Opportunities for Financing Basic Research in Austria
Тhe paper is devoted to the Austrian experience in building up basic research funding system. It is based on the Austrian annual research and technology report and annual reports of major R&D funding institutions. The latest trend shows that R&D expenditures in Austria have been grown faster...
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Центр досліджень науково-технічного потенціалу та історії науки ім. Г.М. Доброва НАН України
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irk-123456789-1625342020-01-12T01:26:16Z Opportunities for Financing Basic Research in Austria Gryga, V. Зарубіжна наука. Міжнародне науково-технічне співробітництво Тhe paper is devoted to the Austrian experience in building up basic research funding system. It is based on the Austrian annual research and technology report and annual reports of major R&D funding institutions. The latest trend shows that R&D expenditures in Austria have been grown faster than GDP, with public sector investing even more in R&D. Public R&D investments are distributed in Austria through the system of R&D funding institutions. There is a special Fund, oriented mainly on basic research, the Austrian Science Fund. Special focus in the paper is given to the process of competitive selection of programs operated by this Fund. The experience of Vienna Science and Technology Fund operating at regional level is also analyzed. It is concluded that Austria has been performing well in implementing the objectives of domestic policy in research, technology and innovation for the benefit of economic growth. Стаття присвячена австрійському досвіду функціонування системи фінансування фундаментальних наукових досліджень. Вона ґрунтується на даних щорічної доповіді щодо стану досліджень і технологій в Австрії, а також річних звітів основних інституцій, що фінансують наукові дослідження. Останні тенденції свідчать, що витрати на дослідження і розробки (ДР) в Австрії зростали швидше, ніж ВВП, а темпи зростання фінансування ДР з боку державного сектору були ще вище. Державне фінансування ДР розподіляється в Австрії через систему відповідних інституцій. Окрему увагу в статті приділено фінансуванню фундаментальних досліджень по лінії Австрійського наукового фонду, зокрема процесу конкурсного відбору програм. Також проаналізовано роботу Віденського фонду науки і технологій, який працює на регіональному рівні. Зроблено висновок, що Австрія успішно реалізовує завдання національної науково-технологічної та інноваційної політики з метою забезпечення економічного зростання. Статья посвящена австрийскому опыту функционирования системы финансирования фундаментальных научных исследований. Она основана на данных ежегодного доклада о состоянии исследований и технологий в Австрии, а также годовых отчетов основных институтов, финансирующих научные исследования. Последние тенденции свидетельствуют, что расходы на исследования и разработки (ИР) в Австрии росли быстрее, чем ВВП, а темпы роста финансирования ИР со стороны государственного сектора были еще выше. Государственное финансирование ИР распределяется через систему соответствующих институтов. Особое внимание в статье уделено финансированию фундаментальных исследований по линии Австрийского научного фонда, в особенности процессу отбора программ. Также проанализирована работа Венского фонда науки и технологий, который работает на региональном уровне. Сделан вывод, что Австрия успешно реализует задачи научно-технологической и инновационной политики с целью обеспечения экономического роста. 2015 Article Opportunities for Financing Basic Research in Austria / V. Gryga // Наука та наукознавство. — 2015. — № 3. — С. 76-87. — англ. 0374-3896 http://dspace.nbuv.gov.ua/handle/123456789/162534 330.341.1 en Наука та наукознавство Центр досліджень науково-технічного потенціалу та історії науки ім. Г.М. Доброва НАН України |
| institution |
Digital Library of Periodicals of National Academy of Sciences of Ukraine |
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| topic |
Зарубіжна наука. Міжнародне науково-технічне співробітництво Зарубіжна наука. Міжнародне науково-технічне співробітництво |
| spellingShingle |
Зарубіжна наука. Міжнародне науково-технічне співробітництво Зарубіжна наука. Міжнародне науково-технічне співробітництво Gryga, V. Opportunities for Financing Basic Research in Austria Наука та наукознавство |
| description |
Тhe paper is devoted to the Austrian experience in building up basic research funding system. It is based on the Austrian annual research and technology report and annual reports of major R&D funding institutions. The latest trend shows that R&D expenditures in Austria have been grown faster than GDP, with public sector investing even more in R&D. Public R&D investments are distributed in Austria through the system of R&D funding institutions. There is a special Fund, oriented mainly on basic research, the Austrian Science Fund. Special focus in the paper is given to the process of competitive selection of programs operated by this Fund. The experience of Vienna Science and Technology Fund operating at regional level is also analyzed. It is concluded that Austria has been performing well in implementing the objectives of domestic policy in research, technology and innovation for the benefit of economic growth. |
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Article |
| author |
Gryga, V. |
| author_facet |
Gryga, V. |
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Gryga, V. |
| title |
Opportunities for Financing Basic Research in Austria |
| title_short |
Opportunities for Financing Basic Research in Austria |
| title_full |
Opportunities for Financing Basic Research in Austria |
| title_fullStr |
Opportunities for Financing Basic Research in Austria |
| title_full_unstemmed |
Opportunities for Financing Basic Research in Austria |
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opportunities for financing basic research in austria |
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Центр досліджень науково-технічного потенціалу та історії науки ім. Г.М. Доброва НАН України |
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2015 |
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Зарубіжна наука. Міжнародне науково-технічне співробітництво |
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http://dspace.nbuv.gov.ua/handle/123456789/162534 |
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Opportunities for Financing Basic Research in Austria / V. Gryga // Наука та наукознавство. — 2015. — № 3. — С. 76-87. — англ. |
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| fulltext |
76 ISSN 0374-3896 Science and Science of Science, 2015, № 3
UDС 330.341.1
V. Gryga
Opportunities for Financing Basic
Research in Austria1
Тhe paper is devoted to the Austrian experience in building up basic research funding system.
