CERIM - WP3 - COUNTRY REPORTS Annex

Transcription

1 CERIM - WP3 - COUNTRY REPORTS Annex Copyright CERIM

2 This project is implemented through the CENTRAL EUROPE Programme co-financed by the ERDF. Copyright CERIM Country reports Annex Page 2

3 ANNEX: COUNTRY REPORTS The country reports added as an annex were prepared by the CERIM project partners. In case of Germany and Slovakia, there is one report for all regions participating in the project (Baden-Württemberg, Mecklenburg-Vorpommern and Saxony; Bratislava and Žilina, respectively). In the case of Slovenia, the report analyses the data for the whole country. The reports were edited in such terms that they do not include a list of TT-institutions. Such a list is available separately in a combined Excel file. The annex document is structured as follows. Country Region Page Austria Salzburg 4 Germany Baden-Württemberg, Mecklenburg-Vorpommern and Saxony 41 Hungary Central Hungarian Region 60 Italy Lombardia 72 Poland West Pomerania 79 Slovakia Bratislava and Žilina 91 Slovenia 105 Copyright CERIM Country reports Annex Page 3

4 Austria Salzburg REGIONAL REPORT: RTT SITUATION WP3 RTT situation: Salzburg / Austria by ITG Salzburg Copyright CERIM Country reports Annex Page 4

5 This project is implemented through the CENTRAL EUROPE Programme co-financed by the ERDF. DIRECTORY Directory 2 1. National and regional key figures 4 2. Overview of the policy environment National Strategies Strategy Perspectives for research, technology and innovation in Austria Excellence strategy National player Federal Ministry of Finance (BMF) Federal Ministry of Economy, Family and Youth (BMWFJ) Federal Ministry for Transport, Innovation and TechnologY (BMVIT) Austrian council for research technology development Regional strategies The Economic Policy Guidelines of Salzburg Program for strengthening the competitiveness ( ) Program Innovation support by the country of Salzburg Regional player The federal government of Salzburg Council for science and research National / regional RTT situation National RTT situation Austrian business service (aws) The Austrian promotion research agency (FFG) Austrian Science Fund (FWF) Austrian Federal Economic Chamber (WKO) The Federation of Austrian Industries (IV) Regional RTT situation The country Salzburg: Department of economy, tourism and energy Innovations- und Technologietransfer Salzburg GmbH (ITG Salzburg) Innovation Service (IS) Business Creation Center Salzburg GmbH (BCCS) University of Salzburg Techno Z The science agency of Salzburg Salzburg Research Salzburg research and innovation network tourism (SAFIT) Embedded Systems Cluster Salzburg (ESYCS) Legislation and regulation Research and development advancement law (FTFG) Research organisation law (FOG) University law Cultural an social attidtudes Institutional settings uni:invent AplusB-Centres (Academia plus Business) K Centres Austria (by FFG) COMET - Competence Centres for Excellent Technologies Kplus - Competence Centres Program Overview of RTT models 32 Copyright CERIM Country reports Annex Page 5

6 7.1. RTT model of BCCS Requirements Affiliation criteria Admission process RTT model of Uni:invent Protection and realisation of intellectual property at the university Implementing of uni:invent View for the next years Conclusion Continuative Documents Rat für Forschung und Technologieentwicklung Bundesministerin für Verkehr, Innovation und Technologie (BMVIT) The country Salzburg: Department of economy, tourism and energy Annex Table of TT-organizations Copyright CERIM Country reports Annex Page 6

7 1. NATIONAL AND REGIONAL KEY FIGURES The Republic of Austria is a country of roughly 8.3 million people in Central Europe. The majority of the population about 90% speaks German, which is also the country's official language. Austria is a parliamentary representative democracy, comprised of nine federal states. Austria has a nominal per capita GDP of bn Euros in One of the nine federal states is Salzburg with a population of 526 thousand people, which corresponds to 6.35 percent in total. The capital of the federal state of Salzburg is Salzburg. It is the fourth-largest city in Austria, with a population of 150,000 inhabitants. The economic of the federal state of Salzburg achieves a GDP of billon Euros in Correlated with the national GDP it equates 7,1 %. In total there are 253,139 Students at 16 big public Universities, 6 Universities for art and 10 private Universities in Austria. Beside the universities, there are 18 Universities of applied sciences in Austria. Thereof 15,636 students (6.16% of total registered students) are registered in the federal state of Salzburg at Paris-Lodron-University of Salzburg (Public University), Universität Mozarteum Salzburg (University of art), Paracelsus Medizinische Privatuniversität PMU (Private University), Wirtschaftsuniversität Seekirchen (Private University) and at FH Salzburg Fachhochschulgesellschaft mbh (University of applied sciences). Focusing on the public and private education system the highest education levels of the Austrian population 1 are represented by the following table: Primary & secondary (ISCED 1 & 2) 27.1% Secondary education (ISCED 3) 35.8 % Post secondary (ISCED 4) 26.9 % Tertiary Education (ISCED 5-6) 10.2 % The developments of the educational level of the Austrian population show a general increase between 1971 and While in 1971, 62% of the Austrian residential population, at the age of 15 years and older, had secondary school as their highest education level, it changed to 27.1% in The Population age beginning with 15 years. Copyright CERIM Country reports Annex Page 7

8 2. OVERVIEW OVER THE POLICY ENVIRONMENT The government of the federal state of Salzburg and of the Republic of Austria are formed through a Majority system. The main political landscape is established by five political parties. These are the Social Democrats (SPÖ), the People's Party (ÖVP), the Freedom Party (FPÖ), the Greens (Grüne) and the Alliance for the Future of Austria (BZÖ). In Austria, beside the Federal President, the Federal Government is one of the uppermost organs of the federal management. Its members are the Federal Chancellor, the vice chancellor and the Federal Ministers. The members of the Federal Government are called in Austria Federal Minister including the Federal Chancellor. The ministries are the interface between political management and a political thought management. In daily business of economy and technology, the main actors at the political environment are the Federal Ministry of Finance (BMF), Federal Ministry of Economy, Family and Youth (BMWA), Federal Ministry for Transport, Innovation and Technology (BMVIT) and the Austrian Federal Ministry for Education, Arts and Culture (BMUKK). Furthermore, there is the Austrian Science Council in an advisory function for the national government. In Austria s policy environment, the Austrian Social Partnership plays an important role. They form an interest union that explains a particularly well developed system of corporation between the major economic interest groups and between them and the government 2.1. National Strategies Strategy Perspectives for research, technology and innovation in Austria 2 This position paper of the council shows an advancement of the National research and innovation plan" (NaFIP) published in December 2002 and contains guidelines for the domestic research, technology and innovation politics at a time horizon in 2010 and in addition Exellence strategy 3 The aim of the Excellency strategy is to lift the quality and attraction of the research and technology location Austria and to improve its international competitiveness. The present strategy document is to be considered as a landmark, providing an overview about all present activities and it s strategic measures. These should serve as a basis to increase the quality of the Austrian innovation system and to achieve more research subjects, research projects and research teams in worldwide top positions. In these regards the recommendations of the Austrian Science Council have impulses on the research- and innovation-political actors in order to formulate measures within the scope of Excellence strategy Vgl. Copyright CERIM Country reports Annex Page 8

9 2.2. NATIONAL PLAYER The following graphic should illustrate the political and institutional situation and their participation in the national innovation environment and aid programmes. Because some of the institutions and programmes were renamed since the graphic was created, the following changes shall be noted: The Federal Ministry of Education, Science and culture (BMBWK) is now Federal Ministry for Education, Arts and Culture (BMUKK). The programmes K-ind/Knet were replaced by the new competence centres programme COMET Federal Ministry of Finance (BMF) The Federal Ministry of Finance and their laws create the basis and determine the criteria for the tax acceptance of sponsored research and development expenditures. On this basis, companies can activate expenditures and therefore achieve sustainable tax effect. 4 4 Vgl. 4 Abs. 4 Z 4a bzw. 108c Abs. 2 Z 1 EStG 1988 Copyright CERIM Country reports Annex Page 9

10 Federal Ministry of Economy, Family and Youth (BMWFJ)5 Economic policy aims at the sustainable improvement of the citizens' quality of life by securing employment, income growth and fair income distribution with due consideration of adequate social and environmental standards. The Federal Ministry of Economics and Labour primarily deals with questions of structural policy and searches for long-term solutions. Centre 1 develops strategic approaches, coordinates its conceptions of economic policy with those of other organisational units in the Ministry also undertakes the implementation in partial areas. The current emphasis is on location policy, employment policy and competition policy for Austria as well as in the European context. Location policy formulates positions and measures for the sustained enhancement of Austria's international competitive strength. Its results closely connected with employment policy, which also receives many impulses from overall European employment strategy. Competition policy creates the market framework for the other policies Federal Ministry for Transport, Innovation and TechnologY (BMVIT)6 Research, development and technological innovation provide the basis for economic growth, competitiveness, employment and, ultimately, the prosperity of a country and its citizens. The Federal Ministry for Transport, Innovation and Technology (BMVIT) promotes research at all levels, from basic research to the industrial application of research results. The Role of the Federal Ministry for Transport, Innovation and Technology in the Austrian Innovation System (BMVIT) Research, development and technological innovation provide the basis for economic growth, competitiveness, employment and, ultimately, the prosperity of a country and its citizens. The Federal Ministry for Transport, Innovation and Technology (BMVIT) promotes research at all levels, from basic research to the industrial application of research results. The BMVIT manages the largest share of the public budget earmarked for applied research. It owns 50 percent of the Austrian Research Promotion Agency (FFG), the body through which the Ministry channels the major part of its application-oriented research funding, and holds the majority of the Austrian Research Centres (ARC). Moreover, the BMVIT is responsible for the Austrian Science Fund (FWF), Austria s central body for the promotion of basic research. Besides efficient research promotion, a forward-looking approach of the most important components of the innovation system is essential: among the people engaged in research, and within the structures and funding systems, which make European and national research possible. The main activities of the BMVIT in the field of research co-operation between industry and the scientific community orientation towards key technologies building on the strength of Austrian research support to business start-ups in the high-technology sector providing an attractive location for international research centres. 5 Vgl. 6 Vgl. Copyright CERIM Country reports Annex Page 10

11 Technology policy, as understood by the BMVIT, also contributes to the solution of social and economic challenges. Sustainable Development Only an economy based on the principles of sustainability will be able to secure the prosperity and quality of life in long run. This, however, requires a radically reduced consumption of resources, which, in turn, can be achieved only by a fundamental change in the way of life and the economy. In addition to an appropriate political framework and increased awareness in consumer behaviour the economy itself will be an important factor in sustainable development. The Austrian Programme on Technologies for Sustainable Development aims at supporting the economy with future-oriented innovations and developments. It is a well-known fact that an orientation towards sustainability not only contributes to a relief of the environment, it also opens up completely new opportunities for the economy. For, saving on energy and raw materials also means developing considerably smarter and more efficient solutions and products to meet the needs Austrian council for research technology development The major task of the council for research and technology development lies in the systematic, independent and substantiated consultation of the Austrian Federal Government in all questions of the research politics, technology politics and innovation politics. The aim of his work is to make a decisive contribution to a future-oriented FTI politics. Besides, the council gets on as central network point of the technology and research scenery, as a co-ordinator and amplifier of the varied activities, as a connector between the actors, as a filter and above all as an accent compositor. It compiles in addition in the narrow dialogue with the decisive actors of the FTI politics recommendations for a medium-term and long-term adjustment in this politically field and announce statements for investment decisions with public budget. The council for research and technology development presecute the aim to create a worldwide competitive innovation sphere in Austria. This contains the demand for an increase of the research and development rate on 3% of the GDP till 2010 and a qualitative improvement of the research and development politic by concentration on cluster education between science and economy REGIONAL STRATEGIES The economic mission statement of Salzburg 7 The economic policy guidelines were enacted in November 2003 by the Salzburg government. The federal state government reacted to the changed financially conditions since the creation of the first economic mission statement in The economic policy guidelines constitute an important document for a futureorientedeconomic policy of the country. Thereby it should strengthen the Salzburg economy, through providing measures and strategies for important economic issues and by leading the way for future developments. As an economic mission statement it motivates to common actions, while it contributes to the fact that single interest teams and 7 Vgl. Copyright CERIM Country reports Annex Page 11

12 affected persons identify higher sighting and strategies. Besides, it serves the grounds and explanation for economic and labour market political actions and decisions. Based on total 18 strategies and numerous measures in the areas of Innovation and economy-related research, work and education, innovation environment and basic infrastructural conditions, advanced regional strategies are applied. 8 The purpose of the economic policy guidelines is to site the country of Salzburg as a country with the highest standard of living, the highest quality of life and sustainable workplaces in Europe. To reach a well-balanced development of the economy the implementation of the following economic guidelines is necessary: Strengthening the innovation force of the Salzburg economy by specific advancement of the regional innovation system. Strengthening the economic power of Salzburg by development of attractive technology segments ( Strengthening of several pivot legs ). Strengthening of the attraction of the industrial location Salzburg by the construction and removal of a modern infrastructure, in particular from efficient transport and communication devices. Creation and support of educational and qualification institutions at highest education level. Strengthening the economic power by hedging and advancement of Salzburg as an attractive tourism destination. Strengthening the economic power in structural-weaker regional areas to reach a regional wellbalanced standard of living of the Salzburg population. Strengthening the environmental orientation of economic policy and management for the protection of high recreational assets of all regions in Salzburg linked with a high quality of life. Raising awareness that in an attractive region like Salzburg key projects of international format have chances if the high level of development should be held and be improved further. Special relevance relies in the fact that the cooperation between the actors of the regional economic policy in the country, the interest organisations, the city of Salzburg and between the municipalities as well as the EU-Regio at the Austrian and Bavarian border is supported in regional economy-related fields. The support of a positive economic disposition in the different social groupings of the population is essential Program for strengthening the competitiveness ( ) 9 Central objective of the programme is to strengthen the industrial location by rising the competitiveness and encouraging economy oriented knowledge and innovation. The programme orientates itself in programmes on European level (Lisbon and Gothenburg aims), national level (Strategically state frame plan - STRAT.AT) as well as on the economic objectives of the country of Salzburg (economic policy guidelines). The implementation of the programme consists of various measures on two axis: - Axis 1 objectives are split up in two action fields: Strengthening economy oriented knowledge and innovation. 8 Vgl. 9 Vgl. Stärkung der Wettbewerbsfähigkeit der Region Salzburg: Operationelles Programm (2070), Copyright CERIM Country reports Annex Page 12

13 -Axis 2 objectives seek to activate the innovative potential especially in the southern regions to increase a more innovation-orientated development in the economy. Regarding to the content of measures in Axis 1 RTT the following two issues shall be further considered: Innovation assistance and innovation- and technology transfer coaching: The objective is to support SME by identifying their innovation potentials and to further support them in the preparation of innovation and technology transfer projects. There are demanded SME with which interest and potential is given in innovation projects, which cannot raise, nevertheless, the necessary know-how in the company on grounds of the size and/or structure of the company or the innovation project. 10 Networks and Cooperation s of enterprises The development of networks and cooperation s is a specific issue of this programme and shall contribute to overcome the small and medium structure of the Salzburg economy. The competition ability of the companies should be strengthened by exchange of know-how in product innovation, process innovation or service innovation and by supporting the interfaces between official offered services (e.g. research establishments, advanced technical colleges, universities) Program Innovation support by the country of Salzburg12 As a part of the program on innovation support of the country of Salzburg, investment subsidies, research and development cooperation s between science and economy as well as single-company research and development projects shall be facilitated. The basic prerequisite is a positive commitment for funding of the Research Promotion Agency or the innovation and technology fund. On this basis, a financial support of up to 10% of the project costs can be amounted REGIONAL PLAYER The federal government of Salzburg On the regional level, the Salzburg Landtag is the forum of the parliamentary democracy and therefore the legislative corporate body of the federal state of Salzburg. The government is the uppermost leading executive organ of the country. Thereby the department of economy, tourism and energy is the regional contact point for all interests of the economic development and economic policy in regional development and EU regional policy Council for science and research 13 The council for science and research was implemented to support the Salzburg government (science and economic department) as well as the postregular agencies and institutions in questions of the science politics, research politics and technology politics and to work out recommendations for main future settlements. 10 Vgl. /innovationsassistenz.htm 11 Vgl. RWF Salzburg : Stärkung der regionalen Wettbewerbsfährigkeit Programm Maßnahmen, 12 Vgl Vgl. Copyright CERIM Country reports Annex Page 13

14 For this purpose, the WFR is staffed with international famous experts from different areas of the Austrian science and economy scene. The elaboration of recommendations of the WFR follows in vote with the sighting and interests of the country Salzburg. Hence, the WFR consults in questions of the science, research and technology together with experts of the country Salzburg who attend at the council meetings. Copyright CERIM Country reports Annex Page 14

15 3. NATIONAL / REGIONAL RTT SITUATION 3.1. National RTT siutuation Austrian business service (aws) 14 As promotional bank of the federal government, the Austria business service is the settlement centre for the company-related economic development. The focus is to create a solution for a sustainable growth by appliance of intelligent support system. The aws as a special bank is 100% in the possession of the Republic of Austria. The Federal Ministry for Economy, family and youth and the Federal Ministry of transport, innovation and technology operate as an owner's sales representative. Therefore, the aws render their portfolio on behalf of public order. Clients are beside the owners numerous Federal Ministries, countries, public offices and interest representative offices. With them and other partners, the aws work closely together to protect the interests of the location Austrian industry. With her scopes of business, the aws covers the activities of their most important target groups. Therefore, the issue of a One-Stop-Shop is fulfilled because the aws offers supports in the full range of encouragements. The aws offers a broad range of company-specific investment promotion programs and services. Aws offers financial assistance and consultancy for companies, from the pre seed phase up to the expansion stage. The range of assistance reaches for Austrian companies from financial assistance in form of loans guarantees, grants and/or equity as well as consultancy services in three core business segments. These are Start up, Innovation & Technology Development and also Business growth & Regional development. The aws works in close cooperation with international financial institutions and European partner organization. Furthermore, the aws is a member of different networks. The aws takes its main focus in specific technology areas: for example, in the patent realisation with the financing of patent applications and the specific realisation by licensing. Another focus lies in the financing of high technology start up's and the linking up support of the lasting growth of high-tech company by intelligent supports. 15 Life Science Austria (LISA) 16 Life Sciences (i.e. Application of scientific knowledge of modern biotechnology and genetic technology as well as innovative medicine technology with straight free-enterprise orientation) count to the most innovative fields of investigation with approved big economic potential. Objective of LISA is to contribute that Life Sciences companies develop successfully in Austria and with the chance to raise the international competition. Responsible body of the programme LISA is the Federal Ministry of Economy, Family and Youth. Life Science Austria (LISA) developed a long-standing know-how in this area and offers consulting services especially for start-ups in this potential field. Furthermore, it provides the following services: 14 Vgl Vgl Vgl. Copyright CERIM Country reports Annex Page 15

16 Support by cerating business plans Market search and analysis Mediation of cooperation partners and financiers Economic education and continuing education for physical scientists, technicians, doctors who are active in the area of Life Science. Nanotechnology 17 The initiative NANO network is an important module of the Austrian wide NANO initiative. The NANO initiative aims as a national research and technology development program the creation of surpluses and of a bundling of the resources between science and company. High-priority objectives are: Creating a regional network by integrating regional actors, in the area of research and education (education and continuing education), who are equipped with adequate human resources. Support in the creation of network partners in neighbouring countries (e.g.: Switzerland or Germany and in East Europe) in the field of NANO The Austrian promotion research agency (FFG) 18 The Austrian Research Promotion Agency (FFG) is the national funding agency for industrial research and development in Austria. As a "one-stop shop" offering a diversified and targeted programs portfolio, the FFG gives Austrian businesses and research facilities quick and uncomplicated access to research funding. The FFG is wholly owned by the Republic of Austria, represented by the Federal Ministry for Transport, Innovation and Technology (bmvit) and the Federal Ministry of Economics and Labour (BMWA). As a provider of funding services, however, the FFG also works for other national and international institutions. It offers a comprehensive range of services for Austrian enterprises, research institutions and researchers from the management of public funding programmes to consulting services in all phases of technology development and innovation, from support for integration into European research programmes and networks to the promotion of Austrians interests at the European and the international level. The FFG takes a broad view of its statutory task of "promoting research, technology, development and innovation for the benefit of Austria". In addition to funding programmes, their portfolio also includes a wide range of other services, such as consulting and information services, establishing contact with possible partners, technology transfer activities and networking with the European and international research community. Objectives and Mission All FFG activities aim to strengthen Austria as a research and innovation centre on the global market and thus help to ensure the long-term availability of high quality jobs and maintain the prosperity of one of the worlds wealthiest countries. 17 Vgl Vgl. Copyright CERIM Country reports Annex Page 16

