS) Cooperation Partners
andpublishedinofficialstatistics.Finally,the
bibliometric analyses presented in Chapter Since the third edition, the DFG Funding
5.3usedatafromgenerallyaccessiblepublica- Atlas has been actively supported by the Stif-
tiondatabases. terverband. This support and the continuing
close cooperation with various funding insti-
tutions makes it possible to continually
English Edition of the DFG Funding develop the spectrum of the report. The nu-
Atlas as an International Research merous network diagrams in this Funding
Marketing Tool Atlas were made possible by the collabora-
tionwithLotharKrempeloftheMaxPlanck
This English edition of the DFG-Förderatlas Institute for the Study of Societies in Co-
summarises the key findings of the more de- logne. The findings based on bibliometric
tailed German edition in compact form. It is data presented in Chapter 5.3 benefit from
primarily aimed at researchers abroad and the collaboration with the team led by
the staff of international research and fund- Matthias Winterhager at the Institute for In-
inginstitutionswithaspecialinterestin‘plac- terdisciplinary Studies of Science at the Uni-
es of research’ in Germany. Member institu- versityofBielefeld.