It is based on the Austrian annual research and technology report and annual reports of major
R&D funding institutions. The latest trend shows that R&D expenditures in Austria have been
grown faster than GDP, with public sector investing even more in R&D. Public R&D investments
are distributed in Austria through the system of R&D funding institutions. There is a special Fund,
oriented mainly on basic research, the Austrian Science Fund. Special focus in the paper is given
to the process of competitive selection of programs operated by this Fund. The experience of Vienna
Science and Technology Fund operating at regional level is also analyzed. It is concluded that
Austria has been performing well in implementing the objectives of domestic policy in research,
technology and innovation for the benefit of economic growth.
Key words: research and development, innovation, basic research, financing, program,
Austrian Science Fund, Vienna Science and Technology Fund.
Introduction
As Austria is one of the EU leaders in
economic and in research and innovation
development, the aim of the paper is to look
at the system of basic research financing,
which contribute to high level of R&D
development of Austria.
Austria is one of the top countries in
the EU, with quite sustainable dynamics of
economic growth. The projected nominal
GDP for 2015 is €335.33 billion, 1.9% increase
compared with 2014. The resulting R&D
intensity is, therefore, expected to be 3.0%
in 2015 (see Fig. 1), which would be a slight
increase compared with 2014 (2.99%) and
2013 (2.95%). R&D intensity has an upward
trend in Austria at least for the last 15 years:
started from less than 2.0% GDP in 2000 [1].
The highest rate of growth in 2015
was in the business enterprise sector, with
projected increase of 3.9%. This sector’s
funds are estimated as €4.76 billion, thereby
contributing about 47.2% to financing
Austrian R&D, thus representing the highest
proportion of the funding. A comparatively
steep increase in funding from the business
enterprise sector since 2011 (as compared
with the crisis years of 2009–2011) could be
observed. Yet, in the medium and long-term
© V. Gryga, 2015
1 Prepared specially for the GRANT 2015 conference.
period public sector financing of R&D has
grown faster than others (Fig.1)
The federal government provides €3.21
billion in funding in 2015, approximately
32% of overall R&D expenditures in Austria
(and the total public expenditure is 37%).
In absolute figures, this represents rise of
some €44.7 million or 1.4% compared to
2014. Overall, the public sector, which
includes the regional governments, local
governments, professional associations and
social insurance institutions, is expected
to provide €3.77 billion in 2015, or about
37.3% of the total R&D expenditure, with
the federal government responsible for its
overwhelming share. Since the crisis the
public sector has strongly increased its R&D
financing, which is expected to be nearly 42%
higher in 2015 than during the recession year
of 2009. Foreign sources of funds (primarily
foreign-owned firms that co-finance the
R&D of their Austrian subsidiaries and, to a
lesser extent, funds on line of EU research
framework programs) account for €1.53
billion or 15% of the funds for the Austrian
R&D, continuing to be a high proportion if
compared internationally.
Overall, by the R&D intensity Austria
was well above the EU average of 2.01% in
2013 (the last year for which comparative
international figures are available), with
77ISSN 0374-3896 Наука та наукознавство, 2015, № 3
OPPORTUNITIES FOR FINANCING BASIC RESEARCH IN AUSTRIA
2.95% of GDP invested in R&D and thus
ahead of Germany (2.85%), though still
behind Finland (3.31%), Sweden (3.30%)
and Denmark (3.06%).
Figure 1. Dynamic of R&D expenditure in Austria by source of funds
Source: constructed by data from [1]
The Research, Technology and
Innovation (RTI) strategy adopted by the
federal government in 2011 represents the
central frame of reference for the formulation
of Austrian RTI policy. Its main objective
is to include the country into the group of
European innovation leaders by 2020. The
RTI strategy is implemented at multiple
levels with a broad-based and systemic
approach to organizing and supporting
the innovation system. “RTI Task Force”
functions as an important coordinating
tool for implementing the strategy, as it
supports the strategic and system-oriented
coordination efforts of RTI ministries.
Led by the Federal Chancellery, it includes
representatives of the Federal Ministry of
Finance (BMF), the Federal Ministry for
Transport, Innovation and Technology
(BMVIT), the Federal Ministry of Science,
Research and Economy (BMWFW), and
the Federal Ministry of Education and
Research (BMBF). Intense and regular
contacts and information exchange at
a higher administrative level have made
a crucial contribution to increasing
cooperation between RTI ministries over
the last few years.