17 These goals reflect the statutory purpose of the FFG: "The purpose of the FFG is to promote research, technology, development and innovation for the benefit of Austria." (Sec. 3 of the FFG Act) The tasks of the FFG are stipulated follows: To manage and finance research projects in the business and science sectors, impulse programmes for the economy and research facilities, and networks fostering cooperation between science and industry. To manage cooperative programmes and projects with the EU and other European and international partners. To represent Austrian's interests at relevant European and international institutions on behalf of the Austrian government. To provide consultation and support to intensify Austrian's involvement in European programmes, especially in the EU Framework Programme for Research, Technology and Innovation and the Framework Programme for Competitiveness and Innovation. To provide support and strategy development services for decision-makers in the Austrian innovation system. To improve public awareness of the importance of R&D. For the conversion of her aims, the following portfolio offers the FFG following support programmes. General Programmes Application-oriented research promotion forms the basis of direct State funding for research and technology in Austria. The FFG General Programmes provide funding for commercially viable research projects carried out by companies, research institutes and individual researchers or inventors. Our goal is to support innovative ideas and research initiatives and to help transform them into tangible, successful projects. Structural Programmes The optimal cooperation between companies, universities, research institutes and transfer organisations is the key to a successful innovation system, and thus to a competitive economy. The FFG Structural Programmes support this networking. They help to overcome structural shortages and weak points and to continuously adapt proven structures to new challenges. Thematic Programmes The Thematic Programmes focus on pushing key national topics. The goal is to increase the number of research projects dealing with topics of particular strategic importance for business and technology development, in order to achieve a critical mass in these fields. EU Preparatory Funding The Austrian Research Promotion Agency FFG is the Austrian competence and service centre for participating in international research and development activities. FFG is the National Contact Point for the 7th Framework Programme of the European Community for research, technological development and demonstration activities (FP7). Austrian Space Applications Programme Space technologies are a worldwide market with dynamic growth. Therefore they are very interesting and important for Austria. To support Austrian science and industry to increase their importance in this market, Copyright CERIM Country reports Annex Page 17

18 the Austrian Space Applications Programme was initiated, based on a recommendation of the Austrian Council for Research and Technology Development Austrian Science Fund (FWF) 19 The Austrian Science Fund (FWF) is Austria's central funding organization for basic research. The purpose is to support the ongoing development of Austrian science and basic research at a high international level. In this way, the FWF makes a significant contribution to cultural development, to the advancement of their knowledge-based society, and thus to the creation of value and wealth in Austria. Their objectives To strengthen Austria's international performance and capabilities in science and research as well as the country's attractiveness as a location for high-level scientific activities, primarily by funding top-quality research projects for individuals and teams and by enhancing the competitiveness of Austria's innovation system and its research facilities; To develop Austria's human resources for science and research in both qualitative and quantitative terms based on the principle of research-driven education; To emphasize and enhance the interactive effects of science and research with all other areas of culture, the economy and society, and in particular to increase the acceptance of science and research through concerted public relations activities. Their values Excellence and competition: The FWF's funding activities focus on research efforts devoted to generating new knowledge; the quality of research is assessed by international referees on a competitive basis. Independence: Creativity in basic research requires freedom. Thanks to its legally independent status, the FWF is able to ensure this freedom and to safeguard science and research from the direct influence of special interest groups. International orientation: The FWF is guided by the standards of the international scientific community and actively supports cooperation across national borders. Equal treatment of all disciplines: The FWF treats all researchers according to the same standards, without giving preference to or discriminating against individual disciplines. Transparency and fairness: The FWF makes every effort to avoid conflicts of interest, to implement checks and balances in all stages of its procedures, and to communicate its methods and decision-making process clearly in order to ensure acceptance of its activities. Gender mainstreaming: The equal treatment of women and men in research is a top priority at the FWF, and their organization pursues this objective through specific programs and gender mainstreaming in all fields. Equal opportunities: The FWF evaluates grant applications without regard to the applicant's position or academic degree. Ethical standards: The FWF is dedicated to ensuring that the rules of sound scientific practice and internationally accepted ethical standards are observed within the fund's sphere of influence. 19 Vgl. Copyright CERIM Country reports Annex Page 18

19 Austrian Federal Economic Chamber (WKO) 20 Based on the Economic Chamber Act the Austrian Federal Economic Chamber is a democratic, selfgoverning body, funded by its members. This guiding principle ensures the best possible representation, coordination and balance of sector and size-related interests. Since the entire Austrian business community speaks with one voice through the Austrian Federal Economic Chamber, the latter is the perfect intermediary to represent Austrian business and industry. The Austrian Federal Economic Chamber is financially self-supporting with around 85% of expenditure covered by member contributions and a further 15% by revenues from marketable sales. This factor, combined with organisational management through democratic self-government, makes it fully independent from public authorities. The Austrian Federal Economic Chamber coordinates and represents the interests of the Austrian business community at a national and international level. Within the Austrian Federal Economic Chamber's system it functions as the national umbrella organisation for the 9 regional Chambers (one in each of Austria's federal regions) and 110 trade associations for different industries. Regional Chambers and associations have local offices to provide services in close proximity to members. Main tasks and activities Representation of membership interests at all levels of government as well as at the European level vis-à-vis European institutions and organisations. By law, national governments are obliged to consult with Chambers on legislative projects and important regulations. In many laws provision is made to involve Chambers in decision-making and administrative procedures. At the European level, the Austrian Federal Economic Chamber is a member of Eurochambres, UEAPME and Eurocommerce as well as numerous sectoral European organisations. Information and advisory service to members typical issues include taxation, labour law, vocational training, industry-specific legislation, industry-wide advertising and market research. Collective bargaining with unions Trade associations engage in negotiations with their respective sectoral countrywide union. Economic Promotion and Development as well as training and consulting are mainly organised by a specialised department in each region (WIFI, Wirtschaftsförderungsinstitut). Austrian Trade - Business Support and Promotion of International Trade is provided by a specialised department at a national level (AWO, AUSSENWIRTSCHAFT ÖSTERREICH), 70 Trade Commissions around the world and a network of specialised experts within all regional Chambers. Mission statement The Austrian Federal Economic Chamber advocates the social market economy, the deepening and enlargement of the EU, international free trade, subsidiarity and self-government, a dynamic conception of competitiveness, a new dimension of social partnership and social responsibility. 20 Vgl. Copyright CERIM Country reports Annex Page 19

20 The Austrian Federal Economic Chamber acts as a representative of the interests of business in a pluralistic society. It plays a major role in securing a life of freedom and prosperity in a pleasant environment for the citizens of the country The Federation of Austrian Industries (IV) 21 The Federation of Austrian Industries (IV) is a voluntary body representing the interests of Austrian industry, currently comprising about 3,500 members. It is their central goal to represent the interests of the members both in Austria and at the European level in a targeted and sustainable manner. The organisational structure of the IV is based on office-holders serving on a voluntary basis as well as staff in paid employment. Nine independent Regional Groups, the Federal organisation and the Brussels office of IV provide a broad range of services for the members of the organisation REGIONAL RTT SIUTUATION The country Salzburg: Department of economy, tourism and energy 22 As a platform for information and consultation in economic, tourism and energy related issues, the department supports regional economy by implementing funding instruments and support measures. With the long-term planning of the economic policy in Salzburg and the development of principle programmes, the department of economy, tourism and energy innovates strategies to for the future to strengthen the local economy Innovations- und Technologietransfer Salzburg GmbH (ITG) 23 The Innovation & Technology Transfer Salzburg (ITG Salzburg) is a non-profit oriented organisation acting as an intermediary between companies, academic or non-academic research institutions and the economy, as well as governmental institutions. ITG Salzburg focuses on stimulating commercial and research activities with an emphasis on supporting cooperation and coordinating the technology- & innovation-related policies of the Salzburg government. In order to fulfil this assignment ITG Salzburg implements activities for: Strengthening cooperation between enterprises and research institutions Stimulating knowledge, innovation and technology transfer on a regional, national and international level The creation and further development of networks and clusters Improving the access to and exploitation of research results ITG Salzburg aims to achieve these objectives with a strategic management of R&D and innovation related activities and by managing and realising projects and support activities in the fields of knowledge, innovation and technology transfer. 21 Vgl Vgl Vgl. Copyright CERIM Country reports Annex Page 20

21 Innovations Service (IS) 24 The Innovationsservice Salzburg was established in 2001 by the Regional Government of Salzburg and the Salzburg Chamber of Commerce to act as an intermediary between local enterprises and funding organisations at a national and regional level. The Innovationsservice Salzburg is also a gateway to the services of the EU Enterprise Europe Network for international technology transfer, competitiveness and innovation. Advising on the plethora of technology and innovation related funding programmes at regional and national level in addition to EU funding and support actions. The Innovationsservice was formed as a one stop shop to consult on technology and innovation topics, to improve the transparency of related support programmes and services and to ensure that the individual innovation & RTD support mechanisms are properly accessed. Companies and research institutions located in the city or region of Salzburg receive guidance and information from a single advisory organisation pertaining to technology & innovation funding, experts, sources of know how, technology cooperation, risk capital, patents and technology oriented business start-ups. The key areas of activity are Information relating to innovation & RTD funding Patent strategy and IPR, strategic planning of product development and innovation Research, development and Fördercoarching for companies in Salzburg Technology transfer, contact to research institutions Information on new technical development and production processes Participation in cross-branch activities and regional network initiatives Lobbying on national technology initiatives International technology transfer Business Creation Center Salzburg (BCCS) 25 The BCCS is part of the AplusB 26 program. The business Creation centre Salzburg (BCCS) has the assignment, to use available innovation potential for academic formation of a company (Spin-offs) in Salzburg and to stimulate and support therefore the number and quality of successful setting up plans. People with academic education and scientific staff from all disciplines with persuasive and innovative business ideas are a target group of the BCCS. For a period of one and a half year offers the BCCS a start platform with rooms and infrastructure, professional consultation and coaching, support and workshops by experts, continuing education programmes, professional seminars, monetary support and financial consultation up to successful setting up of the company. BCCS support services in detail: Education module (Marketing, calculation, financing, law, organisation, sales, property rights,..) Developing of a business idea by application of a business plan Protection by laws (patent, trademarks, design,..) 24 Vgl Vgl For turther information about the program see Institutional setting Copyright CERIM Country reports Annex Page 21

22 Market verification (market analyses, market potential, further supports e.g. by diploma thesis) Verification of competitors Product development, prototyping Juridical and business consultation Financial consultation (bank loans, Business Angel, VC,..) building up of business (Logo and CD creation) and business (re)presentation Business and scientific company attendance University of Salzburg 27 The university of Salzburg, is project partner of the uni:invent programme. It is the aim of the program to tap the patenting sound licensing potential at Austrian universities as well as in the non-university area optimally and to apply them to a efficient economic use. With it the chance presents for the universities for a systematic economic use of the intellectual property rights. Therefore, the university research will win steadily in meaning. To do justice in the best way to this new challenge, it was necessary to build up a corresponding professional patent and realisation infrastructure, which should guarantee an optimum realisation or an optimum transfer and which can also exist internationally. Essential element from uni:invent is the implementing and financing of innovation scouts. They are available for the universities in questions of the protection of the intellectual property in an advisory capacity aside, the patent financing, the support with the marketing and realisation as well as the support of the development of prototypes Techno Z 28 The Techno-Z idea concerns around a network of seven technology centres and business incubators that offers perfect basic conditions for the resident companies. The advantages lie in the grouping of the regional potentials, in the adjustment on thematic main focuses, in the construction of technical competence nets and in the organisation of group projects. The core competences in settlement of innovation oriented companies and in the practically oriented conversion of technology transfer are good conditions for a regional network to support innovation, synergy and cooperation. Thereby the Techno-Z is a decorating partner for the development of technology-oriented concepts and a necessary stone of a comprehensive regional development The science agency of Salzburg 29 The science agency of Salzburg is an association for the support of the regional knowledge transfer and is embedded as a research establishment and service equipment since beginning of the 1990s in the university scenery of Salzburg. Its fields of activity contain the mediation, exploitation of knowledge as well as the investigation of new subjects and questions. Thereby the science agency aims on interlinking, science, economy and companies. 27 Vgl Vgl Vgl. Copyright CERIM Country reports Annex Page 22

23 The main topics for activities are: Regional research and regional development Demography and demographic changes Opinion research and survey research Competence management (competence map Salzburg) Mediation of practically oriented dissertations and dissertations The essential aim of the science agency is to stimulate an information process, which should contribute to the university location of Salzburg and to promote the local and regional development Salzburg Research 30 Salzburg Research Forschungsgesellschaft is the non-profit research organisation of the State of Salzburg. It is located within the grounds of Salzburg Techno-Z, one of Europe's largest information technology parks. Salzburg Research conducts applied research in the areas of information and communication technologies with a focus on creating and managing digital content. Salzburg Research offers a combination of strategic and practical solutions in technology and social development. Their mix of lead international projects, national competence centres, Pan European pilot studies and local consulting contracts, provides a dynamic flow of innovation and knowledge between our regional, national and international clients and partners. Their clients and partners include private companies, national and international technology leaders and public bodies such as governments, public administration, libraries and other educational and social institutions. Salzburg Research offers partners a broad range of scientific competencies. Its approach to information and communication technologies (ICTs), the Internet, and multimedia represents a combination of applied research and development activities, as well socio-economic strategic and market research competencies, together with target-group specific training and communication measures. The research activities are focussed on the application areas Digital Media, eculture, etourism, and EduMedia. Salzburg Research maintains an obligation to serve industry, its partner companies, and society at large. Partners and thus beneficiaries of research conducted by Salzburg Research are: Industry Small, medium-sized and multinational companies in industry and in the service sector all profit from contract research, networking, and technology transfer. Salzburg Research develops technical and organisational solutions, which can be implemented in practice, and promotes applications for new technologies. Salzburg Research is a vital supplier of innovative knowledge to small and medium-sized companies who do not maintain their own in-house R&D departments. Government and society Strategic research projects are carried out under contract to national and regional government. They serve to promote the implementation of cutting-edge technology and innovations in fields of information and communication technologies, internet and new media. Furthermore, Salzburg Research participates in technology programmes supported by the European Union. 30 Vgl. Copyright CERIM Country reports Annex Page 23

24 Salzburg research and innovation network tourism (SAFIT) 31 SAFIT is a network of the Salzburg research establishment and educational institutions in the subject of tourism. The general aim of the network is the removal and advancement of the research competence in Salzburg in the field of Tourism as well as the utilisation of this competence for the Salzburg economy. SAFIT is supported by the government and by the EFRE program. Objectives The aims of the present project are at two levels: 1) Removal and advancement of the research competence in Salzburg in the area etourism, in particular by Constitution and establishment of a centre for economic tourism and leisure research. The research centre is settled since autumn 2005 in the Akademie Schloss Urstein Privatstiftung". Widening the application field of IKT to the area of Tourism embedded in Salzburg Research Development of a lastingness interdisciplinary tourism research (particularly in the application fields of Culture, Ecology and Transport) at the Paris-Lodron-University Salzburg. 2) Utilisation of this research competence for the economy, in particular by Partner Education and continuing education Knowledge transfer (speeches, seminars, publications, workshops) Establishment of a central information portal on the Internet Consciousness-pedagogic measures Salzburg Research ARGE Tourismusforschung 32 o o o o o University of applied sciences Salzburg (Information and management in tourism) Academy Schloss Urstein Privatstiftung Society of tourism institutions Salzburg Section for tourism of the economic camber of Salzburg Paris Lodron University Salzburg Embedded Systems Cluster Salzburg (ESYCS) 33 The cluster for embedded systems Salzburg has the aim new generated or thitherto insufficient used knowledge to support for economic use. ESYCS has built up in research cooperation with the university of applied sciences of Salzburg and the University of Salzburg following competences: Distributed Embedded System Software engineering for real-time systems Comparative assessment of real time-os Tele-Haptics, building automation 31 Vgl Vgl Vgl. Copyright CERIM Country reports Annex Page 24

25 LocationBasedServices For the treatment of specialist subjects, authoritative laboratories are constructed for haptics, real time and software engineering. There student projects and dissertations can be carried out in narrow cooperation with the Salzburg economy. Own education module provides assure that the acquired knowledge about the involved institutions can be spread e.g. by courses, trainings or by studies. ESYCS is subsidy by the country Salzburg (department 15) and the European Union (European Regional Development Fund). Copyright CERIM Country reports Annex Page 25

26 4. LEGISLATION AND REGULATION In Austria are three relevant statutes for the RTT. The first is the Forschungs- und Technologieförderungsgesetz (Research and development advancement law), the second is the Forschungsorganisationsgesetz (Research organisation law) and the third is the law for universities with reference to patent law as well as the copyright law. The following description will give a short overview over the main content of the three laws: 4.1. RESEARCH AND DEVELOPMENT ADVANCEMENT LAW (FTFG) The object of this federal law is the support of the scientific research as well as the support of the economic-technical research by support programmes and complementary measures. 34 For the purpose of the support of the research which serves the knowledge profit and the enlargement as well as deepening the scientific knowledge in Austria, the setting up and preservation of a "fund is regulated in it for the support of the scientific research" ("science fund"). 35 Under consideration of the purposes and principles of the Whole-Austrian research and technology politics, the science fund incumbent the support of the scientific research projects as well as the appropriate administration of the financial resources. 36 The supportable projects could be in the field of: Propositions of economic-technical researches and technology developments; 2. Plans in the area of the basic research or education measures in supplementation to the economic-technical researches and technology developments; 3. Technical feasibility studies; 4. Economic-technical propositions in the area of the national and international R&D cooperation; 5. Technology transfer; 6. Foundation of technology-oriented enterprises (Spin off's). Based on a supportable project the science fund has to ensure that the results of the promoted research projects have to be communicated and utilised RESEARCH ORGANISATION LAW (FOG) One of the guiding principles of the research organisation law is the regulation of the cooperation between universities and universal external research as well as the provision of adequacy of resources for science 34 Vgl. Forschungs- und Technologieförderungsgesetz 1, Vgl. Forschungs- und Technologieförderungsgesetz 2, Vgl. Forschungs- und Technologieförderungsgesetz 4 Abs.a, b; 4a Abs.a 37 Vgl. Forschungs- und Technologieförderungsgesetz Vgl. Forschungs- und Technologieförderungsgesetz 18 Abs 2 Copyright CERIM Country reports Annex Page 26

