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.
Engineering
sciences
(21.3%)
Humanities
and social sciences
(15.2%)
► 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.
Natural sciences
(25.0%)
Life sciences
(38.5%)
► 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.
Controlling in the DFG, Dr. Beate Wilhelm
Oslo, 24.6.2010
* Data base: Approvals 2.501 m € 2009
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
12
2,1
10
8
88.6 %
6
0,5
Helmholtz-Gemeinschaft
2,7
Fraunhofer-Gesellschaft
11.4 %
Max-Planck-Gesellschaft
2,2
4
1,5
2
2,4
0
1
Universities
Others
Controlling in the DFG, Dr. Beate Wilhelm
Oslo, 24.6.2010
Leibniz-Gemeinschaft
Public Research Institutions
Other Research Institutions
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
Controlling in the DFG, Dr. Beate Wilhelm
Oslo, 24.6.2010
► a central research facility,
funded by the DFG.
► http://www.research-
information.de/
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
Controlling in the DFG, Dr. Beate Wilhelm
Oslo, 24.6.2010
Department I
Central Administration
 Budget and Accounting
 Human Resources and Legal Affairs
 Information Technology and Infrastructure
 Information Management
 Administrative Support:
 Sino-German Center for Research
Promotion in Beijing
 DFG Office North America
 DFG Office Russia / Commonwealth
 DFG Office India
 DFG Office Japan
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)
40 %
2005
2006
30 %
2007
20 %
2008
2009
10 %
0%
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
Controlling in the DFG, Dr. Beate Wilhelm
Oslo, 24.6.2010
12,000
Tagungsförderung
10,000
MercatorGastprofessuren
8,000
Kongr.-/Vortr./Info.reisen 6,000
Int.
4,000
Mitgliedsch./Beitr.
(IZ)
2,000
Fördg.intern.Forsc
h.koop (IZ)
0
Forschungskoop.m
it Entw.länd.
2004
2005
2006
2007
2008
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/
Controlling in the DFG, Dr. Beate Wilhelm
Oslo, 24.6.2010