Detailed plans in this mid- to long-
term framework for orientation include the
following activities:
– ensuring public funding of research for
outstanding basic research, applied research,
technology development and knowledge
transfer through research funding regulations
that allow for long-term planning security;
– introducing measures to trigger more
private research investments;
– mobilizing private endowment funds
to spread the extra-budgetary basis for RTI;
– developing measures for expanding
support for young talent and women;
– promoting research to solve social
challenges while taking into consideration
the potential of the humanities, social
sciences and cultural studies;
– establishing measures to increase the
number of innovating enterprises;
– realizing efficiency improvements,
needs-oriented development of research
infrastructures as well as implementing
knowledge transfer centers;
– improving the international scientific
network and scientific field offices;
– modernizing the research funding
laws and reducing bureaucracy, in order to
78
V. Gryga
ISSN 0374-3896 Science and Science of Science, 2015, № 3
facilitate access to funding for small and
medium-sized enterprises (SMEs);
– encouraging start-ups, e.g. through
venture capital measures;
– developing a national strategy for
intellectual property.
Basic Research:
a core of federal RTI strategy
There are the three major funding
agencies at a federal level for R&D in Austria:
the Austrian Science Fund (Fonds zur
F rderung der wissenschaftlichen Forschung,
FWF), the Austrian Research Promotion
Agency (Forschungsf rderungsgesellschaft,
FFG) and Austria Wirtschaftsservice (AWS).
They are the primary institutions responsible
for achieving the objectives of the federal
government's RTI strategy in Austria. These
agencies basically cover all the components
of the innovation chain: basic research
(Austrian Science Fund, FWF), applied
research and experimental development
(Austrian Research Promotion Agency,
FFG), and the transition of technological
developments to corporate growth (AWS).
Basic research is an important focus
for the federal government's RTI strategy.
It represents a key element with regard to
Austria's attractiveness as an international
location for RTI and thus has a significant
impact on the human potential of the
Austrian research area. The main role of
basic research in the Austrian innovation
system is reflected in the strategic focus
of FWF. FWF is dedicated above all to
strengthening and developing the science
system and the attractiveness of Austria as a
location for RTI.
Through targeted projects it supports
Austrian research institutes in international
competition for top researchers. The strategy
for strengthening competitive funding of
university research and its international
focus is pursued by taking into consideration
overhead costs as well as by working closely
with foreign partners (in particular, from
Germany, the US and the UK).
In addition, by working to selectively
shape ERA Net initiatives and through
involvement in Science Europe, FWF aims
to better coordinate the national research
and funding activities of the European
Research Area (ERA) and promote an
international focus within the Austrian
research landscape, which is also an
objective of RTI strategy.
Austrian Science Fund2
The main and the largest funding
institution for basic research is Austrian
Science Fund (FWF). For the past 5 years it
increased the funding by almost 45%, which
was about €211 million in 2014. Nearly 80%
of this amount covered personal costs, while
travelling costs accounted for only 2.1% and
equipment – only 0.8%. Another interesting
point is age distribution of research
employees in FWF-funded projects. The
total number of postdocs in such projects was
1392 persons in 2014. At about 50% of cases,
the age of researchers was 30–36, with only
few persons (in 2014) older than 50.
FWF has a number of programs and
awards, but their selection procedures
have essential similarities (see Fig. 2). All
applications received by FWF are subjected
to a peer review procedure in which only
experts working outside Austria are asked
to review proposals. These reviews form
the basis for all funding decisions, thus
ensuring the quality and international
relevance of the research funded. The
FWF is obliged to treat all scientific
disciplines equally and does not have a
quota system regulating the distribution
of funds among various disciplines. But
the normal distribution is following:
social sciences and humanities – 20%,
natural and technical sciences; biology
and medicine – 40% each.
The number of reviews required for taking
a decision primarily depends on the amount
of funding requested and on the funding
program in question. For example, Stand-
Alone Projects with the requested amount of
funding up to €350.000 will have minimum
of two review reports. Above that level, at
least one review must be obtained for each
additional €100.000 requested. For funding
in excess of €550.000, each increment of
€150.000 requires a disproportionate number
of additional reviews.
2 This part is based on annual reports of FWF.
79ISSN 0374-3896 Наука та наукознавство, 2015, № 3
OPPORTUNITIES FOR FINANCING BASIC RESEARCH IN AUSTRIA
In all other programs as well as some
commissioned/international programs, the
number of reviews required depends on the
relevant program-specific agreements; in
any case, however, at least two reviews are
required. Additional reviews may also be
necessary for applications which encompass
many disciplines.