27 and research. Besides, he quick spreading and realisation of the results of science and research is one of the implemented aims. 39 The lasted supports can be received in form from subsidies or preferred advances. Principle is that no immediate rights (monetary-worth quid pro quo) originate from claim of a support by the alliance. A support commitment is bound, like the criteria FTFG ( 4a FTFG), to an observance of the aims and principles of the Austrian research and technology politics, in particular the research strategies of the Republic of Austria UNIVERSITY LAW 2002 The university law 2002 formulates in article paragraph d, from the , that the university has to make her contribution to the development of the company. The aspect will taken into account by knowledge and technology transfer. 41 The aspect of the realisation of intellectual property under the concept of official inventions is regulated in 106 university law 2002 with reference to 7 Patent Act 970 and 40 Copyright Act. Therefore, the university as an employer (according to 7-2 patent law) has the right to engage inventions completely. On this occasion, an invention is valid as an official invention, if the invention arises directly or indirectly on the activities at work. An indirectly suggestion of knowledge usage / experience from the activity is enough. 42 The legal right to the invention property begins after announcement of the circumstances for a period of 3 months and is to be announced in written form to the inventors during this period. On passing this period, a legal right to realisation exists by the inventors / female inventors. After the expiration of this term, the inventor has the right for realisation by himself Vgl. Art. 1 1, FOG, Vgl. Art. 1 11, FOG, Vgl. Art. 1 13, Universitätsgesetz 2002, Vgl. 7 Abs. 2,3 Patentgesetz 1970, Vgl. Art Abs. 3 Universitätsgesetz 2002, Copyright CERIM Country reports Annex Page 27

28 5. CULTURAL AN SOCIAL ATTIDTUDES Austria disposes meanwhile about an internationally recognised high "cooperation culture". Essential component of this culture is to be able to revert to a wide range of supporting measures, which have the aim to support "industry-science linkages" and therefore to guarantee the quick realisation of more scientific knowledge. Just the expansion of technology programmes and structural programmes has supported this process since the 90s, so that the support of the knowledge and technology transfer today prominent aid programmes like competence centres and competence networks, which succession COMET, Christian Doppler Company (CDG), FH profit, AplusB and bridge are available. In addition, the latest measures for the purpose of regulation and realisation of the intellectual property at the universities are to be called. 44 In 2005, the council for research and technology announced a new position paper with basic principles entitled Strategy in 2010 perspectives for research, technology and innovation in Austria.Besides, the strategy 2010 was bounded by the motto "Get more innovation to the market". Therefore, a global aim obliges, the strengthening of the competitiveness and the dynamic growth of the Austrian national economy by intensification the quantitative and qualitative of research and development. 45 One of the main objectives is that Austria belongs to those EU countries, which fulfil the specifications of the Barcelona or Lisbon guidelines at national level. 44 Vgl. Österreichischer Forschungs- und Technologiebericht 2009, S. 81f. 45 Vgl. Strategie 2010: Perspektiven für Forschung, Technologie und Innovation in Österreich; S. 2 ff. Copyright CERIM Country reports Annex Page 28

29 6. INSTITUTIONAL SETTINGS 6.1. UNI:INVENT The Federal Ministry for Economy, family and youth and the Federal Ministry of science and research are the responsible institutions on national level of the uni:invent programme. The aim of the programme is to develop / support the patenting and licensing potential at Austrian universities as well as in the nonuniversity areas and to apply them to an efficient economic use. This important contribution has the purpose to strengthen the Austrian economic location but also to increase the international competitiveness. Patent utilisation & uni:invent 46 Scientific research and development - particularly in the area of the fundamental research - is often the initial point for new, innovative developments, which leads as product to an enhancement in life quality or to renewal of processes. The protection of the research results for the industry and the exploitation of the high added value potential for the Austrian economic location is an important aim of the Austrian Federal Government in particular with regard to the Lisbon contract. Particularly the lasting use of knowledge is crucial for the future of the economic development. With the knowledge about the relevance of intellectual property and his protection in the form of patents of the Austrian Federal Government, the council for research and technology development has recommended to dedicate special attention to this area in the form of specific supports. The Federal Ministry for Economy, family and youth and the Federal Ministry of science and research stay abreast of this recommendation by the development of specific supporting measures conducted by the aws. The purpose of the programmes is to be open the market for the patenting and licensing potential at Austrian universities as well as in the non-university area optimally. This is not just an important contribution to strengthen Austria as an economic location as well as to contribute the international competitiveness. Uni:invent - Universities Uni:invent is a program from the aws and Austrian universities. Following universities are partner in the program: University of Natural Resources and Applied Life Sciences Vienna Karl-Franzens-University Graz Johannes Kepler University Linz Medical University Graz Medical University Vienna University of Technology Graz Montanuniversität Leoben 46 Vgl. Copyright CERIM Country reports Annex Page 29

30 Medical University Innsbruck Alpen-Adria-University Klagenfurt University Vienna Paris-Lodron-University Salzburg Leopold-Franzens-University Innsbruck University of Veterinary Medicine Vienna University of Technology Vienna 6.2. APLUSB-CENTRES (ACADEMIA PLUS BUSINESS) 47 AplusB supports innovative, technology-oriented spin-offs from the academic sector. The programme funds the so-called AplusB-Centres providing professional support for scientists in the difficult process of turning a good idea into a viable business. This involves both, the counselling and assistance during the actual start-up phase and also establishing the idea of entrepreneurship more firmly in academic theory and practice. Nine AplusB-Centres were established in which start-ups are qualified, counselled and coached. Background Start-up activities in Austria are generally not very dynamic in comparison to international standards; especially for the high-tech sector, which accounts for less than 10% of all new companies. The small number of new companies founded by university graduates and scientists is significant. The aim of the AplusB impulse programme therefore is to bring about a sustainable increase in the number of innovative, technology-oriented spin-offs from the academic sector. Objectives of the programme Ensuring a sustainable increase in the number of academic spin-offs enhancing the quality of these new companies (i.e. their technology and knowledge intensity), as well as their likelihood to succeed increasing the potential for spin-offs from universities, universities of applied sciences and nonuniversity research institutions enhancing the exploitation of research results by business supporting other technology transfer measures AplusB is a programme developed, implemented and managed by the FFG on behalf of the Federal Ministry of Transport, Innovation and Technology (BMVIT). AplusB-Centres develop integrated bundles of measures targeted at young scientists from universities, universities of applied sciences and non-university research institutions: awareness-raising, mobilisation and stimulation of start-up activity (events, information campaigns, professorships for entrepreneurship, etc.) providing counselling, know-how and support (subject-specific tutoring and coaching, management consultancy, further training) for one and a half years providing infrastructure facilities (laboratories, offices, etc.) financial support 47 Vgl. Copyright CERIM Country reports Annex Page 30

31 providing optimal start-up conditions for the new companies by cooperating with potential investors and with other programmes Sponsors / applicants AplusB Centres are jointly sponsored by partnerships between different institutions. The minimum number of partners required is two; of these, at least one is an academic institution (university, non-university research institution, universities of applied sciences) and the other must have verifiable know-how in supporting and monitoring research-intensive company start-ups. Evaluation The centres have to undergo two evaluations during their funding period. A first evaluation is planned when centres have run for three years, a second when they are in their 5th year. The AplusB-Centres Since the programme start in 2002 nine centres have been established involving around 150 partners. The centres will support more than 300 spin-off projects during the following years. accent, Lower Austria ( BCCS-Business Creation Center Salzburg, Salzburg ( build!, Carinthia ( CAST, Tyrol ( INiTS, Vienna ( SPG-Science Park Graz, Styria ( tech2b, Upper Austria ( v-start, Vorarlberg ( ZAT Centre for appliance technology, Styria ( K CENTRES AUSTRIA (BY FFG) Competence Centres for Excellent Technologies (COMET) is the competence centre programme from the FFG established in 2007, which aims to intensify and concentrate cooperation between science and industry by establishing and exploiting joint research expertise, Austrian companies will be able to expand and secure their technological leadership, strengthening Austria as a research location. The programme s most ambitious task is to support research programmes of international excellence and to encourage the involvement of companies and scientists operating world-wide. COMET continues the success of the first generation of competence centre programmes in Austria - Kplus, K_ind and K_net, which were initiated in 1998 and are now being phased out. COMET is operated by the FFG on behalf of the Federal Ministry for Transport, Innovation and Technology (BMVIT) and the Federal Ministry for Economics and Labour (BMWA). Copyright CERIM Country reports Annex Page 31

32 Figure 1:K-Centres locations COMET - Competence Centres for Excellent Technologies 49 The competence centres programmes launched in 1998 are among the most successful technology policy initiatives in Austria. Today, some 1,500 researchers from science and industry work on jointly defined research programmes at more than 40 centres. The programmes are internationally recognised as Best- Practice models. Building on these experiences the programme COMET - Competence Centres for Excellent Technologies has been launched. Special support will be given to those research activities which operate at the cuttingedge and which also promise a high international profile. The competences of the players working at the centres are to be bundled to a greater extent than in the past, with the aim of systematically leveraging content-related synergies in order to obtain a global competitive advantage. Finally, the programme should also make a major contribution to developing human resources in Austria with attractive offers for researchers. Focus and target groups The programme addresses existing competence centres and networks, as well as new consortia with participants from science and industry. All three program lines are thematically open. However, every centre and every research project must have a defined theme Kplus - Competence Centres Program Kplus is a funding initiative set up in 1998 to improve cooperation between the business and research sectors. The programme supported the establishment of competence centres set up for a limited period of time which are typically developed in cooperation with universities or contracted research organisations together with the business sector. They are designed to conduct high level, internationally relevant and pre-competitive research and development. As a result of 3 calls for tenders, 18 Kplus centres have been established, involving some 300 companies and around 150 scientific partners. 48 FFG Jahresbericht Vgl. FFG, Copyright CERIM Country reports Annex Page 32

33 Kplus is drawing to a close and will be replaced by the new competence centres programme COMET. Kplus Centres Kplus competence centres are research institutions involving partners from science and industry. They conduct high level pre-competitive research on an internationally relevant level within selected areas of scientific and economic interest. Organisation Kplus centres are legal entities and are usually conducted as a Limited company. Both business and research partners are collectively legally responsible for the centre and influence its establishment either as owner or as member of a central decision making panel (board or steering committee). In contrast to clusters and networks, Kplus centres also have a strong physical core. Scope and duration Ideally Kplus centres start with a minimum of 3-7 key persons, scientific and technical personnel as well as the management and administration. They generally reach their full capacity after about 2-3 years, then involving 5-15 key persons and scientific and technical staff. They usually have an annual research budget of 2-4 million Euro. Every centre has a minimum of 5 - on average more than 15 - company partners. The centres are funded for a period of 7 years. Existing Kplus Centres AB Angewandte Biokatalyse, Graz ABC Austrian Bioenergy Centre, Graz AC²T Austrian Center of Competence for Tribology, Wr. Neustadt ACV Advanced Computer Vision, Wien alps Center of Natural Hazard Management, Innsbruck CTR Carinthian Tech Research, Villach ECHEM Applied Electrochemistry, Wr. Neustadt FTW Forschungszentrum Telekommunikation Wien, Wien KNOW Knowledge Management Center, Graz LCM Linz Center of Competence in Mechatronics, Linz LKR Leichtmetall-Kompetenzzentrum Ranshofen, Ranshofen MCL Materials Center Leoben, Leoben PCCL Polymer Competence Center Leoben, Leoben SCCH Software Competence Center Hagenberg, Hagenberg VIF Das Virtuelle Fahrzeug, Graz VRVis Zentrum für Virtual Reality und Visualisierung, Wien WOOD Wood Composites & Chemistry Competence Center, Linz K_ind Centres (industrial competence centres) ACC - Fahrzeugakustik, Graz ( ec3 - ecommerce, Wien ( evolaris - Interaktives ebusiness, Graz ( HITT - Health Information Technologies, Innsbruck ( ikma - Mechatronik und Automation, Linz ( IMA - Integrated Microsystems Austria ( IMCC - Industriemathematik, Linz ( Copyright CERIM Country reports Annex Page 33

34 KERP - Elektro(nik)altgeräte-Recycling und nachhaltige Produktentwicklung, Wien ( KMT - Kompetenzzentrum Medizin Tirol, Innsbruck ( holz.bau forschungs GmbH - Holzforschung, Graz ( Kompetenzzentrum Holztechnologie, Wien ( Salzburg NewMediaLab - Neue Medien, Salzburg ( SBA- Secure Business Austria, Wien ( Kompetenzzentrum für umweltfreundliche Stationärmotoren - Umwelt und Energie, Graz ( V-Research GmbH Industrielle Forschung und Entwicklung, Dornbirn ( KAI Kompetenzzentrum Automobil- und Industrie-Elektronik GmbH, Villach ( K_net Competence Centres AAR - Luftfahrt / Verbund -und Leichtwerkstoffe, Seibersdorf ( ACBT - Biotechnologie, Wien ( etourism (anet - Tourismusnetzwerk, Innsbruck ( Kompetenznetzwerk für Fügetechnik ( Fahrzeugantriebskonzepte der Zukunft - Umwelt und Energie, Wien ( Kompetenznetzwerk Licht - Lichttechnik und Lichtgestaltung, Tirol, Vorarlberg, Wien ( KnetMET - Metallurgische und umwelttechnische Verfahrensentwicklung, Linz ( RENET - Energie aus Biomasse, Wien ( Fahrzeugantriebskonzepte der Zukunft (HYBRIDCAR) - Umwelt und Energie, Wien ( Waterpool - Wasserressourcen - Umwelt und Energie, Graz ( SOFTNET - Kompetenznetzwerk f. Softwareproduktion, Graz ( COAST-Competence Network for Advanced Speech Processing, Wien ( Copyright CERIM Country reports Annex Page 34

35 7. OVERVIEW OF RTT MODELS 7.1. RTT MODEL OF BCCS 50 The AplusB centre BCCS is subsidy by the BMVIT and the country Salzburg. Including the three shareholders, total 15 partners and institutions from science, economy and research establishments and education institutions in Salzburg are part of BCCS Requirements nterested people (with academic education or shortly before final degree) with outstanding innovative ideas and with the ambition to set up a company in the country of Salzburg can apply to the admission in the start-up programme of the BCCS. Over a period of one and a half year, the BCCS offers a start platform with rooms and infrastructure, professional consultation and Coaching, support and workshops by experts, continuing education programmes, professional seminars, monetary support and financial consultation up to the successful setting up of the company. By the University of Salzburg, the University of Applied Sciences Salzburg as two of the owners and the other partners a comprehensive research infrastructure is available. The third shareholder, the Engage AG - Key Technology Ventures with its domicile in Karlsruhe / Germany represents the part of the internationalization. Experienced business experts and mentors assess the setting up plans and give valuable feedback Affiliation criteria Affiliation criteria for the Business Creation Centre Salzburg Academic education Person/Team Setting up intention Realisation ability of the business idea Innovation content clear reorganization of the product / service Business idea Technical realization and potential Market potential Patent juridical situation Demand for support by BCCS (cost plan) Presetting up phase (Coaching) Compatibility of demand with resources of the BCCS Further criteria Business plan Positive assessment by the allocation advisory board Team settings: Support for maximum 2 people Retention period in the centre up to 1.5 years 50 Vgl. Copyright CERIM Country reports Annex Page 35

36 Admission process Target group People with academic education or shortly before final degree (students), scientific employees and professors (from the University and the University Of Applied Sciences from all disciplines) with innovative ideas and the ambition to build up a company, can apply to the admission in the start-up programme of the BCCS. Therefore, they receive for the early phase of the business formation the necessary support. Activity process 1. Start up meetings at the Business Creation Centre Salzburg (BCCS) Presentation of the business idea Clarification of the admission criteria of the BCCS Information about the requirement and performances of the BCCS 2. Coaching Compilation of a business plan 3. Application for admission - allocation advisory board Assessment by the management Investigation of the business idea by the allocation advisory board Presentation of the business plan by the founder in front of the allocation advisory board 4. Supports by the business Creation centre Salzburg (BCCS) Contract preparation between the Business Creation Center Salzburg GmbH and the applicant After admission in the business Creation centre Salzburg they receive a comprehensive support, like infrastructure, Coaching and financial subsidies. Coaching education Infrastructure Financial subsidies Business Mentor Laboratory, Workplace Research and Development Academic Mentor Office Servicing budget Individual BCCS - Coaching Academy for founders, Workshops IT equipment Loan for founder Start-Up expenditures 7.2. RTT MODEL OF UNI:INVENT Protection and realisation of intellectual property at the university 1. Announcement of an invention 51 Mag. My Chung, Büro des Rektorats Abteilung für Forschungsförderung, Universität Salzburg, Copyright CERIM Country reports Annex Page 36

37 Since the university law 2002 the University of Salzburg is entitled to utilize official inventions of her employees. Moreover, she can take up in particular case, according to legal situation, also miscellaneous Know How that was developed at the university. At the University of Salzburg an innovation scout was furnished in 2004 within the scope of the uni:invent aid programme. Mag. Chung discusses scientists of the university, administers invention reports, patenting and protection of other Know How. She is the interface to the Austria economic service and co-ordinates the realisation activities. By notice of an invention (invention report) the university has after entrance of a report 3 months time to inform the inventors whether she takes up the invention or not. If the university decides to take up official the invention, it has to carry all patenting expenses and marketing costs. If the university does not take up, the rights of the invention fall back to the inventors. In case of inventions in which the university has no legal claim on an invention the inventor can offer the rights totally or a participation to the university. 2. Examination of the patentability and the usability All invention reports are passed on of the Austria economic service (aws) which is partner in the uni:invent program to audit the patentability and the usability. The aws has to hand in within 6 weeks the recommendation of the invention. The universities are not bound to this recommendation, but they can freely decide on the other approach. 3. Patenting or registration of other trade mark rights The decision for registration of trade mark rights depends on the respective invention and their market potential. Generally, for the first year there will be announced only an Austrian (or a national patent of another country) patent for inventions, after the first year follows the European or international one. This year will used to collect to collect further relevant information for the invention and above prospective customers for a realisation. In some cases, e.g., a licensee already exists or for other reasons, the university immediately announces a European or international patent without previous national registration. Caused on the very high expenses in this registration phase for an international patent the patent strategy of the University of Salzburg (and most Austrian ones) is to find licensees or buyers before internationalisation. Due to the predetermined budget for patenting and the present patent strategy of the University of Salzburg only inventions with realistic realisation chances are patented. 4. Commercialisation In addition to the patent audit the aws offers a commercialisation of the projects. This single services can be taken up as desired by the university. The university can also appoint other partners with the realisation and commercialization or do this independently. Currently most projects are commercialized through the aws, but also other societies are appointed with the commercialization of the projects Implementing of uni:invent uni:invent I Construction of the patent service at the University of Salzburg at the department for research support UG is implemented in the official invention guidelines at the university of Salzburg. Implementation of the general business processes, e.g., invention registration sheet, expiry etc. Copyright CERIM Country reports Annex Page 37

38 The departments and teams has informed about the changed legal situation and the changed services of the university. Awareness rising by events, lectures and talks with university employees. Offer of information by forms (brochures, Flyer, posters) and Internet web page on the AFF homepage. Construction of a utilization network, e.g., economic chamber, innovation service, other university services (Salzburg FH), business Creation centre Salzburg, science agency of Salzburg etc Continuance of uni:invent II: Enlarge the information to Human resource development seminars, doctorate studies (lecture offer), and Workshops with specific subjects (patent search, biotechnology patents etc.). Creation of new guide lines for intellectual property with enlargement for software and databases (June, 2008 become effective). Issue of new guidelines for intellectual property according to use at software and databases. Thereby the university has the licence if they are developed by the official order. Licensing of the results and know-how (without patenting) from researches, regulation of trade mark rights in F&E contracts View for the next years 1. Quantitative increase of protection and realisation of results of the research Rise up of numbers of the announced and secured trade mark rights respectively the results of the capable researches for utilisation. 2. Expansion of the realisation network Cooperation with regional network partners (ITG etc.) and at Austrian and European level (Europe Enterprise Network), industrial partner etc. to realise strengthen of the realisation network. 3. Support of academic Spin-offs In cooperation with BCCS varied services of the university will developed (awareness rising). Copyright CERIM Country reports Annex Page 38

39 8. CONCLUSION Beside the meanwhile established economic and research aid programmes, technology transfer centres like the uni:invent program as well as the AplusB program shall be pointed out. The initiative AplusB led to the support and initiation of 236 start up projects. However, to further develop these programmes they should be opened to scientists from colleges and research establishments with long occupational experiences. Moreover, the support periods should be come more flexible. The legal basis of the UG 2002 ( 106) opened new possibilities for the economic use and exploitation of university research results. This allowed uni:invent by specific measures a cultural change at the universities. By creation of adequate structures ("private international law management") the commercial use of results out of research can constitute economic impulses. Nevertheless, it requires supporting measures around the issues of IPRs (Intellectual Property Rights) at universities to generate sustainable effects. 52 Supported by a number of advancement programmes it already comes to an establishment of the therm knowledge and technology transfer at universities. Considerung the number of different potantials at the universities it leads to diverged parameters and to different pursuits in the utilization options. Therefore, functioning to the specific needs adopted interfaces are the basic requirement of the universities. Here the universities are still in different development stages. Hence, the uni:invent programme is an important and necessary programme to carry for the intentions of the legislator's invoice. 53 In order to support and to increase technology transfer the creation of competence centres is important, where it comes to a collaboration of research and industry. In this case important steps were already established through the programme COMET. Now it is a matter for the future to bunde up the scientific and economic competences to force the bases and applied researches. 52 Vgl. Österreichischer Forschungs- und Technologieförderbericht 2009, S. 179 f. 53 Vgl. Österreichischer Forschungs- und Technologieförderbericht 2009, S. 180 ff. Copyright CERIM Country reports Annex Page 39

40 9. CONTINUATIVE DOCUMENTS 9.1. RAT FÜR FORSCHUNG UND TECHNOLOGIEENTWICKLUNG Strategie 2010; download: Endbericht-Erhebung österreichischer Forschungsinfrastruktur; download: BUNDESMINISTERIN FÜR VERKEHR, INNOVATION UND TECHNOLOGIE (BMVIT) Systemevaluierung des österreichischen Innovationssystems - Kurzpräsentation BMVIT; download: Systemevaluierung der österreichischen Forschungsförderung und -finanzierung: Österreichischer Forschungs- und Technologiebericht 2009; download: THE COUNTRY SALZBURG: DEPARTMENT OF ECONOMY, TOURISM AND ENERGY Stärkung der Regionalen Wettbewerbsfähigkeit Operationelles Programm; download: ANNEX Tabele of TT-organisations The list of TT-organisations is availabble in separate Excel document. Copyright CERIM Country reports Annex Page 40

41 Germany Baden-Württemberg, Mecklenburg- Vorpommern and Saxony COUNTRY REPORT GERMANY Baden-Württemberg, Mecklenburg-Vorpommern and Saxony Copyright CERIM Country reports Annex Page 41

42 DIRECTORY 1. Abbreviations 3 2. Introduction National and regional key facts Overview of the policy environment 5 3. National/regional TT situation National innovation initiatives and their regional implementation Entrepreneurial Region EXIST University-Based Business Start-Ups Other programmes Advisory bodies Regional innovation initiatives Baden-Württemberg Mecklenburg-Vorpommern Saxony Advisory bodies and implementing institutions Framework conditions of RTT Legislation and regulation Cultural and social attitudes Institutional settings Overview of RTT models Conclusion 18 Copyright CERIM Country reports Annex Page 42

43 1. ABBREVIATIONS BMBF BMWi BW EMBL EMBLEM ERDF ERP ESF FMV MV PSRE PVA-MV RTT Federal Ministry of Education and Research (Bundesministerium für Bildung und Forschung) Federal Ministry of Economics and Technology (Bundesministerium für Wissenschaft und Technologie) Baden-Württemberg European Molecular Biology Laboratory EMBL Enterprise Management Technology Transfer GmbH European Development Fund European Recovery Programme European Social Fund Research Association Mecklenburg-Vorpommern (Forschungsverbund Mecklenburg-Vorpommern e.v.) Mecklenburg-Vorpommern Public sector research establishment Patent & Valorisation Agency Mecklenburg-Vorpommern AG (Patentverwertungsagentur Mecklenburg-Vorpommern AG) Regional technology transfer Copyright CERIM Country reports Annex Page 43

44 2. INTRODUCTION This country report gives an overview of the regional technology transfer (RTT) situation in Germany based on the analysis of the three regions Baden-Württemberg (BW), Mecklenburg-Vorpommern (MV) and Saxony with the help of the questionnaires filled in under Work Package National and regional key facts To evaluate a RTT situation it is also important to get an impression of the analysed country and regions. Therefore, some key facts are provided in the table below. Country/region Germany Baden-Württemberg Socio-economic status Mecklenburg- Vorpommern Saxony Population (2008) 82.1 million 10.7 million (13.0%) 1.7 million (2.1%) 4.2 million (5.1%) Education (by ISCED, 2006) - ISCED 0 (pre-primary ed.) - ISCED 1 (primary ed.) - ISCED 2-3 (secondary ed.) - ISCED 4 (post-secondary non-tertiary education) - ISCED 5-6 (tertiary ed.) 2,443,550 3,329,349 8,207, , ,834 (14.9%) 477,785 (14.4%) 1,146,661 (14.0%) 54,490 (11.1%) 44,613 (1.8%) 48,349 (1.5%) 161,706 (2.0%) 11,288 (2.3%) 114,776 (4.7%) 116,526 (3.5%) 351,760 (4.3%) 34,821 (7.1%) 2,289, ,567 (13.0%) 37,305 (1.6%) 119,389 (5.2%) Unemployment (Ø in 2008) 3.3 million (7.8%) 229,129 (4.1%) 124,211 (14.1%) 279,573 (12.8%) Main industries Automobile, chemical, maritime and aerospace industry, mechanical and plant engineering Mechanical and electrical engineering, automotive and metal industry, data processing Maritime, healthcare and food industry, agriculture, tourism Automobile, metal and food industry, electrical engineering GDP in million (2008) 2,492, ,304 35,867 95,119 GDP per capita (2008) 30,343 33,876 21,439 22,620 Expenditures on R&D (2005) - GERD (in million ) - R&D intensity (GERD/GDP) Technology transfer data 55, % 13,681 (25.5%) 4.2% 447 (0.8%) 1.4% 1,986 (3.6%) 2.3% Number of universities (2009) Number of students (2008) 1,996, ,234 37, ,745 Human resources in science and technology (in 1,000; 2007) 19,753 2, ,184 European Patent Office applications per million inhabitants (2005) - Total - High-tech patents - ICT patents - Biotechnology patents Copyright CERIM Country reports Annex Page 44

45 2.2. Overview of the policy environment The competencies in the area of research policy are shared between the Federal Government and the federal states (Länder). On the national level, the main innovation policy actors are the Federal Ministry of Economics and Technology (BMWi) and the Federal Ministry of Education and Research (BMBF) supporting on the one side research and education and on the other TT structures and entrepreneurial activity. Furthermore, publicly-funded research organisations like the Max Planck Society, the Fraunhofer Society and the German Research Association are scientific autonomous and a key element of the German research policy. The task of the Joint Science Conference ( Gemeinsame Wissenschaftskonferenz ), which was established in 2008, is to deal with all issues relating to research funding, scientific and research strategies and the scientific system that affect both the Federal Government and the Länder. Institutions responsible for the creation of policy documents in the three analysed regions are primarily regional ministries, especially the Ministry of Labour and Social Affairs, of Economic Affairs, of Science, Research and Art, of Economy, Employment and Tourism, of Education, Science and Culture, and of Economy and Work. A direction and a certain framework for regional innovation initiatives form policies and strategies from the national and the EU-level. The four objectives of Germany s research policy are to strengthen its competitiveness by establishing an efficient, world-class science system, to provide innovation-friendly framework conditions, to help resolve global climate, resources, health and safety challenges, and to achieve research expenditures amounting to 3% of the German GDP in line with the Lisbon Strategy. To address these objectives the Federal Government s High-Tech Strategy for Germany was approved by the German cabinet in It aims at linking research with industry to fasten the exploitation of research results, especially of those from SMEs, and thus to boost Germany s competitiveness in the most important future markets. The High-Tech Strategy targets further the promotion of applicationoriented science and a research-friendly industry as well as the improvement of the conditions for hightech start-ups and innovative SMEs. With these primarily goals it bundles several initiatives of the Federal Government to Germany s first comprehensive national strategy for innovation and technology policy. Between 2006 and 2009, a total of about 15 billion are going to be provided for the support of 17 priority fields of technology. In that way, Federation, Länder and industry intend to contribute to reach the above mentioned goal of the Lisbon Strategy. One of the central instruments of the High-Tech Strategy is a new research bonus programme, which was started in 2007 by the BMBF. This programme s purpose is to mobilise additional scientific potential for broad cooperation with industry, particularly with SMEs, and to encourage universities and research institutions to address research topics relevant to industry at an early stage. Further initiatives under the High-Tech Strategy are e.g. EXIST III and Innovation with Norms and Standards (both started in 2006), the ZIM programme (started in 2008) as well as the Cluster Competition and the Research Grant (both started in 2007). In addition to the High-Tech Strategy, the Strategy for the Internationalisation of Science and Research was started in 2008 to reply to the challenges of global competition that the German science and innovation system is faced with. Furthermore, several programmes support regions in East-Germany under the innovation initiative Entrepreneurial Region ( Unternehmen Region ) of the BMBF. The Federal Government additionally implemented three initiatives as a start to modernise the science system and thus improve the attractiveness of Germany as science location. Through the Initiative for Copyright CERIM Country reports Annex Page 45

46 Excellence ( Exzellenzinitiative ) the Federal Government and the Länder aim at promoting top-level research and improving the quality of German universities and research institutions. This initiative involves three funding lines for institutions of higher education. In addition, the Higher Education Pact ( Hochschulpakt 2020 ) should maintain the efficiency of the institutions of higher education and at the same time enable them to cope with an increasing number of new entrants, while the Joint Initiative for Research and Innovation ( Pakt für Forschung und Innovation ) will increase funding for the major science and research organisations being co-financed by the Federal Government and the Länder. In 2008, the German cabinet agreed moreover on the initiative "Wissenschaftsfreiheitsgesetz" creating the conditions for more autonomy of German science. Thus, research institutions should get more freedom in the fields of budget, staff, networking, construction and procurement. Copyright CERIM Country reports Annex Page 46

47 3. NATIONAL/REGIONAL TT SITUATION Before describing national and regional innovation programmes, it needs to be mentioned that some policies in Germany are created on the EU-based level, i.e. some regional documents being formed in relation to the European Development Fund (ERDF) and the European Social Fund (ESF). Such initiatives related to the EU are e.g. the Operational Programme of the respective federal states for the ERDF and the ESF for the period (adopted in 2007), with its main priority in strengthening innovation, research, science and education; in increasing the competitiveness of the region; and in increasing investment and improving infrastructure in the region. The main goals are related to the EU structural funds, thus aiming at increasing the economic growth and consequently creating and safeguarding sustainable jobs National innovation initiatives and their regional implementation National programmes influencing RTT are planned by the federal ministries and can be divided into three groups: (1) the Entrepreneurial Region ( Unternehmen Region ) programme, (2) EXIST University- Based Business Start-ups, and (3) ZIM Central innovation programme for SMEs. These three groups contain more detailed programmes and initiatives Entrepreneurial Region Entrepreneurial Region is an innovation initiative of the BMBF and is managed by Project Management Jülich. Specific support measures for the former GDR-states in Eastern Germany (New Länder) should respond adequately to the special conditions in this region. Currently, five individual programmes are actively conducted within Entrepreneurial Region. They build upon one another and take hold of different strategic points of the innovation process. (1) The funding directive Innovative Regional Growth Cores ( Innovative regionale Wachstumskerne ) was started in 2001 and focuses on technological and regional innovations. The core module Wachstumskerne (WK) supports entrepreneurial regional alliances which already dispose of a clear thematic focus (technology or problem solution platform). Partners jointly develop marketable innovations and suitable strategies for important markets. The new module GC Potential ( WK Potenzial ) supports the fast use of current R&D results from universities and public research institutions that have a high innovation and growth potential. Hence, an orientation towards economic implementation on the market for a successful business development of SMEs is crucial within this programme. (2) The programme Centres of Innovation Competence (since 2002) includes two modules: One with financial support for groups of young researchers and another for establishing flexible, operating and internationally powerful centres of excellence at universities and research institutes. (3) The programme Innovation Forums is directed towards regional alliances in the early stages of development. The selected initiatives get support in the form of an event which provides them i.e. with a basis to promote knowledge transfer and an extended network useful for possible cooperation. Furthermore, innovative performances are presented, compared and improved by innovators and end users, and requirements for the development of new technologies are created. (4) In 2005, the InnoProfile directive began to promote market-oriented groups of young researchers by optimising their cooperation with regional enterprises. The programme supports furthermore scientists from publicly financed research institutes by strengthening the innovation capacity of the economy, Copyright CERIM Country reports Annex Page 47

48 especially by establishment and advancement of regional technology-platforms and attracting qualified personnel for colleges, research-institutions and enterprises. (5) The latest programme within Entrepreneurial Region - ForMaT (since 2007) - aims at improving the transfer of research results from public research into a market-ready format and their economic utilization. In addition, interdisciplinary cooperation between science and economic departments of public research establishments is supported. As BW is not part of the New Länder, it is not affected by the programme Entrepreneurial Region, whereas in both MV and Saxony all five individual programmes concern the regional technology transfer situation EXIST University-Based Business Start-Ups A basis for the current EXIST programme was already created with the EXIST idea competition (EXIST I) in Established by the BMWi and implemented by Project Management Jülich the EXIST programme is co-financed by funding of the ESF. It includes three programme lines that are described below. (1) EXIST Culture of Entrepreneurship (EXIST III) promotes projects at universities and research institutions for a permanent anchorage of a culture of entrepreneurial self-help. Amongst others, it includes the development and implementation of training measures for entrepreneurial independence and motivation activities for potential founders. Furthermore, this programme line gives financial support in form of non-repayable grants and aims at planning and implementing activities to strengthen the participation in EXIST Business Start-Up Grants. (2) The programme line EXIST Business Start-Up Grants supports entrepreneurs and founders from universities and other research institutions to transform their ideas into a business plan with good economic prospects. The funding is aiming at promoting innovative technology-based start-up projects in manufacturing and at enhancing innovative knowledge-based services based on scientific findings. (3) EXIST Transfer of Research supports outstanding research-based entrepreneurial activities in the pre-start-up or start-up phase, which are linked to expensive and risky development activities. In the first funding phase it finances the feasibility study and the development of prototypes and a business plan. For newly founded, technology-oriented companies it offers in the second phase financial support for advanced development work towards a commercialisation as well as the creation of conditions to secure further external financing. The EXIST programme in general was identified in all three considered regions. However, the EXIST III programme line cannot be found in Saxony, where entrepreneurship culture is included in a special ESF directive of the Saxon Federal Ministry of Economics and Work (ESF Directive Unternehmensgründungen aus der Wissenschaft Gründerinitiativen ) Other programmes ZIM ZIM Central innovation programme for SMEs is a directive of the BMWi started in ZIM s priority is market-based technology support for innovative SMEs and for those research institutions that cooperate with these SMEs. The programme consists of three different sponsorship modules, which support cooperative, network or single projects. Each of these modules has their own implementing institution (Projektträger AiF, VDI/VDE Innovation & Technik GmbH, and Projektträger EuroNorm respectively). This national innovation programme, too, was identified in BW, MV and Saxony. Copyright CERIM Country reports Annex Page 48

49 Directive Forschungsprämie The directive Forschungsprämie is part of the framework of the initiative High-Tech Strategy Germany by the BMBF and is implemented by Project Management Jülich. It supports public non-profit institutions and university research particularly in helping them to develop competencies in knowledge and technology transfer. Furthermore, it intends to expand economic-oriented co-operations mainly with SMEs. To achieve this, the directive aims at strengthening the application-oriented skills of particularly young scientists and improving the management in cooperation with industry (especially with SMEs). The federal directive Forschungsprämie is actively carried out in both MV and BW, but not in Saxony. SIGNO In the same two regions also the programme SIGNO Hochschulen Protection of ideas for the commercial use is identified, aiming at the continuation of the exploitation offensive. The programme is implemented by the Project Management Jülich and supports universities, companies and independent inventors with legal protection and economic exploitation of their innovative ideas. The implementation of SIGNO Hochschulen takes place in two different parts: The support of exploitation and the strategy promotion. To support exploitation, structures for the exploitation of property rights from public funded universities and research facilities are developed via external patent and exploitation agencies. Recipients of grants can be collaborations between universities that work together with at least one patent and valorisation agency. The directive to support strategy focuses on universities and publicly funded research institutions. It promotes demand-led exploitation concepts of higher education, including strategic collaborations between industry and academia. External service providers like patent and valorisation agencies should help with the implementation of exploitation concepts. ERP Innovation Programme With the KfW Mittelstandsbank as the implementing institution the ERP Innovation Programme aims at encouraging the dynamic of innovation in the German economy by supporting SMEs with ERP subordinated capital. Small innovative companies can receive funds with low interest rates. In this way, the directive secures the long-term financing of marked-based research and development of new products, processes or services (part one) and their launch (part two). In part one, enterprises get financial support during the R&D phase (i.e. until the completion of the commercial exploitation of the necessary development work) and in part two during the launch phase (i.e. in connection with the introduction of new products and production methods). Possible grant recipients are commercial companies and freelancers (part one) or commercial companies and professionals (part two) that are active on the market for at least two years. The ERP Innovation Programme is implemented in MV as well as in BW. Initiative for Excellence Through the Initiative for Excellence ( Exzellenzinitiative ) the Federal Government and the Länder aim at promoting top-level research and improving the quality of German universities and research institutions. The initiative involves three funding lines for institutions of higher education: Graduate schools for junior Copyright CERIM Country reports Annex Page 49

50 scientists, clusters of excellence for internationally visible and competitive research and training institutions as well as institutional strategies for top level university research. In providing institutions of higher education with additional funds the Initiative of Excellence supports regional technology transfer indirectly. Especially universities in BW were successful in applying for this programme. Currently, concepts at the universities of Stuttgart and Karlsruhe are getting financial support through all three funding lines Advisory bodies Advisory bodies on the national level are mainly national associations and national agencies, some with offices or branches in regions (e.g. Chambers of Industry and Commerce; Association of Innovative Enterprises; Association of German Engineers; Association of the Electrical Engineering, Electronics, Information Technology; Federal organisation of German innovation centres, technology centres and centres for foundation of enterprises; Rationalisation and Innovation Centre of the German Economy; Helmholz-Association; IHK etc.). Their focus ranges from innovation to TT and the promotion of economic development. They offer support, consultancy and funding Regional innovation initiatives BW and MV have holdings and banks which implement some programmes, whereas Saxony has banks as financial institutions for providing the grants. These institutions finance various costs, such as staff and material costs, external R&D costs, consulting fees, investment in prototypes or costs of marketing. Other programmes are created by regional ministries. BW has the Equity Holding for Innovations, which supports SMEs in innovation and technology projects through the development and improvement of new products, processes and services, and the holding Investment in Start-up as well as the L-EA Funds both aiming at entrepreneurs, young companies and start-ups. Located in MV are also the Holding of the Genius Venture Capital with support for young technology-oriented start-ups and the MBMV Inno for improving the capital capacities of SMEs in the R&D field. The main bank in Saxony is the Saxon Aufbaubank Förderbank Baden-Württemberg Regional policy documents in BW focus mainly on SMEs (setting up and improving their R&D and IPR management) and entrepreneurs. The Directive on the Promotion of Coaching under the ESF aims to increase the number of SMEs working on innovative products and services. To achieve this coaches are financed, which offer consultancy to management on business decisions, their implementation and the controlling of their outcome. Similar consultancy services are provided in a programme supporting the recruitment of innovation assistants in SMEs with funds of the ESF, and in the Directive on Innovation Vouchers for small businesses, that is a model project by the state Baden-Württemberg. The Promotion programme of R&D projects for the years 2008 et seq. at Universities of Applied Sciences in Baden-Württemberg - Innovative projects / cooperation projects is highly practice-oriented and aims at strengthening the R&D capacity of universities of applied sciences and intensifying cooperative projects and technology transfer, especially with regional SMEs. The Joint Administrative Order of the Ministry of Science, Research and Arts and the Ministry of Economic Affairs on the Support Programme for Young Innovators Junge Innovatoren promotes the preparation of start-up projects from Baden-Württemberg's universities and research institutions. Furthermore, the Announcement of the Competition to Strengthen Regional Clusters in Baden- Württemberg has the objective of the cooperation between industry and academia, as well as other Copyright CERIM Country reports Annex Page 50