So, peer review process lies at the heart
of the FWF’s decision-making process, in
which the organization has consistently
relied on experts based outside of Austria for
decades. In line with common international
practice, the reviewers perform this function
for the FWF free of charge. One of the key
benefits of the FWF’s international peer
review process is that it has helped to bolster
the international competitiveness of Austrian
research on sustained basis. As in the previous
years, the FWF’s reviews mainly came from
three major geographical areas. The US and
Canada accounted for the largest share of
reviews received (35.4%), just ahead of the
EU (except for Germany and Switzerland
(33.7%) with top position in 2013). The share
of reviews from other German-speaking
countries (Germany/Switzerland) reached
16.9% and thus demonstrated another slight
decrease in 2014. “Rest of the world”, with
12.5%, demonstrated a slight increase in
comparison to the previous year. In total,
FWF received reviews from 67 nations
in 2014, which indicates an especially
strong international element in its review
Figure 2. Decision making process in Austrian Science Fund
Source: constructed by data from [2]
80
V. Gryga
ISSN 0374-3896 Science and Science of Science, 2015, № 3
operations. Of the 5.131 reviews received,
only one came from Ukraine in 2014. In
order to obtain those 5.131 reviews, FWF
had to send a total of 15.089 requests, which
yields a response rate of 34.0%. Through
these considerable efforts, FWF Office has
managed to maintain the response rate at
roughly the same level over the last few years.
In FWF programs, with applications
reviewed on rolling basis, the average time
span between submission of an application
and a decision taken by FWF Board was 4.5
months in 2014.
Programs and awards
of Austrian Science Fund
The core FWF competition is Stand-
Alone Projects Program, which amounts
about 50% of the grants supported by FWF.
Its objective is to support non-profit-oriented
individual research projects. The target
group is Austrian scientists and researchers
from all disciplines. The maximum duration
is 36 months, but the follow-up applications
are possible. There is no fixed amount of
funding per project, which varies depending
on project peculiarities. Average volume of
funding per project is about €300.000. An
advantage of this program is that there is no
deadline and everyone could submit proposal
when he/she wants.
The next programs for basic research
funding are Special Research Programs
(SFBs), related to priority research fields.
The SFB objectives are:
– to establish research networks on
par with international standards through
autonomous research concentration at
a single university location (or multiple
locations, subject to certain conditions);
– to build extremely productive, tightly
interconnected research establishments
for long-term, generally interdisciplinary/
multidisciplinary work on complex research
topics.
This competition is opened for research
groups in all disciplines working at Austrian
universities or non-profit, non-university
research institutions. The core group of
applicants must be of sufficient size and
be qualified to establish and run a research
program of high international standing in line
with the profile of the participating research
institution(s); minimum of 5, maximum
of 15 principal researchers for sub-projects
(including spokesperson); and 30% of them
should be women. Also at least 50% of
principal researchers in sub-projects must
be based at one research location. Letters of
support are required from all participating
research institutions.
The duration of an SFB program is 8
years, but after 4 years an interim evaluation
will determine whether or not projects are
allowed to continue. The amount of funding
is not fixed too, like in the previous case,
and depends on specific project and number
of sub-projects. Average volume of (new)
funding approvals is approximately €4.7
million per SFB for the first four years.
To receive funding for FWF’s SFBs,
applicants are required to undergo a highly
selective two-stage process. In 2013, only
13 research groups took on this challenge,
representing a significant decrease compared
to the previous year (24 groups). After a review
of the outline proposals, four applicants were
invited to submit full proposals. Two of those
proposals – which comprised a total of 22
sub-projects – were ultimately approved.
Besides quite ambitious programs, FWF
runs smaller competitions, called awards and
prizes. First of them is START Program.
Its objective is to provide researchers with
the means to plan their research work on
long-term basis and with sufficient financial
security. By assuming responsibility for the
establishment/expansion and management
of a research group, project leaders are able to
gain the qualifications necessary for leading
positions in science, especially as lecturers at
higher education establishments in Austria
or abroad. This program is designed to
support highly promising young researchers
in all disciplines. They should be no less than
two years and no more than nine years after
conferral of doctoral degree. The applicants
should have outstanding international track
record, evidence of scientific independence
and, desirably, an international experience. It
should be noted that till 2014 full professors
were not eligible to take part in the START
program, but since 2014 they have been
eligible as well.
81ISSN 0374-3896 Наука та наукознавство, 2015, № 3
OPPORTUNITIES FOR FINANCING BASIC RESEARCH IN AUSTRIA
The project duration should not be more
than eight years, preferably 6 years, but
longer periods are possible in the exceptional
cases defined in the application guidelines.
Nevertheless, an interim evaluation after
3 years determines whether projects are
allowed to continue.
The average volume of funding is
approximately €1.2 million per START
project and depends on specific project.
The award decisions are taken by FWF
Board (and the Austrian Federal Ministry
of Science, Research and Economy who
nominally awards these grants) on the basis
of recommendations by the International
START/Wittgenstein Jury, which, in turn,
are made on the basis of international peer
reviews and a hearing to which the most
promising START applicants are invited.
This call is annual one.
START projects are considered as the
best-endowed and most prestigious grants
available to junior researchers in Austria.
Due to high competition, approval rate in
2013 was below 14%, while in 2012 – 22%.
Wittgenstein Award is another source for
basic research funding in Austria. Established
by the Austrian Federal Minister of Science
and Research, it is operated by FWF. It
aimed to provide researchers with maximum
of freedom and flexibility in carrying out
research. But for this award only outstanding
researchers are eligible. It means that they
should have internationally recognized track
record in the relevant field, be employment
at an Austrian research institution and be not
older than 56 at the time of nomination.
The award provides funding for 5 years
with up to €1.5 million per award. Unlike
in other programs, self-nominations are not
permitted. This award is running once a year
and only 1–2 grants could be awarded. Given
those facts, the Wittgenstein Award is the
FWF’s best-endowed and most prestigious
research prize.
Another FWF area for supporting basic
research as well as development of human
resources is doctoral programs. FWF provides
funding for such programs, to enable for
establishing internationally oriented centers
of education, to support highly qualified
junior researchers. These projects are
intended to support concentration in specific
areas at Austrian research institutions and
promote the continuity and impact of the
focus areas.
The FWF doctoral programs are oriented
on research groups in all disciplines, working
at Austrian universities or non-profit, non-
university research institutions. To apply for
the funding in the program framework, a DK
project should cover at least 5 researchers,
but no more than 20 (with the obligatory
30-percent share of women), working as
a research unit with outstanding research
track records by international standards
and cooperating in establishing a formal
arrangement to educate and train doctoral
candidates in a clearly defined medium-term
(and, where possible, also multidisciplinary)
research context. DK projects supported by
FWF should, above all, be established in close
connection with previously funded clusters of
excellence (SFBs or NFNs). An important
requirement is that the university applying for
DK program should provide general resources
(space, laboratories, equipment, etc.) for
high-quality scientific research.
Also, it is worth mentioning that duration
of the program is 12 years, but every 4 years
a project should be evaluated to determine
its success. The volume of financing
varies depending on specific project and
number of employment contracts. Average
volume of funding approved in 2014 was
approximately €2.1 million per DK project
for the first four years.
The next group of programs is designed
to support international mobility. The first
program is Schrödinger Fellowships. Its
objectives are to enable Austrian researchers
to work at leading research facilities abroad,
to acquire international experience in the
postdoc phase, and to facilitate access to
new areas of science, methods, procedures
and techniques so that Schrödinger fellows
can contribute to the development of their
respective fields upon their return to Austria.
The Schrödinger Fellowships’ target
group is outstanding young Austrian scientists
and researchers in disciplines. To be eligible,
they should have finished doctorate studies,
international scientific publications and be
invited by a research entity from abroad.
82
V. Gryga
ISSN 0374-3896 Science and Science of Science, 2015, № 3
Duration of the fellowships is from 10 to
24 months plus possible return phase from 6 to
12 months. So, this program is very similar to
Horizon 2020 Marie Curie outcome fellowship.
The size of grant depends on specific
project and destination. Average volume
of funding approved is about €107.000 per
project. The advantage of the program is
that there is no deadline and proposals are
reviewed on rolling basis.
The Schrödinger Program provides
scholars with an opportunity to gain research
experience at leading research institutions
all over the world. This program has helped
lay the foundation for the research careers
of many Austrian researchers who are
now known as leaders in their fields. Since
2009, it has also been possible to combine a
Schrödinger Fellowship abroad with return
phase in Austria. This program extension
was made possible by the FWF’s successful
application for EU co-funding within the
framework of the Marie Curie Actions
(COFUND). The high approval rate (by
FWF standards) can also be attributed to EU
co-funding. The FWF’s fourth COFUND
agreement went into effect in mid-2013 and
ensured that the FWF would be able to sustain
the program improvements implemented
after its previous successes with COFUND
proposals. In 2013, 60% of all applications
included a request for a return phase, and
approximately two-thirds of the approved
applications involved a return phase.
The second mobility program is Lise
Meitner Program. Its aims are to enhance
quality and scientific know-how in the
Austrian scientific community and provide
support for international cooperation. The
target group is outstanding scientists and
researchers in all disciplines who are capable
of making a contribution to the advancement
in science at an Austrian research institution.
This program looks like Marie Curie incoming
fellowship, with the average size of grants
about €120.000–130.000. That is comparable
with EU funding for such kind of grants.
Meitner researchers came from countries
all over the world. Europe was clearly the most
common region of origin, accounting for some
70% of Meitner positions. The fact that many
researchers came from southern European
countries can be attributed to the crisis and
the resulting research budget cuts in those
countries. Additional Meitner researchers came
from Australia, India, Japan, Canada, Mexico,
Russia, Turkey, the U. S. and Vietnam. All in
all, these statistics provide impressive evidence
for the international orientation of basic
research and Austria’s worldwide attractiveness
as a research location.
Thanks to the attractiveness of this
program and of Austria as a research location,
the number of applications received in this
program has doubled in the last five years.
In 2013, the total of 149 applications were
received (against 123 in 2012), and 37 Meitner
positions were approved (40 in 2012). Based
on the projects approved, it appears that the
drastic increase in applications received from
the countries hit hardest by the economic
crisis subsided in 2013.
The next set of programs is specially
designed for career development of women
in science and research: Hertha Firnberg
Program and the Richter Program. Also, one
of the FWF’s significant contributions to
career development for female scientists is the
annual two-day Firnberg-Richter Workshop.
In addition to providing female scientists and
researchers with an opportunity to network,
this event also serves the purpose of coaching
and human resource development. The
workshop has been an integral and essential
part of the FWF’s career development
programs for women in science ever since
the two programs were implemented. The
feedback on the workshop from Firnberg/
Richter veterans and newcomers alike has
been entirely positive.