51 supportive organisations - such as business organisations or business support bodies - at regional level in order to promote innovation and competitiveness of Baden-Württemberg. Additionally, innovative pilot projects are financed to train and develop regional cluster organisations under a competitive process open to all themes Mecklenburg-Vorpommern Like BW, regional policy document in MV pay mainly attention to SMEs and individuals, but focus apart from financing the start-ups, improving the R&D and managing IPR also on networking. The regional directives address the priorities set under ERDF and ESF. The Directive on the Promotion of Research, Development and Innovation provides aid for R&D projects, technical feasibility studies, IPR activities in SMEs, process and organisational innovation in the service sector, innovation consultancy services, and loan of highly qualified personnel through a research institution or a large enterprise to SME. The Directive on Encouraging Start-Ups of Recent Graduates through Grants for Living Expenses provides a monthly fee to individuals (recent graduates or scientific researchers), who intend to establish a new independent company. The Directive on the Promotion of Technology-Oriented Networks is aiming at strengthening the collaboration of companies, universities and research institutes to stimulate innovations in the region, whereas the Directive on the Promotion of Business-Related and Regional Networks offers a cofinanced management service for the establishment of networks of mainly SMEs, coordinates their care in the implementation phase and the future security of these networks. By funding patent and license acquisitions as well as IPR management the Patent and Licence Fund Mecklenburg-Vorpommern serves as a financial risk relief, competent care and support for inventors and enterprises Saxony Saxony s regional initiatives also focus on enterprises, mainly SMEs and entrepreneurs. All documents are in line with the ERDF and ESF-related policies and are implemented by the Saxon Aufbaubank Förderbank. The directive of the Saxon Ministry of Economy and Work about the granting of benefits for innovative group projects oriented to technology in the area of the future technologies supports close cooperation of research departments from private companies, non-university research institutions, institutes and research groups from universities and advanced technical colleges. The same ministry arranged a directive about the granting of allowances for technology transfer measures, which is aiming at strengthening research, innovation and science in SMEs; whereas another directive supports research projects and developing work dealing with the development of new or novel products and procedures. A funding directive of the Saxon Ministry of Science and Art focuses on projects for innovative applicationoriented research and on projects for improving the transfer of knowledge and technologies between science and economy. One more directive of this ministry supports projects co-financed by the ESF in the areas of college and research. The Saxon Ministry of Economy and Work has furthermore two directives with one supporting the granting of allowances to the employment of innovation assistants and the other the entrepreneurial spirit as well as directly innovative start-ups out of scientific institutions. The latter is funded by the ESF and is aiming at improving formations of enterprises out of scientific institutions and initiatives by academic entrepreneurs, whose activities can be assigned to the consultation and support of intended start-ups out of university establishments. Copyright CERIM Country reports Annex Page 51

52 Advisory bodies and implementing institutions Advisory bodies on the regional level are compared to the national ones similar with predominantly the same functions of support, consultancy and funding. Some of these institutions are associations, agencies or institutes (Agentur für Innovationsförderung und Technologietransfer (AGIL) GmbH Leipzig, Sächsische PatentVerwertungs Agentur (SPVA), Mittelständische Beteiligungsgesellschaft Mecklenburg-Vorpommern mbh (MBMV), Landesförderinstitut, Invest in MV), whereas others are companies (Technologiegründerfonds Saxony, GWT-TUD GmbH, Patent- und Verwertungsagentur MV, Technology transfer organisations in MV, Campus Technologies Freiburg GmbH (CTF), EMBL Enterprise Management Technology Transfer GmbH, PVA Patentverwertungsagentur Tübingen Ulm GmbH, Technologie-Lizenz-Büro (TLB) der Baden-Württembergischen Hochschulen GmbH, bwcon Baden-Württemberg connected). Universities and other research organisations are also listed among this type of bodies setting the policies. Implementing institutions can be grouped in three categories: (1) ministries, (2) banks, holding, funds and foundations and (3) other. On national level, the main actors are the federal ministries of Education and of Economy, whereas relative regional ministries also cover these fields. Financial institutions indicated (predominantly in MV) appear mainly on the regional level, such as SEED Karlsruhe, KfW Mittelstandsbank, Bürgschaftsbank Mecklenburg-Vorpommern GmbH, Mittelständische Beteiligungsgesellschaft Mecklenburg-Vorpommern mbh, GSA Gesellschaft für Struktur- und Arbeitsmarktentwicklung mbh, Saxony Aufbaubank, and Technologiegründerfonds Saxony. Other institutions include companies for consulting and support (e.g. Prognos AG) and registered associations (e.g. Helmholz-Association). Copyright CERIM Country reports Annex Page 52

53 4. FRAMEWORK CONDITIONS OF RTT 4.1. Legislation and regulation Certain factors directly or indirectly influence the RTT situation in Germany. To achieve more attractive framework conditions for innovations, initiatives of the Federal Government affect both legislation and regulation, which also has a strong impact on RTT. In 2002, the amendment to an act concerning inventions made by employees ( 42 of the Arbeitnehmererfindungsgesetz ) has changed the university s legislation environment regarding intellectual property rights. As a result, universities now have the exclusive right to self exploit inventions and academic results produced by their academic personnel. However, the inventor has still the right of getting 30% of the gross revenues, if his invention is commercially used. Due to this amendment, programmes like SIGNO are designed to provide universities and non-university research institutions with support in building up a professional patent and exploitation system. Subsidies should enable these research institutions to protect their research results with the help of external agencies. The Federal Government aims furthermore at improving the conditions for the creation of start-ups. One approach is the electronification of the register of companies introduced in 2007 allowing a faster registration of new enterprises. In addition, the improvement of investment conditions particularly for small companies is part of national legislation efforts. A planned reform of the GmbH-law should for example lower the minimum capital for GmbH-foundations (foundations of companies with limited liability) to 10,000, which should result in facilitating the start-up creation. Moreover, a new law for the contribution of venture capital ( Wagniskapitalbeteiligungsgesetz ) was introduced in 2008, which aims at making the framework conditions for venture capital (even on an international level) more attractive. The main goal is to achieve raising acquisitions of shares in SMEs and thus increase their financial resources. At the same time, a reform of the taxes for enterprises gives companies more incentives for innovation activities. The funding of innovative technology-oriented startups is furthermore strengthened by the High-Tech-Gründerfonds providing them with venture capital. To further reduce the bureaucracy for SMEs, e.g. concerning statistics, is the aim of the third Mittelstandsentlastungsgesetz (MEG III) that entered into force as from March Cultural and social attitudes Besides legislation and regulation, also cultural and social attitudes influence Germany s RTT situation. The development of intense industry-science relations, high-tech oriented industrial sectors and technical universities built Germany s basis for regional technology transfer already in the 19 th century. Sectors like the electronics, machinery, chemical and automobile industry are well-known examples for a traditional focus on high-tech areas. Whereas technical universities such as the TU Karlsruhe and the TU Munich work closely together with industry partners and integrate knowledge and technology transfer into their objectives, traditional universities are more academic-oriented paying interactions with the industry less attention than technical universities do. Even if technology transfer may have gained more interest in recent years, a critical industry orientation of scientists still exists in some research institutions, which results in a negative influence on RTT. Copyright CERIM Country reports Annex Page 53

54 4.3. Institutional settings Third, institutional settings in public science institutions and in the business enterprise sector implicate incentives to or barriers for RTT. Favourable impacts on RTT in Germany have the Fraunhofer-Society, technical universities, universities of applied sciences and specialised public sector research establishments (PSREs). The Fraunhofer-Society is a publicly funded, non-profit R&D organisation undertaking applied research of direct utility to private and public enterprises. It has research centres and representative offices in Europe, USA, Asia and in the Middle East. With more than 80 research units with a total of 15,000 employees at 40 different locations in Germany the Fraunhofer-Society is amongst others aiming at improving the knowledge and technology transfer to industry. Through training, research contracts or employment of former Fraunhofer staff industry partners can benefit from the Fraunhofer-Society, thereby strengthening their capability to compete in international markets. For many companies it is therefore favourable to be located close to the Fraunhofer Institutes, especially when they were set up by former Fraunhofer employees as spin-offs. A further advantage of the Fraunhofer-Society is that contract research is the main source of the annual research budget of 1.4 billion. Moreover, two thirds of the research revenue is derived from contracts with industry and from publicly financed research projects, whereas only one third is institutional funding from the German federal and Länder governments. In Germany, 13 different technical universities exist, all connecting scientific education with industryoriented research. Together with technical faculties at traditional universities they support RTT by practiceoriented education and research in cooperation with companies. Even though universities of applied sciences do not have a research focus, they offer like technical universities a scientific education, that is practice-oriented and shorter than the education at technical or traditional universities. Additionally, universities of applied sciences work closely together with companies organising partners for a student s bachelor or master thesis or for internships or jobs. In this way, they contribute to RTT from academia to industry. Another institutional setting influencing RTT are PSREs, which are specialised in industry-related fields of research and technology and show a strong orientation towards the transfer of knowledge and technology. Two examples for specialised PSREs are the Heinrich-Hertz-Institute for Telecommunication in Berlin and the German Centre for Artificial Intelligence with four different locations in Germany. Copyright CERIM Country reports Annex Page 54

55 5. OVERVIEW OF RTT MODELS TT models in the regions vary from university- to business-based, including the more balanced combination of the two spheres which results in technology parks, incubators and companies. In BW, there are models of technology and knowledge transfer from general universities and universities of applied sciences to business. Additionally, several companies were established by universities that focus on the proactive generation and valorisation of research results, the support of technology transfer activities as well as on start-up creation and management. Examples of such enterprises are TTI GmbH (Technology Transfer Initiative at the University of Stuttgart), Technologie-Lizenz-Büro (TLB) of all universities in Baden-Württemberg and Campus Technologies Freiburg GmbH (CTF). Furthermore, there are companies in BW that cooperate significantly with one or more universities (PVA Patentverwertungsagentur Tübingen Ulm GmbH, EMBL Enterprise Management Technology Transfer GmbH). Two business incubators in BW provide mainly coaching and incubation services: The Vectoring Inkubator GmbH, which focuses on companies and entrepreneurs within the field of environmental technologies, and IBH Innovation und Bildung Hohenheim GmbH, which supports entrepreneurs from one connected university in the region. Moreover, two business parks offer business support, networking and facilitation. The one in Heidelberg focuses on companies operating in the life science industry, whereas the one in Karlsruhe in general on technology-oriented companies and entrepreneurs. A similar structure is found in MV. The Patent & Valorisation Agency Mecklenburg-Vorpommern AG (PVA-MV) unites several universities and institutes and provides proactive generation and valorisation of research results. It also supports start-up creation and management. The Forschungsverbund Mecklenburg-Vorpommern e.v. (Research Association Mecklenburg-Vorpommern, FMV) consists of all universities in the region and provides start-up initiatives with coaching. Part of the FMV is also the SPiNOFF project that aims at organising workshops, coaching activities and funding for entrepreneurs of technology-oriented companies. The TBI Technologie-Beratungs-Institut GmbH works as executing organisation for innovation projects of the Ministry of Economy, Work and Tourism MV and offers technology-oriented companies consulting and intensive project mentoring. Business support for the same group of enterprises is also provided by the company ATI Küste. As a foundation the purpose of the INI GraphicsNet Stiftung is the advancement of scientific R&D in the field of Computer Graphics by providing support in technology transfer activities and start-up creation. Amongst others, the Fraunhofer Institute for Computer Graphics Research and the University of Rostock are members of this foundation. In MV, there exist one business incubator (TZW Technologiezentrum Warnemünde) and one foundation (Wissenschaftsstiftung MV). Five universities in MV engage by themselves in technology and knowledge transfer to business. Different kinds of RTT models exist also in Saxony. A major role play private companies offering consultancy, coaching and support services, e.g. Saxon Agency for Utilisation of Patents, BTI Technology Agency Dresden, Saxon Institute for the Printing Industry, or Business and Innovation Centre Zwickau. These businesses focus mainly on supporting business start-ups, whereas ETB Neiße acts as a mediator between innovation-oriented companies and universities or public research centres. In addition, also public bodies such as the Chambers of Industry and Commerce Saxony, and the Chambers of Trade in Chemnitz, Dresden and Leibzig aim at providing consultancy and support in the fields of business startups and innovation. Organisations supporting technology transfer emanate also from universities like Research and Transfer Center at Zwickau University, CIMTT Centre for Production Engineering and Copyright CERIM Country reports Annex Page 55

56 Organisation of Dresden University of Technology, Patent Information Centre of the Chemnitz University of Technology. These institutions focus mainly on applied R&D, education and training, or consultancy in the field of industrial property rights and patents. Additionally, non-profit organisations like the Institute of Air Handling and Refrigeration (ILK) and Saxon Textile Research Institute focus on certain technologies or branches when supporting technology transfer and R&D. Also the registered association European Society of Thin Films is specialized on a certain industry and engages in addition to business consultancy and the promotion of technology transfer in industrial networks and industry-wide joint research. Four incubators (including the Technology Centre Chemnitz as well as the Founder- and Innovation Centre Freiberg/Brand-Erbisdorf) and three business parks (Technology Park Mittweida, Technology Centre Dresden, Business & Innovation Centre Leibzig) are located in Saxony and consult and support business projects. In the following, five of the bridging institutions concerning technology transfer in BW and MV are explained in more detail. Inno AG, project partner from BW, is a strategic management consulting company for public and private clients and was founded in The company was originally started as a spin-off company from the Technical University of Karlsruhe and the Fraunhofer Institute of Systems Technology. The main office is located in Karlsruhe, Germany, but the company has also subsidiaries in Germany, France and Sweden as well as a representation in Russia. The inno Group employs 60 consultants with a turnover of about 7 million. inno s key competence lies in the design and implementation of innovation strategies for regions, nation states and public organisations. However, the inno Group gains its uniqueness by linking these activities to their expertise in developing and implementing models for valorisation of research and their capacity with the aim to generate revenue streams from public R&D investments for all stakeholders. The inno Group delivers its services from two interrelated, but in fact mutually supporting platforms: inno Consulting and inno Valorisation. To date, the inno group evaluated more than 1,000 innovations, signed more than 100 licensing agreements and created 30 start-ups. Additionally, it has substantially contributed to create a more entrepreneurial mindset among research staff of its partners and generated additional revenue for them through valorisation activities. PVA-MV, project partner from MV, is the exclusive commercialisation unit of nine universities and research institutes in Northern Germany consulting 3,500 researchers with a thematic research focus on natural sciences and ICT. PVA-MV is responsible for making the research staff of the technology partners more open to commercialisation activities as well as increasing the number of inventions with market potential and assisting them in considering the correlation of research projects to current market demand and industrial trends. PVA-MV actively screens research projects for the most promising inventions from a market stand point. It manages and structures the IP process and designs and implements the most suitable commercialisation strategy for the individual case. Finally, it is also responsible for carrying the commercialisation cases to the market, for instance through licensing the technology to the industry or through establishing new companies, including their management. The PVA-MV is part of the exploitation offensive of the BMBF and was founded in The Centre for Research Support ( Zentrum für Forschungsförderung, ZFF) of the Ernst Moritz Arndt University of Greifswald was founded in 2007 and aims at improving the cooperation between university and companies through the support of researchers, companies and other institutions in finding appropriate Copyright CERIM Country reports Annex Page 56

57 partners. The ZFF further promotes the university s five main research fields (plasma physics, life sciences, healthcare, environment and landscape ecology, integration and identity in the Baltic Sea area) through intensive public relations. The main long-term goals of the ZFF are to secure the quality of research in Greifswald and to support the achievement of funding. Financed of the Ministry of Education of Mecklenburg-Vorpommern, the ZFF offers five main services for researchers of the Ernst Moritz Arndt University of Greifswald. It provides interested researchers with information on support institutions as well as with consulting and support with the preparation of applications for the funding of research projects and of conferences. Furthermore, the ZFF offers legal advice for questions relating to research projects and monitors projects funded by third-parties in close cooperation with the administration of the university. Fifth, it engages in technology transfer by building contacts between researchers and industry, by evaluating the transfer potential of current or finished research projects as well as by supporting implementing activities in form of patents, licences or spin-offs. With the Centre of Knowledge Interchange the University of Greifswald furthermore conceptualises and implements research projects in close cooperation with the Siemens AG. The Technology Licensing Office of the higher education institutions of Baden-Württemberg GmbH (Technologie-Lizenz-Büro der Baden-Württembergischen Hochschulen GmbH, TLB) was established based on a pilot project at the University of Karlsruhe, which was started in 1987 to evaluate if and how the professional management of university inventions is possible and useful under the framework conditions in Germany. Due to the success of this pilot project the TLB was founded in 1998 and currently consists of 15 staff members aiming at patenting and commercialising technologies emanating from universities. As a service provider, the TLB GmbH is available to all universities and other higher education establishments as well as university hospitals located in Baden-Württemberg. The members of the TLB are all nine universities in Baden-Württemberg, the Fraunhofer Society for the Furtherance of Applied Research (the leading agency for practice-oriented research in Germany) and the Mittelständische Beteiligungsgesellschaft Baden-Württemberg GmbH, which provides equity capital to SMEs. To inventors working with an institution of higher education the TLB offers access to staff with a thorough scientific background, specific and personal advice regarding the invention and assistance prior to lodging the registration of an invention. On the other hand, the TLB provides companies with technologies and product ideas, which have been carefully assessed for their commercial potential and are protected by patents or other intellectual property rights. EMBL Enterprise Management Technology Transfer GmbH (EMBLEM) is a wholly-owned subsidiary of the European Molecular Biology Laboratory (EMBL). Established in 1999, EMBLEM identifies, protects and commercialises the intellectual property developed at the EMBLs, from EMBL alumni and from third parties. Furthermore, it markets and contracts scientific consultancy services, advises and structures EMBL spin-off companies and arranges trainings. The focus of EMBLEM s technology transfer activities lies in the field of biotech, ITC as well as mechanical and electrical engineering markets. To additionally support the establishment of start-up companies financially, EMBLEM created the EMBL Technology Fund (ETF). So far, EMBLEM substantially contributed to the creation of a more entrepreneurial mindset among research staff of the partners and generated additional revenue for its partners through valorisation activities. Copyright CERIM Country reports Annex Page 57

58 6. CONCLUSION The Federal Government supports innovation in particular through the implementation of its High-Tech Strategy for Germany. On the national level, two important initiatives are Entrepreneurial Region and EXIST. A number of national programmes concerning RTT are implemented on the regional level, however not in all considered regions. Some of them are e.g. not active in Saxony. Most documents on the regional level relate to the innovation policies and basically create programmes, which include some sort of financial aid (mainly funding). It is interesting to note that the majority of mentioned documents are rather recent, not older than 3 years. Furthermore, an interesting component of programmes in all three regions is the support of entrepreneurial culture. The funding provided by national as well as regional innovation initiatives is focused mainly on SMEs, entrepreneurs and other research institutions, mostly academic. Grants vary from non-repayable ones to those being conditional repayable, but are also often found as a mixture of both types. The directives are aiming mainly at covering staff costs, e.g. for the recruitment of innovation or marketing assistants, but also R&D costs, external services, material expenses or costs occurring with the registration of inventions. In some innovation programmes the duration of participation is limited to a certain amount of months or years. The shortest limited funding period identified was 18 months, the longest restriction ten years. Especially those directives providing a high funding amount have a longer maximum duration of participation than those with lower grants. The highest possible funding of up to 2.5 million is offered by the Holding of the GENIUS Venture Capital GmbH in MV, the Equity Holding for Innovations and the L-EA Venture Funds in BW, all of them having a maximum funding period of ten years. Regional programmes, which are not implemented in connection with a holding, support SMEs, entrepreneurs or research institutions with a grant of in general between 100,000 and 300,000 and/or a maximum specific percentage of the eligible costs in general lying between 50 and 100 percent. Moreover, several policy-related framework conditions influence the RTT situation, especially those concerning legislation and regulation. The German government is continuously working on improving the conditions for SMEs by changes in national laws and the implementation of national innovation programmes. RTT models were not identified in every of the three considered regions, but in MV and BW it is clearly visible that RTT is part of the regional efforts. There, both company- and university-based TT models are aiming at improving knowledge and technology transfer from universities to business on a regional level. Companies that were established by universities or that unite several universities implement TT models as well as foundations, business incubators and business parks. The five RTT models presented in this report in more detail are inno AG, PVA-MV, the Centre of Research Support of the Ernst Moritz Arndt University of Greifswald, the Technology Licensing Office of the higher education institutions of Baden- Württemberg GmbH, and EMBL Enterprise Management Technology Transfer GmbH. Interestingly, all partners in the three regions stated that there exists no coordination platform that coordinates all the main actors in the region and manages their innovations policy. However, interrelations of bridging institutions were identified in all three regions. There, these institutions cooperate with each other, e.g. in case of the Karlsruhe Institute of Technology (KIT) merging the University of Karlsruhe with Copyright CERIM Country reports Annex Page 58