Hertha Firnberg Program is aimed
to enhance women‘s opportunities for
academic careers at Austrian research
institutions and provide maximum support
during the postdoc stage at the beginning
of a female scholar‘s academic career or
upon her return from maternity leave. Only
outstanding female university graduates in
all disciplines with international scientific
publications are eligible. The program
provides funding for 36 months, of which
up to 12 months may be spent at a research
institution abroad. The size of grant depends
on specific project. And the average volume
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OPPORTUNITIES FOR FINANCING BASIC RESEARCH IN AUSTRIA
of funding is about €216,000 per Firnberg
project. Another program for females is
Elise Richter Program. It aims to support
outstanding female scientists and researchers
in their pursuit of university career. By the
end of the funding period, a grant recipient
should reach a qualification level which
allows her to apply for a professorship in
Austria or abroad (venia legendi/docendi or
a similar qualification level). Duration of the
project is from 12 to 48 months; average size
of grant is €290,000 per Richter project.
For these two programs there are only
two calls per year (spring and fall).
In addition to research funding,
FWF provides support for publications
in distinguished international journals
whenever such publication is a product from
FWF projects. One requirement is that a
publication should be submitted no later
than 3 years after the end of project.
The next set of programs operated by
FWF deals with specific areas of research.
E. g. Clinical Research (KLIF) Program
aims to support clinical research projects
that are described precisely in terms of
objectives and methods and are subject to
limits in terms of duration and budget. The
results of the projects must not be linked to
direct commercial interests. Projects must
involve patients or healthy subjects and aim
at generating new scientific insights for the
purpose of improving clinical practice or
optimizing methods of diagnosis and therapy.
Decisions issued New approvals Approval rate, %
Funding program 2014 2013 2014 2013 2014 2013
Stand-Alone Projects
(including Clinical Research)
1 138 1 295 300 362 26,4 28,0
Women/men 301/837 339/956 85/215 82/280 28,2/25,7 24,2/29,3
International Programs 553 390 125 68 22,6 17,4
Women/men 117/436 79/311 30/95 I 12/56 25,6/21,8 15,2/18,0
Priority Research Programs
(SFBs, NFNs)1)2)
93 47 84 22 90,3 15,4
Women/men 13/80 12/35 11/73 5/17 84,6/91,3 0,0/20,0
START Program and
Wittgenstein Award
121 117 9 10 7,4 8,5
Women/men 26/95 29/88 3/6 2/8 11,5/6,3 6,9/9,1
FWF Doctoral Programs
(DKs)2)
13 19 11 15 84,6 50,0
Women/men 1/12 5/14 0/111 3/12 0,0/91,7 50,0/50,0
International mobility 309 275 112 94 36,2 34,2
Women/men 130/179 104/171 47/65 32/62 36,2/36,3 30,8/36,3
Career development
for women in science and research
136 123 38 34 27,9 27,6
Program for Arts-Based
Research (PEEK)
50 73 8 8 16,0 11,0
Women/men 23/27 31/42 3/5 3/5 13,0/18,5 9,7/11,9
Science Communication Program 19 23 4 6 21,1 26,1
Women/men 10/9 9/14 2/2 1/5 20,0/22,2 11,1/35,7
Total 2 432 2 386 691 632 28,43) 25,8
Women/men 755/1 677 734/1 633 219/472 177/447 29,0/28,1 24,0/26,8
1) Sub-projects; 2) Extensions only in 2014; 3) The overall approval rate is not comparable to the previous years'
figures due to the suspension of calls in FWF Doctoral Programs (DKs and Special Research Programs (SFBs)).
Source: derived from [3]
Table 1
Austrian Science Fund: programs applications and approvals
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Another program is Program for Arts-
Based Research (PEEK), aiming to support
high-quality, innovative arts-based research
efforts in which artistic practice plays a key
role, to enhance research competence, quality
and international reputation of Austria’s
researchers in art-related fields, and increase
awareness of arts-based research and its
potential applications among a broader public
and in the research and arts communities.
Last but not least, FWF supports
international cooperation thorough its
international programs that include a variety
of funding programs and instruments that
are essentially designed to support bilateral
and multilateral research projects as well
as international networking. For example,
FWF can support bilateral and trilateral
research projects (possibly with specific
thematic focus areas), to support focused
multilateral (European) research cooperation
arrangements (ERA-Net calls) and joint
Seminars to prepare cooperation projects.
Table 1 below provides some latest figures
on numbers of applications and approvals on
line of FWF programs and awards.
Vienna Science and Technology Fund3
Apart from federal funding body,
there exist regional funds for basic and
applied research in Austria. One of
the largest is operating in Vienna. It is
Wiener Wissenschafts-, Forschungs- und
Technologiefonds (WWTF) or the Vienna
Science and Technology Fund. It was set up in
2001, to encourage top-performing research
work in Vienna and make Vienna attractive
for international scientists. Its another
purpose is to emphasize the importance
of basic research to provide an impetus for
developing new technologies and insights
for the City of Vienna. The Fund is generally
open to all fields of science. Through
defined thematic programs it develops calls
and comparable instruments for research
organizations and researchers, to invite them
to submit applications for funding.
Within the scope of options available to it,
WWTF operates as a fund to promote science
3 This part is based on the information provided by the
official web-site of the Vienna Science and Technology
Fund at http://www.wwtf.at/
through employing specific instruments
for further effect. It views itself as a “niche
operator” that strengthens and utilizes
the scientific potential in and for Vienna
through selectively funding major projects. In
choosing thematic programs and in selecting
specific project applications, consideration is
given to the extent to which such projects help
reinforce strengths of and/or significantly
contribute to the sphere of interest of the State
of Vienna and its regional environment.
WWTF has two key instruments: “project
funding” and “endowed chairs”. They are
offered by way of thematic programs. Endowed
chairs are aimed to entice excellent researchers
to Vienna. A key element in the scheme is that it
is directed not just at recruiting and establishing
individuals, but that these will be embedded
in an excellent working environment and
provided with a working group.
Key factors of selection are the scientific
excellence of both the individual to be chosen
and the facility for which such individual will
work (research group / research field). While
the latter is always reviewed in advance by
WWTF, there are two options with regard to
the selection of individuals:
• where the endowed chair involves
the position of the head of a research group,
WWTF will choose the individual through
external expert;
• where the endowment of a chair
involves the direct appointment of a university
professor, WWTF identifies abstract criteria
to be met by such individual.
WWTF may provide funds for a period
from 2 to 5 years. WWTF may assist a selected
individual in his/her personal integration by
taking suitable action. The point of interest
in this program is that an applicant needs not
to apply with a detailed research plan. The
main selection criteria in person-oriented
funding are the scientific excellence of a
candidate and the potential and strategy to
embed a new team into the existing research
environment at a host institution.
WWTF provides funding to major
scientific projects in basic research, which
offer the prospect of economic or social
benefits in the mid-term. Funding is granted
to cover the cost of staff, investments,
networking and management. To be eligible,
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OPPORTUNITIES FOR FINANCING BASIC RESEARCH IN AUSTRIA
projects must have duration between 2 and
4 years. Funding ranges from €200,000 to
about €1,000,0005. Average size of funding
per project was €470,000 in 2008–2012.
For WWTF, excellence is at the centre
of its funding schemes, mirrored in the
excellence and visibility of researchers and
projects, the professionalism of applications
and in the organization and management
performance achieved by applicants.
All applications need to be measured by the
WWTF’s criteria, some of them formal, others
of a qualitative-evaluating nature. Some of the
criteria apply to all tools, others to endowed
chairs only or to project funding. WWTF
provides detailed guidelines/application forms
for each call and each instrument.
Formal criteria reflect the correctness
and fullness of application, while qualitative
one should be considered in more detail.
All applications regardless the call specific
should meet the “visibility” criteria. It
means that the project submitted will suit for
the development of visible dimensions and
achievement of medium-term benefits and
utilization potentials within the sphere of
interest of the State of Vienna.
For the endowed chairs, a potential
candidate should have the working career
mostly abroad for 5 years (the so called
“international recruiting” criterion) and
should be shown to be scientifically excellent
in the field, and younger (in terms of academic
age) top scientists should be preferred.
For the project funding qualitative
criteria are the following:
– “applicants’ excellence”: applicant’s
track record (in terms of academic age), quality
of project and project team management and
of the scientific environment;
– “quality and innovativeness”: research
activities submitted for funding should meet
the highest international quality standards
in their field and be covered by the thematic
programs run by WWTF; positive points
are awarded to collaborative projects, when
applicants can show clear role definitions of
partners, clear project management and an
obvious benefit for Vienna;
– “prospect of benefits and utilization”:
a project aims to achieve medium-term
economic and/or community benefits;
incorporates adequate management and
accompanying measures; includes a concept
of strategies for publication, protection,
exploitation and the prospect of spin-offs.
Thematic distribution of WWTF funds is as
follows: Life Sciences, Applied Mathematics,
Cognitive Sciences, Information and
Communication Technology, and Social
Sciences and Humanities. About 40% of
the funding for 2003–2013 was allocated
to the Life Sciences, and about 20% – to
Mathematics and ICT each.
The three institutions in Vienna
which have received the greatest share of
WWTF funding are: University of Vienna
(€25,500,000), Vienna University of
Technology (€16,800,000), and Medical
University of Vienna (€15,600,000) [5].
Annual budget of WWTF for the last
decade varied from €5,000,000 to almost
Figure 3. Vienna Science and Technology Fund: funding by priority areas
Source: constructed by data from1
4 Official web-site of WWTF: http://www.wwtf.at/about/funding_instruments
5 WWTF Impact Evaluation 2014 – Self-evaluation Report to International Review Panel [Electronic resource]. –
Access mode: http://www.wwtf.at/upload/WWTF_impacteval_SelfevalReport.pdf
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€13,000,000. It should be noted that since
2008, WWTF has got the money not only
from the city budget but also from the private
banking foundation.