59 the Research Centre Karlsruhe and in case of a triple helix in MV, where public research organisations, public bodies and private companies work together. Even if there are still challenges remaining referring to the current RTT situation in the regions MV, BW and Saxony, Germany nevertheless seems to be in a good initial position for further efforts concerning future TT policy. Copyright CERIM Country reports Annex Page 59

60 Hungary Central Hungarian Region COUNTRY REPORT HUNGARY Central Hungarian Region Copyright CERIM Country reports Annex Page 60

61 1. DIRECTORY 1. Directory Abbreviations Introduction National and regional key facts Overview of the policy environment National and regional RTT situation Innovation initiatives and their implementation Advisory bodies and implementing institutions Framework conditions of RTT Legislation and regulation Grants and Funds Cultural and social attitudes Overview of RTT models Conclusion ABBREVIATIONS CHR NKTH MTA IPR SME RTT NIS KKK RET Central Hungarian Region National Office for Research and Technology (Nemzeti Kutatási és Technológia Hivatal) Hungarian Academy of Science (Magyar Tudományos Akadémia) Intellectual Property Rights Small or Medium Enterprise Regional technology transfer National Innovation System Cooperative Research Centre (Kooperatív Kutató Központ) Regional University Knowledge Centre (Regionális Egyetemi Tudásközpont) Copyright CERIM Country reports Annex Page 61

62 3. INTRODUCTION This report is to summarize Hungarian regional technology transfer (RTT) situation with a special emphasis on the Central Hungarian Region (CHR). The basis of this document is the filled-in questionnaire of Work Package National and regional key facts Technology transfer related data of Hungary and the Central Hungarian Region: Hungary Central Hungarian Region (no. and percent of Hungary) Socio-economic data Population (in 2008) (28,8%) Education (by ISCED) (in 2006) - ISCED 0 ( Pre-primary education) - ISCED 1 (Primary education) - ISCED 2-3 (Secondary education) - ISCED 4 (Post-secondary non-tertiary education) - ISCED 5-6 (Tertiary education) ISCED 0: ISCED 1: ISCED 2-3: ISCED 4: ISCED 5-6: ISCED 0: (27,2%) ISCED 1: (25,8%) ISCED 2-3: (25,9%) ISCED 4: (35,9% ) ISCED 5-6: (42,6%) Unemployment (in 2007) (7,4%) (4,7%; 2% of Hungary) Main industry (in 2004) Services (excluding extra-territorial organizations and bodies) Services (excluding extra-territorial organizations and bodies) GDP in EUR (in 2006) EUR EUR (47.2%) GDP per capita in EUR (in 2006) EUR EUR Expenditures on R&D GERD: 977,5 EUR (in 2007) R&D intensity (Percentage of GDP): 0.97% (in 2007) Technology transfer data Number of universities/colleges (in 2009) Number of students (tertiary education) (in 2006) Human resources in science and technology (in 1.000; in 2007) European Patent Office applications (in numbers) (in 2004) Total: 77 Universities: 27 Colleges: 43 Others: 7 GERD: 617,1 EUR (in 2006) (68.5%) R&D intensity (Percentage of GDP): 1,37% (in 2005) Total: 43 (55,8%) Universities: 17 (63 %) Colleges: 22 ( 51,2%) Others: 4 (57,1%) (42,6%) 1585,1 679,9 (42,9%) Per million of inhabitants: 15,1 High-tech patents (all): 27,3 ICT patents (all): 34,4 Biotechnology patents (all): 34,4 Per million of inhabitants: 38,6 High-tech patents(all): NA ICT patents (all): NA Biotechnology patents (all): NA Copyright CERIM Country reports Annex Page 62

63 The distribution of GERD in Hungary is differing form that of the EU- 15 s: in Hungary the rate of governmental aid almost reaches 60% in comparison with the almost 40% of EU-15 s which means a very low ratio of business resources. Strategic indicator, R&D/GDP ratio is targeted for 2013 to reach 1,8% out of present 1,1% (in 2008 the ratio was 0,97% what indicates a positive tendency). Early VD/GDP is targeted to reach 0,006 out of present 0,004. CHR is an autonomous part of Hungary. Including the capital, Budapest, this region is the most developed part of Hungary, where the highest GDP is generated, most of the universities and TTO organizations are located and most of the R&D expenditures are taken place. CHR covers only 7,4% on Hungary territorially but 28,8% of the population lives here creating 47,2% of total Hungarian GDP. There s a significant difference between the R&D and innovation capacities of Hungarian regions too: 2/3rd of R&D resources and 42% of R&D centers are concentrated in the CHR. Even though the economic indicators are the highest in this region, a distortion occurs in the adjudication if we consider the fact that Budapest is far more developed than the other parts of the region Overview of the policy environment The RTT policy is created mostly by the Ministry for National Development and Economy, Ministry of Transport, Ministry of Education and Culture and the Hungarian Academy of Sciences. These actors fixed the main guidelines of RTT policy in Hungarian Government s Mid-term Science, Technology and Innovation Policy Strategy for This and other national and regional strategies are supported by operative programs, which are implemented in action programs. All three policy levels have institutional background in national regional level too. Even though there is an effort on materializing the coordination, there are a lot of fragmented programs which rarely strengthen each other s impact which causes problems in the cohesion. The responsible institute for TT related policy implementation is mostly the National Office for Research and Technology (NKTH) and National and Regional Development Agencies at Operative Programs. NKTH plays a key role in the Hungarian NIS. In it s strategy we find the endeavor of participation in the coordination but it is not working on a satisfying level. The most important coordinating role of NKTH and connecting institutions is the implementing role, where a strong cohesion is needed. The main responsible for the coordination was the Minister without portfolio for Research and Development whose mandate was withdrawn in April The innovation tax is a unique solution for financing innovation, as it serves to inspire R&D, the university-industry cooperation, other funding, and gives extra-profit to R&D financing system. The tax oppresses medium and large enterprises and can be reduced for those who practice R&D by the amount of R&D expenditures. The recent and most important RTT models in Hungary can be divided in three main models according to the situation of TT activities in the model: in university TTOs, the relating offices are placed at the universities, meanwhile in private incubator firms, TT is a for-profit activity. In Cooperative Research Centers (KKKs), Regional University Knowledge Centers (RETs) and TT firms, spun out of universities are partly in universities and partly in the hands of private firms. Copyright CERIM Country reports Annex Page 63

64 4. NATIONAL AND REGIONAL RTT SITUATION 4.1. Innovation initiatives and their implementation The most important policy of the Hungarian TT is laid down in the Hungarian Government s Mid-term Science, Technology and Innovation Policy Strategy for (adopted in 2007) which defines the nation-wide priorities, focusing on goals and objectives. The purpose of the research and development strategy is that the Hungarian economy should be set on a new development track in order to become, in the medium term, an economy which is led by knowledge and innovation. The main aim is to create competitive start-ups and spin-offs, to have a strong R&D basis and to minimize regional discrepancies. Key technological areas are the IT technologies, life-sciences and biotechnology, medical equipment, material science and nanotechnology, environmental technologies, energy-saving and regenerating, alternative source technologies. Numeric goal-indicators are fixed: The R&D expenditure ratio has to reach 1:1 (companies : government - 1,8% : 1,8%), meanwhile the governmental expenditures stay at the same level as present. This means that a company expenditure of 800M EUR is needed. More general governmental programs like New Hungary Development Plan are also pointing TT: by concentrating EU funds, utilization of R&D results is taken place. The Plan consists of several Operative Programs of which one is concentrated on the CHR (Central-Hungarian Operative Program for ). CHR has it s own strategic plan (Strategic Plan of the CHR, 2005) too due to the fact that in CHR the GDP exceeds 75% of the average GDP in EU, so it cannot be supported by operative programs financed by EU structural funds. Strategic goal is to define the directions and priorities of the region. National Strategic Reference Framework (NSRK) too to define the position of the region in the system of national planning. One of the main goals of NSRK is the enhancement of economic competiveness of the region. Along the mid-term strategy, Science, Technology and Innovation Policy Action Plan (part of National Action Plan) sets up the specific tasks for two-year periods. This will require concerted efforts supporting the emergence of an innovation-friendly legal and economic environment. These efforts of implementation are coordinated by the National Development Agency which has Regional Development Agencies so as to operate implementation in the different levels. In regional level, Central Hungary Region Regional Development Council creates action plans to support R&D tenders, technology parks and entrepreneurial innovation. In 2008 CHR Operational Action Plan for was created to fix guidelines in reaching competitiveness and cohesion between the different actors. The goals are: market-orientated R&D activity, cooperation of R&D and technology, development and reinforcement of research centers, supporting of innovation and technology parks, innovation clusters, inspiration of entrepreneurial innovation, enhancement of R&D profile of companies, etc Advisory bodies and implementing institutions In the past two decades the RTT strategic planning, policy co-ordination and implementation at government level have been subject of frequent change and constant re-organization in Hungary. RTT related strategic planning is integrated into the Ministry for National Development and Economy. Frequent changes are characteristic for institutional environment of RTT governance. The most recent change is that the position of the Minister without portfolio for Research and Development, which was assigned in May 2008, has been withdrawn in April Copyright CERIM Country reports Annex Page 64

65 Present organizational structure of RTT central governance can be characterized with the following types of responsible institutions in Hungary (without thematic focus): A. Science Councils (with advisory role) The Science and Technology Policy Council (TTPK) (from 2003) the highest-level consulting and coordination body on science, technology and innovation (STI) inside the government. The Council is responsible for evaluating conception issues, discussing preparatory documents on policy decisions submitted to the Government, coordinating STI policy measures and facilitating their implementation. It is chaired by the Prime Minister, and vice-chaired by two ministers (Education & Culture and Economy & Transport) and by the President of MTA. The Research and Technological Innovation Council (KUTIT) was established in This body is working in close cooperation with the National Office for Research and Technology (NKTH) The Council s main responsibility is to make strategic decisions on the use of the Research and Technological Innovation Fund. It consists of senior government officials (delegated by the relevant ministries) and members (including the chairperson) from business and academia. B. Ministry level The National Office for Research and Technology (NKTH), a self-sustaining governmental office has key role in developing and implementing Hungary s science, technology and innovation policies. It is responsible for the drafting of R&D and innovation programs, for managing international R&D co-operation on behalf of the government and for the monitoring and analyzing the impact of R&D activities (strategic planning, impact analysis, building and maintaining innovation databases). NKTH has a key role in related actors coordination connecting institutions is the implementing role, where a strong cohesion is needed. NKTH reports directly to the government, Its president and vice-presidents are appointed by the Prime Minister. NKTH coordinates the work of the Regional Agency Network (harmonizes Regional Innovation Agencies activities). Ministry for National Development and Economy (NFGM): The ministry operates a number of innovation policy measures and supervises the government offices responsible for quality management, IP, standardization, metrology, energy and consumer protection. On behalf of the government the Minister supervises the NKTH. Ministry of Education and Culture: The Ministry is in charge of the formation and implementation of science and education policies. It supervises the whole public education system from elementary schools to universities, so it has a wide responsibility in facilitating appropriate education for the human resources for innovation. Its activity is supported by the Higher Education and Research Council (FTT) advisory body. Copyright CERIM Country reports Annex Page 65

66 C. Financing and implementation agency The Hungarian Economy Development Centre (MAG Zrt.) is handling administrative management of all grant schemes and contracts financed by purely national sources or by the EU Funds in relation to economic developments (mainly for applied research) from 2007 on. National Development Agency (NFÜ): Operating under the supervision of Ministry of National Development and Economy, this government agency was established in order to undertake long-term and mid-term development and planning related tasks, develop plans and operational programs required for using financial assistance granted by the European Union and set up the institutional system required for the use of these. The Agency is responsible for New Hungary Development Plan. D. Other organizations in policy formulation Hungarian Academy of Sciences (MTA) is a self-governing public body with a history of 250 years. It has a high degree of autonomy in scientific, political and financial respects. Basic research financing is shifting significantly in the direction of MTA. The president of MTA reports to the Government (every year) and to the Parliament (every other year) on the state of art in STI in Hungary. Its budget is appropriated by the Parliament. Hungarian Patent Office (MSZH), established in 1896, is the government organization in charge of intellectual property protection. It is supervised by the Minister of Justice and Law Enforcement. MSZH s functions include, inter alia, (1) the official examinations and procedures in the field of industrial property, (2) preparation and implementation of the Government's strategy for the protection of IP; (3) suggesting and implementing policy measures in relation to its mission, and (4) performing international and European co-operation in the field of intellectual property protection. E. Regional level Public institutional system is formed by NKTH in cooperation with the seven Regional Innovation Agencies which provide implementation in the national and regional level. CHR Regional Innovation Agency fulfills this role in CHR being a part of RIÜNET, the network of RIÜs. The decision maker institutes in regional level are Regional Development Councils being responsible for operative programs. CHR Regional Innovation Agency: examinates and analyses the processes in the region elaborates a program and planning system harmonizing with EU goals satisfies the professional needs of the actors in the region (the clients) provides public information (with added value if necessary) supports the Central-Hungarian Regional Development Council and Board in decision-making constant expansion of the scope of activities handles conflicts by finding common goals with the actors establishes e-office The Agency plans, manages programs, provides the administrative and organizational background, helps in handling conflicts, provides information. Copyright CERIM Country reports Annex Page 66

67 5. FRAMEWORK CONDITIONS OF RTT 5.1. Legislation and regulation Key framework objectives in legal framework are deregulation and diminishing bureaucracy. At regional level bottom-up initiatives are important and decentralized operation. The most important Act that has to be mentioned is the so called Innovation Act (Government Act CXXXIV of 2004 on R&D and technology innovation) which lays down the general framework for R&D and innovation activities, where implementing institutions are established, goals of the Hungarian NIS are settled and market-entry facilitating measures are prevailing. Government Act XC of 2003 about Research and Technology Innovation Fund (KTI Fund) sets the basis of a new fund with the aim of creating strong background of R&D an technology innovation activities, including bridge-making activities, establishment of innovation networks, developing regions, improve the education of innovation-related manpower. These acts are completed by modifications and education-related acts Grants and Funds Governmental support for the innovation chain plays a very important role in Hungarian NIS. It consists of targeted support schemes for collaborative innovation (companies with academic partners), R&D Tax relief, R&D FDI promotion and international cooperation. The two main Funds for national development are structural funds and innovation funds. Former type consists of European Union resources and needs an important amount of retention. The Operative Programs are financed by these structural funds. innovation funds are financed mostly by the innovation tax and are appropriated to regional and non-regional tenders, such as Jedlik program and Innotett program. The basic research funding organization in Hungary is the Hungarian Scientific Research Fund (OTKA). It is an independent grant agency, financed from central budget with a strong focus on basic research. It finances also infrastructural development of research infrastructure. The annual budget of 2008 was 20M EUR. KTI Fund is a public grant established to support technology innovation owner companies financed by the central budget, by the redistribution of the Innovation Tax (company levy) which oppresses medium and large sized enterprises. These companies registered in Hungary pay mandatory innovation contribution (0,3% of their adjusted net turnover) (Micro as well as small enterprises are exempt from paying a contribution.) Hungarian Government contributes to the Fund at least an equal amount with two years shift. Direct R&D expenditures, both intramural and ordered from public R&D units, can be deduced from the contribution. Copyright CERIM Country reports Annex Page 67

68 The KTI Fund is elaborated and operated by NKTH. The structure of the measure depends on the program. Amongst others, Regional Programs are the most relevant regarding TT: 25% of KTI Fund should be used for regional innovation purpose. The most recent regional program is Baross program for research consortia. The regional programs are determined mainly by the regions itseves by the regional innovation agencies. Former establishment of Cooperative Research Centers (KKKs, in 2001 and 2004) and Regional Knowledge Centers (RETs, in 2004) were financed by Innotett grant which was due to the Hungarian Government. These TT models were university TTOs concentrating consortia around a theme. Overall financing consists of institution financing (for HEIs and for MTA), program financing (for basic research (OTKA Fund), applied research (KTI Fund) and applied R&I (GOP financed) and EU RTDI Programs financing (FP7 and CIP). These resources are not harmonized in a satisfactory level Cultural and social attitudes Attitude about IP is quite confused in Hungary. As for individual inventors and researchers they have a critical industry orientation and lack of entrepreneurial spirit. Meanwhile universities take patents as results of their activity even if they cannot be commercialized on the market. The main problem that exists in the cooperation of the universities and the industry is the difference between priorities and motivations. Universities don t facilitate utilization of innovations and the barriers haven t been demolished by administrative nor juridical tools. This leads to a mal functioning research exploitation as the lack of entrepreneur spirit and motivation reflects in RTT. Most of university scientists don t start a spin-off firm as they contemn those who do business out of science. There are significant differences between the motivation of science and industry: scientists want freedom of research, scientific excellence and measure success in number of publications, fame or Nobel Prize. Meanwhile industry wants to create new products and product lines, gaining a significant market share with interesting profit. There s still a fear of steal of their IP from the part of scientists and they don t trust in economic actors. Another false attitude is the disapproval against transmitting actors believed as sponges in the system. In Regional Development Councils the representatives of a region have only voted a bigger amount of financing if another region had the same even if they didn t have the exact need. Copyright CERIM Country reports Annex Page 68

69 6. OVERVIEW OF RTT MODELS In WP3 questionnaire all TT models were mentioned which exists or existed from 2001 in Hungary. Here we use a different classification which may show a clearer picture on Hungarian NIS. In 2001 and 2004 Cooperative Research Centers (KKKs) and Regional University Knowledge Centers (RETs) were formed which led to university-industry cooperation based consortia working on previously defined scientific themes. Their financing has been stuck so they cannot be mentioned as existing TT models. Regional Innovation Agencies (RIÜs) are Public-Private partnerships, where the institutes are funded and operated through a partnership of government and one or more private sector companies. RIÜs are state-owned institutes situating between the academic and economic sphere (universities and SMEs) formed by private of PPP based incubators and innovation centers. Recently there are three main TT models in Hungary: 1. University TTOs: There are purely academic institutions working in almost all of Hungarian universities. Their main activity consists of the creation of project regulations so as to assure IPR protection within the university s doors. This has been unregulated before, and major focus shifted in the direction of process development (with patenting procedures, royalty regulations, coordination of innovation tax and Cooperative Research tasks and technology assessment.) They survey university innovation capacities being mostly administrative organizations for official tasks. If a university TTO fulfills all tasks relating to regulations and education, there will not be resources left for project scouting. The main problem is the fact that project assessment can only be done in a critical mass of projects: all projects have to be seen together to make a professional comparison and evaluation. In university TTOs there are no business development professionals with a for-profit approach. 2. Entities between state-owned research institutes and industry: whether the industrial partner has an option in the model or not, the system s main idea is to outsource the TT-related activities from MTA research center or the university to have professional help in TT. The problem emerges from the fact that research centers and universities have a very slow decision-making system, which leads to malfunction in the model. RETs and KKKs were also working with the same idea. An example of this model is Albanano, a cooperative nanotechnology-related organization between MTA, Chemical Research Centre, Institute of Experimental Medicine and Research Institute for Technical Physics and Materials Science. The TT related issues are fulfilled by all MTA-related partners creating a lack of cohesion in the system. 3. Independent, private TT companies are for-profit consultancy firms helping in commercialization of technology innovations, providing TT services (project selection, utilization, etc.) In Hungary, ValDeal was the first to develop a range of innovation management services comprising every element of the innovation chain from the analysis of the viability of the concept or prototype through sales of the first market-ready products, and on to the thorough planning of a firm's future expansion. ValDeal intends to respond to the consequent demand of innovation market by Copyright CERIM Country reports Annex Page 69