WWTF has set up a purely international
peer review process that is living up to highest
international standards. It is a professionally
safe and sound process. The quality assurance
matrix involves both the dimension of time
(ex ante / interim / ex post) and different
organizational levels of WWTF.
Quality assurance typically covers the “life
cycle” of projects and person-oriented funding
cases. Ex ante evaluations within competitive
calls include a rigorous selection process that
focuses on the applications’ quality. This
process is managed by WWTF office and
involves an international jury of renowned
scientists and experts in the respective field,
which give a funding recommendation after an
intensive discussion process based on average
4 international reviews per proposal. This
system shall prioritize quality and exclude
local interests from decision-making process.
The jury consists of 8–12 international
scientists and experts.
Note that WWTF has switched recently
from one-stage to two-stage application process
with an even stronger jury involvement. Interim
quality assurance involves annual reporting on
the progress of a project, financial monitoring
and the reporting of outcomes and outputs such
as publications, new cooperation links, career
steps, industrial outreach and public outreach.
The aim is to maximize the researchers’
flexibility, on the one side, and to get monitoring
data to oversee the project success, on the other
(and also to get data for mid-term and long-
term statistics of WWTF itself). In rare cases of
obvious poor performance and non-compliance
with basic rules, WWTF can apply “escalation
scenario” to successively get deeper insights
in the project performance, to come to a well-
informed decision on the continuation or the
early termination of a project. Ex post evaluation
of WWTF-funded activities, although made on
regular basis, is not obligatory for all the calls.
It involves mechanisms of peer review, to assess
the quality of the project results and provide
informed feedback to the projects in a setting
that is open to the public. In the non-public
part, the invited peers provide more general
feedback to WWTF.
Conclusions
Austria is a very dynamic and active
country in terms of research and innovation
policy improvements that are closely linked
to its economic development. The basic
research is indispensable for maintaining high
innovation performance and competitiveness
of domestic industries. Austria has quite
developed system for R&D funding, which
covers all stages of the innovation process.
The share of public financing is about 40%,
or 0.75% GDP. For basic research, there are
FWF at federal level, and WWTF at regional
one. Both funds have developed a wide range
of comprehensive programs to support basic
research, researchers, and thematic priority
fields. Selection process is based on peer-
reviews, conducted by only experts working
outside Austria. The size of funding project
financed by FWF or WWTF is competitive
and starts from €100 000 per year, and almost
80% of this amount goes to direct personal
expenditures, e. g. wages. Among priority
areas are Life Sciences, although each
science field is formally treated equally by
the above funds, especially by FWF.
Одержано 10.09.2015
В. Грига
Можливості для фінансування
фундаментальних досліджень в Австрії
Стаття присвячена австрійському досвіду функціонування системи фінансування фундамен-
тальних наукових досліджень. Вона ґрунтується на даних щорічної доповіді щодо стану досліджень
і технологій в Австрії, а також річних звітів основних інституцій, що фінансують наукові дослід-
ження. Останні тенденції свідчать, що витрати на дослідження і розробки (ДР) в Австрії зрос-
87ISSN 0374-3896 Наука та наукознавство, 2015, № 3
OPPORTUNITIES FOR FINANCING BASIC RESEARCH IN AUSTRIA
тали швидше, ніж ВВП, а темпи зростання фінансування ДР з боку державного сектору були ще
вище. Державне фінансування ДР розподіляється в Австрії через систему відповідних інституцій.
Окрему увагу в статті приділено фінансуванню фундаментальних досліджень по лінії Австрійсь-
кого наукового фонду, зокрема процесу конкурсного відбору програм. Також проаналізовано роботу
Віденського фонду науки і технологій, який працює на регіональному рівні. Зроблено висновок, що
Австрія успішно реалізовує завдання національної науково-технологічної та інноваційної політики
з метою забезпечення економічного зростання.
Ключові слова: дослідження та розробки, інновації, фундаментальні дослідження, фінансу-
вання, програма, Австрійський науковий фонд, Віденський фонд науки і технологій.
В. Грига
Возможности для финансирования
фундаментальных исследований в Австрии
Статья посвящена австрийскому опыту функционирования системы финансирования фун-
даментальных научных исследований. Она основана на данных ежегодного доклада о состоянии
исследований и технологий в Австрии, а также годовых отчетов основных институтов, финан-
сирующих научные исследования. Последние тенденции свидетельствуют, что расходы на иссле-
дования и разработки (ИР) в Австрии росли быстрее, чем ВВП, а темпы роста финансирования
ИР со стороны государственного сектора были еще выше. Государственное финансирование ИР
распределяется через систему соответствующих институтов. Особое внимание в статье уде-
лено финансированию фундаментальных исследований по линии Австрийского научного фонда, в
особенности процессу отбора программ. Также проанализирована работа Венского фонда науки
и технологий, который работает на региональном уровне. Сделан вывод, что Австрия успешно
реализует задачи научно-технологической и инновационной политики с целью обеспечения эконо-
мического роста.
Ключевые слова: исследования и разработки, инновации, фундаментальные исследования, фи-
нансирование, программа, Австрийский научный фонд, Венский фонд науки и технологий.
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