70 providing complex innovation management services to various players in the market such as universities, research institutes, small and medium enterprises and individual inventors. ValDeal uses the following parameters to classify projects in the appropriate stages of the innovation cycle (pre-incubation, incubation, business acceleration) and customize its services to the individual project. The main advance of ValDeal model is the consciousness in project selection which leads to a more effective project competition than random selection. Copyright CERIM Country reports Annex Page 70

71 7. CONCLUSION In CHR and Hungary the situation of RTT is determined by a young and constantly changing NIS environment. The main problem on national level is the lack of coordination as the mandate of the Minister without portfolio for R&D has been withdrawn this year. This led to a situation where the issue of R&D&I is not represented on the highest level, only by NKTH. In Hungarian NIS responsibility and scope of action is not well defined and financing structure is often overlapping as Structural and Innovation Funds have a lot of similar elements. CHR is unique between the Hungarian regions as it is the most developed part of the country. Nevertheless economic indicators are the highest in CHR, a distortion occurs as Budapest and it s agglomeration is far more developed than the other parts of the region. The regionally financed Baross program is allocated to the regions as to individuals: direct interests of local rings are reflecting in the regional tenders and their consideration. The problem could be solved by independent judges (for ex. specialists from other regions) to adjudicate the tenders of a region which is not the case in Hungary. RTT is very poor in Hungary: the organizational structure of university TT is varying which leads to regional TT differences which is not visible due to the fact that the system is only in the phase of infancy. In Hungary there s a huge potential for good RTT but recently the institutional background is not satisfactory. We have highly skilled scientist at reasonable cost, strong academic/university background, strong traditions in pharmaceutical sector, considerable results in basic research, large number of welltrained graduates, subsidies on patenting and a relatively good R&D Grant system. Meanwhile a critical mass of innovation projects have to be considered together to create an effective approach: recently all actors work separately which leads to a lack of coordination in the system. Recent changes happened in university-industry relations, where concrete demands and tasks are articulated by businesses and the economy. In university-state relations, there are changes funding as industrial utilization became an expectation of funded projects. In case of universities the assessment of business indices play a key role (revenues, number of spin-off companies) these changes indicate a positive change in attitudes too. Copyright CERIM Country reports Annex Page 71

72 Italy Lombardia COUNTRY REPORT ITALY Lombardia By Eurogroup Consulting Copyright CERIM Country reports Annex Page 72

73 1. INTRODUCTION 1.1. National and regional key facts Country Region Socio-economic data Italy Lombardia Population (16 %) Education (by ISCED) - ISCED 0 ( Pre-primary education) Tot (12%) (15%) - ISCED 1 (Primary (15%) education) - ISCED 2-3 (Secondary education) (9%) - ISCED 4 (Postsecondary (7%) non-tertiary education) (12%) - ISCED 5-6 (Tertiary education) Unemployment (10%) Main industry Services (trade, credit, other Services (trade, credit, other services) services) GDP in eur (mio ) (21%) GDP per capita Expenditures on R&D - GERD (21%) - R&D intensity (GERD/GDP) 1,09 % 1,12 % Technology transfer data Number of universities Number of students (tertiary education) (12,7%) Human resources in science and 9491 (in 1.000) (in 1.000) technology (in 1.000) 20% European Patent Office applications (in numbers) - Data per mio inhabitants 61, Total data High-tech patents Total data ICT patents Total data Biotechnology patents Copyright CERIM Country reports Annex Page 73

74 The economic context of Lombardia Region is quite different from the Italian context. With specific reference to innovation & tech transfer context, the performance of Lombardia is significantly higher than the other Italian regions, Lombardia produces about the 20% of the whole Italian GDP, one-third of the total high tech patents, almost one-two of the total patents in the field of biotecnologies. The following analysis is based on the European Innovation Scoreboard (EIS) On the basis of the Scoreboard Innovation Index (SII), Italy is below the EU27 average (0,354 vs. 0,457) and the rate of improvement is also below that of the EU27. Relative strengths,compared to the country s average performance, are in Finance and support and Economic effects and relative weaknesses are in Human resources, Firm investments and Linkages & entrepreneurship. Over the past 5 years, strong growth has come from Human resources, and Finance and support and Throughputs have also been the drivers of the improvement in innovation performance, in particular as a result from strong growth in S&E and SSH graduates (8.8%), S&E and SSH doctorate graduates (22.7%), Broadband access by firms (18.6%) and Community trademarks (4.7%). Performance in Firm investments has not improved and performance in Innovators and Economic effects has worsened, in particular due to a decrease in New-to-market sales (-7.8%) and New-to-firm sales (-5.3%). Lombardia represents largely the best performer Italian region; on the basis of the Regional Scoreboard Innovation Innex (RSII) 54, it s about 30% over the Italian average. The strengths concern key factors such as labour productivity ( 26% higher of average) and private investments in R&S (50% higher) Overview of the policy environment The governance system has been traditionally characterised by the presence of many policymaking entities operating without any effective coordination platform. The recent reform, dealing with the allocation of power among State and Regions 55, has achieved the autonomy of Regions in policy making. Referring to Lombardia Region, the strategy of supporting innovation & tech transfer is based on four key points: To promote specific measures for public research, mainly through the following regional programmes: the Regional Operative Programme (POR) and the Regional Law for Competitiveness (January 2007). To put the majority part of the regional funds on the 5 regional metadistricts (Green Biotech, Red Biotech, Design, Fashion, New Materials). To provide regional schemes of financial support for the spin off and start up companies, through the Regional Seed Fund managed by Finlombarda. To develop an assessment system of the R&D quality. 54 The RSII index comes out from the annual analysis realized by FILAS, that is the Financial Instituion of Lazio Region. 55 Reform of Title V of the Constitution in 2001 and its application through the Law 131/2003. Copyright CERIM Country reports Annex Page 74

75 2. NATIONAL / REGIONAL RTT SITUATION The RTT policy context can be represented as a multilevel system based on a National Level and a Regional/Local level. At the National level, we find: the National Strategic Framework (QSN) , that identifies the general priorities for policy makers; the specific National Programmes, that decline the above mentioned priorities into specific themes. The two main specific National Programmes concerning I&TT are: - Industry 2015, focused on specific key themes such sustainable energy and biotechnologies. It uses the national Fund for Competitiveness; - National Operative Programme (PON) Research , focused on trasnregional projects involving the Southern Regions. - At the Regional/Local level, in Lombardia Region we can underline: the Operative Regional Programme (POR) FESR , that declines the QSN priorities and defines the following four strategic objectives: - improving competitiveness through developing of research and innovation - reducing emission of carbon dioxide through promotion of renewable energy and improving of energetic efficiency. - Promoting sustainable mobility - Improving attention for the region, with particular focus on cities, environment and cultural promotion - to use their own funds, more independtly from the national guidelines. This level deals with the Regional Law for competitiveness. the Regional Law for competitiveness (January, 2007), that deals with the own choices of Lombardia Region, in coherence with the specific needs characterizing the territory. 3. FRAMEWORK CONDITIONS FOR RTT 3.1. Legislation and regulation: The main law concerning R&TT in Italy is the Code for Intellectual Property (Act n 30/2005). It provides for: - the efficiency of the industrial property matter; - the harmonisation of national and european acts; - the enlargement of the protection for industrial property. The Intellectual Property Rights of the inventions coming out from Universities are shared by researchers (from a minimum of 50% to a maximum of 70%) and the University in which they operate (from a minimum of 30% to a maximum of 50%). Copyright CERIM Country reports Annex Page 75

76 3.2. Cultural and social attitudes The key issue concerning the Italian R&D context is the complex relationship between Universities and SMEs. On one hand, the Italian Universities had been used for many years to finance their activities through public funds, that weren t linked to the impacts of public research on the markets. On the other hand, the small enterprises, that represent the majority part of the Italian productive system, hadn t got either funds to finance R&D programmes or effective strategies to work with Universities. The two mentioned factors have partially obstructed the cooperation between Academic bodies and SMEs.The effectiveness of the mentioned cooperative mechanism has been recently improved through the European and National funding schemes for R&D, that provides for public grants up to the 80% of the total investment in the case of joint initiatives coming from SMEs and Universities. At the EU level, we can refer to the 7 th Framework for R&D; at the National Level we can refer to the Industria 2015 Programme; finally, at the regional level, we can refer to the Regional Operative Programme of Lombardia Region Institutional settings The two most relevant institutions that have been recently created in Italy are the National Agency for the Evaluation of University and Research ANVUR (2007) and the National Innovation Agency. ANVUR has been established in order to evaluate the results of the research activities carried out by universities and research centres. The National Innovation Agency will be in charge of the evaluation of the innovation projects announced in the document Industria OVERVIEW OF RTT MODELS The first key element of the Lombardia context is the presence of about 350 public and private R&D centers 56. The majority part of the mentioned R&D Centres operates in three sectors: ICT (86), Red Biotech (83) and New materials (81). The second key element is the presence of 12 mediators of research. 10 of these 12 actors are Technology Transfer Offices recently established by Universities and Scientific Institutes of Admission and Care (IRCSS). Following a panel of the mediators of research operating in Lombardia region: 56 Source: Regional knowledge platform QUESTIO - Quality Evaluation in Science and Technology for Innovation Opportunity. Copyright CERIM Country reports Annex Page 76

77 University of Milan: Unimitt - Center for innovation & tech transfer. The key elements characterizing Unimitt are the size of the portfolio (140 patents - 30% already sold; 24 spin off companies 19 still active), the role of the Observatory for tech transfer trends, that monitors the emerging technologies and supports the elaboration of the plans for the research valorisation, the activity of Filarete, a Foundation participated by the University of Milan and by two banks, that is focused on funding start up companies coming out from the University. Activities: Scouting & Assesment of research projects; negotiations for research contracts; licensing of Intellectual Property; management of Material Transfer Agreements and Animal Transfer Agreements; support for spin off processes and creation of joint ventures Politecnico of Milan: Politecnico Foundation. Activities: Intellectual Property Management; support for spin off processes. The key elements characterizing Politecnico Foundation are the synergies with the Acceleratore d impresa, controlled by the Politecnico Foundation itself, that is an Incubator focused on supporting start up companies and the creation of a Company, that is focused on the management of licenses San Raffaele Hospital: OBT - Office of Biotechnology Transfer Activities: Scouting & Assessment of research projects, negotiations for research contracts, licensing of Intellectual Property, management of Material Transfer Agreements and Animal Transfer Agreements, support for spin off processes and creation of joint ventures. Founded in 1992, OBT can be considered an original model in the Lombardia context. First of all, being participated by private shareholders, the annual activity is assessed on the basis of the economic results (mainly, the revenues coming out from licenses and from other deals with pharmaceutical and biotech companies). Secondly, referring to the specific tech transfer tools, OBT has created a network of technology brokers specialized in the life science sector, active in the major biotech and pharma clusters and science parks. These brokers promote the patents and the research projects coming out from the San Raffaele Hospital and gather contacts and alliances with pharmaceutical companies University of Bergamo: Scientific Research & Technology Transfer Office Fund raising for national and European calls for proposals, support for the implementation of European projects. Copyright CERIM Country reports Annex Page 77

78 5. CONCLUSION Referring to the governance of the national R&D system, we can identify three key challenges for the next future: 1) Funding of R&D projects At the National level, the more relevant initiative is the creation of the National Fund for Innovation, managed by the Ministry for Economic Development. It promotes the participation of Venture Capitalists and other financial players to spin off companies and tech transfer projects. Lombardia region has adopted both public measures, among which the Seed Fund created by the Regional Administration and private initiatives, among which the Seed Fund managed by FIlarete Investimenti spa. The results of the above mentioned policies can be evaluated in the mid-long period. 2) Mobility of talents At the regional level, Lombardia and the National Council for Research (CNR) have recently promoted the Mind in Italy project ( that aims at funding the research projects proposed by 140 young researchers. 3) Improvement of technology transfer mechanisms to reduce the existing gap between research and the market. At the national level, the Government has adopted some measures to improve the technology transfer processes: the introduction of a tax system encouraging the cooperation with research institutions; the refunding of the Network for Technology Transfer - RIDITT; the promotion of public-private partnerships. On its side, Lombardia region has promoted many initiatives in the field of technology transfer: The upgrade of the regional data base QUESTIO; a survey of the organisation of TTOs, through a field analysis that will involve 12 regional bodies; the promotion of joint co-operation platforms with other Italian regions; the submission of a partnership agreement with the Ministry of Economics and of University and Research finalized to the growth of the Regional Research Centres. Moreover, it has allocated a relevant part of the POR FESR funds to the financing of I&TT. In particular, the budget line provides grants for R&D investments and the budget line supports the development of Regional Centres of Competencies. Copyright CERIM Country reports Annex Page 78

79 Poland West Pomerania COUNTRY REPORT POLAND West Pomerania 1. Copyright CERIM Country reports Annex Page 79

80 INTRODUCTION 1.1. National and regional key facts Socio-economic data Poland West Pomerania Population (4,44% of Poland) Education (by ISCED) - ISCED 0 ( Pre-primary education) - ISCED 1 (Primary education) - ISCED 2-3 (Secondary education) - ISCED 4 (Post-secondary non-tertiary education) - ISCED 5-6 (Tertiary education) Unemployment (4,51% of Poland) Main industry Production stuffs/ energetic stocks Shipbuilding and energetic industry GDP in mln EUR , ,2763 GDP per capita in EUR 7300,86 Expenditures on R&D mln EUR - GERD - R&D intensity (GERD/GDP) 1512,565 0,006 20,945 0,002 Technology transfer data Poland West Pomerania Number of universities* 37 2 Number of students (tertiary education) Human resources in science and technology (in 1.000) European Patent Office applications (in numbers) - Per mio inhabitants - High-tech patents - ICT patents - Biotechnology patents Statistics not available * Polish tertiary education system establishes universities, technology universities, academies, colleges; the table contains only the number of national and regional universities. Regional economy does not make a full use of development opportunities coming from its location. The tempo of the economy growth is much slower than in the other Polish provinces. Importance of West Pomeranian economy for national economy has significantly decreased. It is caused by failure of sea industry. Copyright CERIM Country reports Annex Page 80

81 There are only two agglomerations with high level of industrialization Szczecin and Koszalin cities. It means that economy sources are unequally located. Almost a half of territory with rural character - could be recognized as a poor developed areas. Zachodniopomorskie is considered as a province with high level of unemployment which seems to have structural character. In the economy structure there is a domination of service and trade enterprises. Development of IT sector is similar to the other Polish regions there are few companies that cooperate with worldwide actors of the branch. The chart above presents a socio-economic data for West Pomerania and Poland Overview of the policy environment There are few main policy documents at the national level, such as: National Strategy for Cohesion, National Program of Reforms in favour of Lisboan Strategy realization, Directions on Polish economy innovation increasing ( ) and National Development Plan These documents focus on competitiveness, innovation, and knowledge-based economy. Creation of the optimal conditions for growth of the company competitiveness and innovation is based on them. Documents at the regional level for West Pomeranian Voivodeship are Regional Innovation Strategy, Strategy of region s development up to 2020, and Regional Operational Programme The aim of these documents is to create better conditions for forming knowledgebased economy with education, science and development of the information society as its main pillars, what would lead to increase of the regional competitiveness and innovation. In accordance with the current EU financial perspective, the regional operation program identifies 8 priorities, including Economy Innovations Technology and Development of the information society. At the national level, the Ministry of Economy and the Ministry of Science and Higher Education, and to some extent the Ministry of Regional Development, are key institutions for policy-making, together with the national Parliament. These institutions are advised by Council of Science in Ministry of Education and Science and by Council of Science and Technology Development of Prime Ministry. At the regional level, Regional Board of Science, Technology and Innovation focuses on innovating regional policy and technology, the transfer of the knowledge, supporting organizations, institutions and regional government by programming, advising and recommending some plans and projects connected with West Pomeranian innovations, in accordance with regional strategies and programs. Implementing institutions at the national level are Polish Academy of Science which provides with advice in the area of science and making the education law, and The Polish Agency for Enterprise Development, which is governmental agency - subordinate to the Ministry of Economy. It focuses on providing with funds and supporting SMEs, especially by reinforcing entrepreneurs while developing their R&D activities. It also supports the investment projects with regard of the application of the new technology product, service or organizational solutions. What is more, it offers a support in the range of IPR protection, a support for innovative development of the enterprises, including strengthening the cooperation between science and business, as well as the interregional development of the voivodships in the East of Poland. Finally, it supports the projects aimed at the improvement of the service quality rendered by the organizations supporting enterprise development. HEI and Research and Copyright CERIM Country reports Annex Page 81

82 Development Units in Poland also try out the programs set by government. West Pomeranian Regional Development Agency and West Pomeranian Voivodship Board are the key actors in the region. They are in charge of the Regional development of the enterprise, SMEs support, and more general regional development. At the regional level Regional Board of Science, Technology and Innovation established by West Pomeranian Voivodeship Board as a part of realization of Regional Innovation Strategy serves as managing and coordinating body. Measures for RTT in Poland are tax-incentives and guarantees. The Innovation support act in 2005 offered tax incentives for Business and research communities. Thanks to this act, the Increase of R&D investments, cooperation between research and business, the number of people employed in R&D, and the number of patents is expected. Other guarantees and credits offer financial support for business (mainly SMEs) and/or research organizations, as well as bridging institutions. The programs address financial support for the investment for equipment and improvement of infrastructure, creating new jobs and increasing the competition. Several models of TT exist and could be divided into: consortiums, technology parks, agencies and associations of development, TTOs, and technology platforms. Consortiums unify universities and companies by interdisciplinary R&D activities which cooperate and invest together in new equipment. Science and/or technology parks create conditions for development of innovative economy as well as favorable conditions for knowledge and technology transfer from university to business and serving as an umbrella for networks, information points, incubators and other activities. Agencies of development assist and stimulate the development in the region, some with focus on SMEs (providing with trainings and seminar, assisting new SMEs also with funding and serving as business incubators, searching for partners etc.), others with focus on promotion and providing with free information. Technology Transfer Department of Regional Centre for Innovation and Technology Transfer at Szczecin University of Technology support transnational and local technology transfers as well as assist local companies and knowledge-based organizations (universities and research institutes) in technology transfers with foreign partners. They animate local clusters and offer consulting services to entrepreneurs, thus performing more than a traditional role of a TTO which belongs to one university. Technology platforms exist in the area of innovative medicine, computer system technologies, space technology, mobile communications and wireless technology, and nuclear technology. These platforms, developed after 2005, join research organizations with companies and company associations. Six platforms are combined in the umbrella organization - Polish Technology Platform of Advanced Materials. 2. NATIONAL / REGIONAL RTT SITUATION The main relevant policy documents on both national and regional levels are: - National Development Plan (national level, date of adoption 2007, institution responsible for its creation is Ministry of Economy) Policy priorities: a compound socio-economic lay-out integrating all national undertakings and activities financed at national or regional level (financed both from public and private sources) Copyright CERIM Country reports Annex Page 82

83 National Development Plan involves development of the operational sector programmes, among which is Operational Programme Research, New Technologies and information society ( ) aiming at generation of a greater impact of knowledge and innovation on a long-term sustainable socio-economic development and structuring of a knowledge-based economy in Poland. The foreseen budget equals 5,9 billions EUR, 2,9 of which comes from the regional level and its aim is to support the 3 following priorities: strengthening the research potential, strengthening applied research, information society development. - National Program of Reforms in favour of Lisboan Strategy realization (national level, date of adoption 2008, institution responsible for its creation is Ministry of Economy) Policy priority is to fasten the tempo of economic growth favouring to new workplaces creation Main policy objectives: Among priorities of the Program, there is Innovative Economy which assumes the development of sectors and branches of high added value and innovation. There are Priority objectives, such as: legal and institutional environment security amicable for enterprise, innovation and investments; the reform of financing scientific units and performing units what leads to improvement of science competitiveness, making knowledge transfer and innovation diffusion more efficient, providing with transport, transmission and teleinformaticn infrastructure, adequate for needs of high-tech economy. - Directions on increasing Polish economy innovation for years (national level, date of adoption 2006, institution responsible for its creation is Ministry of Economy) Policy priorities: The growth of enterprise innovation aiming at maintenance the economy on a path of fast-growth as well as workplaces creation Main policy goals: transformation of social consciousness, particularly among entrepreneurs, scientists and administration which leads to perceive innovations as the most important chance of Polish development and base for local and international competitive supremacy building, increasing use of R&D activity results, improvement of innovative enterprises performance conditions, private capital mobilization for innovative business creation and development, increase of effectiveness of the market innovations, - National Strategy of Cohesion (national level, date of adoption 2006, institution responsible for its creation is Ministry of Regional Development, implementing institutions are individual ministries responsible for implementation of particular operational programs priorities, voivodeship boards) Policy priorities: creating optimal conditions for growth of competitiveness of knowledge-based economy and enterprise The Strategy of Cohesion focuses on creating conditions for constant and high-level economic growth rate, increasing employment by human and social resources development, developing service sector and increasing competitiveness, improving and modernizing the infrastructure and increasing the competitiveness of all regions. In terms of innovation, the increase in private sector expenses on R&D and the management effectiveness of public funds on R&D are key priorities, with goals that include the transformation of social consciousness, particularly among entrepreneurs, scientists and administration, increasing the use of results of R&D activity, improvement of conditions for performance of innovative enterprises, private capital mobilization, and increased effectiveness of the innovations market. - Regional Operational Program for West Pomeranian Voivodeship (regional level West Pomeranian Voivodeship, date of adoption 2007, institution responsible for its creation and implementing institutions is The Government of West Pomeranian Voivodeship) Policy priorities: Development of voivodeship in view of greater economic competitiveness, spatial and social cohesion as well as improved quality of inhabitants' life There are 8 priorities, such as: I Economy Innovations - Technology II Development of the transport and energy infrastructures Copyright CERIM Country reports Annex Page 83

84 III Development of the information society IV Infrastructure of environmental protection V Tourism, Culture and revitalization VI Development of metropolitan functions VII Development of social infrastructure and health care VIII Technical assistance Main objectives for I and III priorities: assistance for R&TD, particularly in SMEsincluding access to R&TD services in research centres, assistance for SMEs for the promotion of environmentally-friendly products and production processes, support for innovative investment projects, support for high technologies, building of regional and local broadband networks connected to broadband networks at the national level, services and applications (solutions) for SMEs - Strategy of West Pomeranian Voivodeship Development up to 2020 (regional level West Pomeranian Voivodeship, date of adoption 2005, institution responsible for its creation is The West Pomeranian Regional Parliament, implementing institutions are The West Pomeranian Regional Parliament and Steering Committees) Policy priorities: Creating conditions for balanced regional development based on competitive economy and regional enterprise Main policy objectives: growth of knowledge-based economy and e-business importance, intensifying the strength of the economy in small towns and cities - Regional Innovation Strategy of West Pomeranian Voivodeship (regional level West Pomeranian Voivodeship, date of adoption 2005, institution responsible for its creation is The West Pomeranian Regional Development Agency (ZARR), implementing institutions are West Pomeranian Voivodeship Board, which is responsible for Strategy implementation, and has created Control Unit (Jednostka Sterująca), Regional Board of Science, Regional Council of Science, Technology and Innovation. (Regionalna Rada ds. Nauki, Techniki i Innowacji) and Monitoring Unit (Jednostka Monitorująca) Policy priorities: Creating better conditions for building knowledge-based economy with education, science and development of information society, which would lead to regional competitiveness and innovation increase. Strategic and operational goals: growth of SMEs innovation-consciousness addressed to small and medium enterprises: general access to information connected with innovative resources, activities creating education system, enterprise and innovation, promotion of innovation; creating conditions for development of regional market of technologies and innovations addressed to technology creation and transfer institutions: technology and innovational solutions transfer system, supporting innovative business creating, SMEs technological and innovative needs monitoring and identification, strengthening the strategies for region research areas; improvement of regional innovations assistance system addressed to assistance institutions: creating an offer of SMEs innovation financial support, adapting an offer of bridging institutions to SMEs needs. Advisory bodies: - Regional Board of Science, Technology and Innovation (regional level). Their policy focuses on innovating regional policy, technology and knowledge transfer. Organizations, institutions and regional government supporting by programming, advising and recommending plans and projects connected with West Pomeranian innovations in accordance with regional strategies and programs. The Board is an advisory body and acts as a Control Committee in Regional Innovation Strategy implementation. It also recommends plans and projects related to regional innovation development of West Pomeranian Voivodeship Board. One of its tasks is to coordinate operations aiming at science and development of innovation and technology infrastructure. The Board closely cooperates with the regional higher-education institutions, entrepreneurs, business incubators, financial institutions, NGOs, centers of innovation and technology transfer, research and development units, chambers of commerce, bridging institutions. There are members of the Copyright CERIM Country reports Annex Page 84

85 Board who represent regional government (West Pomeranian Marshal Office), regional HEI (Szczecin University of Technology, Koszalin University of Technology, University of Szczecin, Pomeranian Medical University, Szczecin University of Agriculture, Szczecin Maritime University), bridging institutions and various associations (Szczecin Science-Technological Park, West Pomeranian Center of Advanced Technologies, West Pomerania Economic Development Association, West Pomeranian Regional Development Agency, Koszalin Regional Development Agency), centres of innovations and technology transfer. - Council of Science in Ministry of Education and Science (national level and government type). It focuses on innovation, science, research, technology, and evaluating distribution of funds for science. The Council of Science is divided into 4 collegial bodies. Their main roles are: a) The Committee on Scientific and Technology Policy plays a role of a policy advisor. Tasks: to express opinions about the state of the science, technology and innovation policy, to give opinions about the economic and financial arrangements connected with the development of science and technology, to give opinions about a financial plan specifying the amount of funds allocated to all the streams of financing science b) Research for the Development of Science Committee c) Research for the Development of the Economy Committee concentrates their activities on distribution of funds for science on the basis of evaluation of applications submitted by the research institutions, enterprises and individual researchers d) Committee of Appeal gives opinion on appeals to Minister s financial decisions - Council of Science and Technology Development of Prime Ministry (national level and government type). It is purely advisory body connected with the issues of science, technologies and economy development. The structure plays an advisory body role in the field of science and new technologies development strategies. Existing policy instruments supporting RTT: - Innovation support act, which implementation started in The policy priorities are research and technology infrastructure. Business and research communities are the main target groups. Investments by purchasing new technology are possible to qualify as a cost of R&D expenditure (irrespective of these works results). It is also possible to get a discount from taxation base, expenses of purchasing new technology from science units and R&D centres in case of SMEs up to 50%, other - up to 30%. The main objective of Innovation support act is to increase of R&D investments and cooperation research-business, the number of people employed in R&D and the number of patents. - Credits guarantees for production modernization and new technologies implementation (National Guarantee Fund). Their policy priorities are SMEs, research and technology, human resource and technology infrastructure. Private and national enterprises, associations and foundations are target groups. The form of funding are guarantees. The Fund gives guaranty for up to 80% of total credit value (for SMEs limit is EUR). In blanco bill of exchange constitutes indemnity. Debtor is not obligated to apply for a guarantee personally all formalities are arranged by the bank which gives a credit (if it had signed up an agreement with the Fund). The main objective of The National Guarantee Fund is to increase R&D investments and new technologies implementation which create new workplaces (also for high-qualified employees). - Technology credit by National Capital Fund, which policy priority are research and technology. Entrepreneurs making investments - either their own or purchased technologies implementation - starting up new products production or modernization of the products are target groups. The form of funding is financing. Documented sell of services or products resulting in investment is applicable for extinction of up to 50% of credit value during 5 years. Max technology credit value is 2 mln EUR. The main objective of National Capital Fund is to increase R&D investments competitiveness and innovation growth. Copyright CERIM Country reports Annex Page 85

86 - Operational Program Innovation Economy , which policy priority are research and technology. Enterprises, bridging institutions and their networks, high- specialized innovation centres, science and research units are target groups. The form of funding is financing. Financial allocation is mainly intended to competition pool. Grants are addressed to projects described in program's goals as well as those ones that fulfill indicator criterias prepared for each action. The main objective of the program is Polish economy development based on innovative enterprises. Detailed objectives (to increase use of communication and information technologies in national economy): increase innovation of Polish science, strengthening the role of Polish science in economy development, creating permanent and better workplaces In West Pomeranian province there is lack of either regional or local funds. Access to proinnovation financing ideas is strongly limited to sources at the national level. There are few venture capitals (like Polish Association of Capital Investors, Xevin Investments) and business angels (the most known are Polban, Technology Accelerator, Lewiatan Business Angels). Bank Gospodarki Krajowej (BGK) that is the only Polish state-owned bank prepared special offer National Fund of Credit Guarantee - which was established for investment and resources purchase. At the regional level Regional Board of Science, Technology and Innovation established by West Pomeranian Voivodeship Board as a part of Regional Innovation Strategy realization is a managing and coordinating body. The Board closely cooperates with the regional higher education institutions, entrepreneurs, business incubators, financial institutions, NGOs, centers of innovation and technology transfer, research and development units, chambers of commerce, bridging institutions. West Pomeranian Regional Development Agency, responsible for Innovation Strategy creation cooperates closely with West Pomeranian Voivodeship Board, which is responsible for Strategy implementation. 3. FRAMEWORK CONDITIONS FOR RTT 3.1. Legislation and regulation: There are main national acts determining technology transfer in Poland. Law on higher education as well as Principles of science financing are the ones that affect science in TT. The first one makes higher education units responsible for cooperation with economic environment, especially by R&D research selling, passing to business as well as disseminating the idea of enterprise among society. It says that universities, academies etc. are able to create academic incubators, centres of technology transfer and defines general principles of their establishing. Since 2005 there have been some new legislative tools as a result of Law on principles of science financing, such as developmental project, which focuses on research tasks that might be used in practice; science consortium- group of organizational units with at least one R&D unit, consortium is established in order to realize common research activities or development projects; science networks which are based on permanent cooperation of science and research units with legal personality. Mentioned law defines principles and range of granting. Another legal tool which was created to affect the technology transfer is Regulation of Minister of Science and Higher Education on program Patent PLUS- inventions patenting support. It determines principles of financing, refunding essential costs of preparing patent application in local, regional, national or international procedure. It focuses on the facilitating patents acquisition and commercialization of inventions. That kind of support is directed to science units, universities, academies, academic incubators, centers of technology transfer, centers of excellence, technology parks, consortiums of science and industry, foundations supporting technology transfer and other organizations acting for benefit of science development. Copyright CERIM Country reports Annex Page 86

87 Some forms of innovative activity support is a law at the national level that introduces new tools for strengthening national innovation, R&D private sector development, effectiveness of innovation policy implementation improvement at the regional as well as national level, improvement of effective use of public means for innovative activity, increase of private sector's interest in innovations R&D expenses growth. It defines principles of giving status of R&D centers and rules, modes of giving technology credit. Polish government is also working on the amendment of Law on financial support of investments to strengthen preferences for investments in technology innovations. It is going to define technology park, create possibilities for applying for financial support by new investments located in technology park area. Amended Law on industrial property aims at adapting national legal norms to modern socioeconomic system and international requirements. It simplifies procedures of obtaining protection for industrial properties, specifies procedures of obtaining international registration of the trade marks, as well as the ones connected with protection of inventions covered by European patent etc. Code of commercial companies regulates principles of creating, organizing, running, dissolving, connecting, dividing and transforming of commercial companies. The law is applied to spin-off and spin-out companies Cultural and social attitudes It is necessary to change Polish scientists' awareness and conviction. So far, scientists have not been interested in principles of how market works. What is more, the cooperation between industry and science was very seldom, basing on informal contacts. That attitude is like a barrier to technology transfer. Distrust, fear of revealing know-how accompanied relations between science and business. For last 4 years it has been being changed especially among young scientific workers. This is an effect of promoting entrepreneurial attitudes by informing, professional trainings and education on elementary school level. In the beginning of 90s. there were legal regulations which assumed high indirect expenses in case of ordering research works by industry. It abriged cooperation of those two sectors. In Poland, there is a lower potential and tendency to technology absorption than in most of EU countries. That is a consequence of relatively short time of Polish market economy and lower level of capital accumulation as well as faint organization and management competence in national enterprises Institutional settings At the national level there are some institutional settings created by Ministry of Science and Higher Education that implicate incentives to technology transfer. One of them is IniTech- a programme focusing on radical changes in cooperation between business and science. It gives financial support for proinnovative ideas with high probability of market success. IniTech bears the costs of science researches, development works and their preparation to implementation. Innovation Creator academic innovative entrepreneurship support is another programme established by Minister of Science and Higher Education. It is going to be a bridging tool between science and business by supporting students and science workers innovative undertakings. Programme supports academic staff in gaining knowledge in the subject of economy, intellectual properties management, result of R&D commercialization. Copyright CERIM Country reports Annex Page 87

88 Ministerial Programme Patent Plus focuses on modernizing of technology transfer from science units to business by supporting patent protection obtainment. 4. OVERVIEW OF RTT MODELS Technology Transfer Department of Regional Centre for Innovation and Technology Transfer at Szczecin University of Technology Technology Transfer Department of Regional Centre for Innovation and Technology Transfer at Szczecin University of Technology was established in 2007 by rector's of Szczecin University of Technology decision as a general academic unit, transformed from International Programmes Office. The main purposes of it s establishing are: creating a culture of innovation and entrepreneurship, initiating and supporting cooperation between business and academic environments, increasing accuracy of sharing and implementing to the economy innovative technologies, initiating and rationalizing technology transfer from research units to economy. Organization offers service and promotion activities in range of intellectual property rights, technology transfer, research & development, commercialization of knowledge, entrepreneurship and stimulation of innovation. Area of activities covers actions such as informing, advising and training in range of possibilities, procedures of technology transfer, creating and implementing of innovations, organizational and formal-law service of selling and different forms of sharing intellectual property rights, results of scientific researches, implementation and license agreements and sharing know-how in regional, national and international range, informing and advising about possibility of requesting financial support for research, technology transfer and implementation (national, European and other funds, National System of Innovation), animating of clusters, coordination of network of cooperation and exchange information between scientific and business institutions in range of innovations and technology transfer. Finished and current key projects: - Adaptation and establishing of Regional Centre for Innovation and Technology Transfer - 1 st phase of the project realized in a framework of Community Initiative Programme Interreg III A of Union Countries Mecklenburg - Vorpommen/Brandenburg and Poland (Westpomeranian Voivodship). Main goal: creating infrastructural bases for supporting R&D innovations in SMEs as well as joining innovative technologies to regional development, supporting activities for associate universities units and economy and also supporting creating new companies (especially start-ups). - Operation of Innovation Relay Centres IRC West Poland and West Poland- Szczecin University of Technology was a part of "West Poland" consortium, together with Poznan Science and Technology Park and Wroclaw Centre for Technology Transfer. Main goal: supporting SMEs in the process of transnational technology transfer. IRC consultants help regional entrepreneurs sell or buy innovative technologies from European Union, hire experts to create technical documentation, support bilateral negotiations and represent clients during international brokerage events, held during the world biggest fairs. Szczecin University of Technology was unique institution in region, which offered to clients resources of the largest technology transfer network in the world, with more than 30 countries, including all European Union countries. - Scholarships for PhD students on Szczecin University of Technology which create innovation of the region, realized in framework of Action 2.6 Regional Innovation Strategies and Knowledge Transfer ZPORR. - Supporting academic entrepreneurship. INNOSTART is realized within the framework of Action , competition announced by Voivodship Labor Office in Szczecin. Main goal of the project is to assure professional help and support for academic entrepreneurship in West Pomeranian Voivodship by joining together knowledge and experience of two units: Regional Centre for Innovation and Technology Transfer (RCIiTT) and Polish Entrepreneurship Foundation (PFP). Copyright CERIM Country reports Annex Page 88

89 Project is a phase of systematic effort of both institutions to create conditions for dynamic development of high-innovative undertakings in Westpomerania region. Activities in project are focused on identification of innovative ideas and then, supporting authors of that ideas by consulting, training, and acquiring funds for creating new enterprises. - Enterprise Europe Network realized in years by Szczecin University of Technology, partner of a consortium "B2Europe West Poland". Main goal of the project: internalization of enterprises and supporting in range of possessing new markets and business partners in more that 40 countries in the world, and giving answers for the questions related to legal system of European Union. Besides that, project supports international technology transfer by conducting technological audits to show technological possibilities of companies, scientists and R&D institutions as well as encouraging companies to take part in 7th Framework Programme. - Creating Regional Innovation System realized within Action 2.6. ZPORR. Main goals: creating and developing networks of cooperation at the regional level, between deliverers of innovations and technology - universities and recipients - companies, to raise the level of innovation and competitiveness of the region. Key elements of this project were: Local Centres of Technology Transfer and Innovation (LOTTI), created on universities and business institutions and industrial clusters. Goals of LOTTI: identification of technological needs of SMEs, and transferring these information to R&D centres and scientists. - Creator of Innovation. Supporting innovative academic entrepreneurship - creating and implementing academic systems of commercialization of technologies, preparation and implementation of procedures of intellectual property rights on universities, creating databases, information and promotion- realized in framework of Ministry of Science and Higher Education programme. The main goal of the project: to work out rules of commercialization system of technologies created on universities and creating spin-off companies FIRE Centre of Innovation FIRE Centre of Innovation was established in 2002 by Regional Development Agency. It has been created to support process of connecting science achievements with business by assisting innovative enterprises development. FIRE takes up activities in the field of technology-advanced ventures identification and selection, business consulting for scientists, aid in gaining funds for high-tech based activity. Key achievements: - creation of innovational enterprises, eg. Medicalgorithmics Sp. z o. o. with capital participation of FIRE; - member of National Network of Innovations, Proton Europe; - participation in project Identification of New Methodologies for Promoting and Encouraging Trans-national Technology Transfer; - partner of the project Academy of Innovation and Venture Capital with European Centre of Entrepreneurship. Above described organizations are the ones with visible and measurable successes. They actively support spin-off founding, technology and innovations transfer, cooperation between business and science. They have wide experience in connecting partners. Copyright CERIM Country reports Annex Page 89

90 5. CONCLUSION Infrastructural surrounding of Polish innovation activity is in a faze of creation adaptation to EU standards. The legal acts determining proinnovation activities are being created. Innovation rates of West Pomerania region are worse than the average ones of Poland share of expenditures on R&D is equal to 2,7% GDP what puts the region on the 11 th place among 16 provinces all over the country. Other rates also shows poor situation of the region the number of R&D institutions 57 (11 th position), expenditures on innovation activities of industry (12 th position), the number of national inventions given by Polish Patent Office, number of employed in R&D activities (11 th position). It is reported that the biggest regional enterprises are not a source of technologies for SMEs. Except development of IT sector, food, wood and furniture industries the new trends are not seen. Potential clusters can be expected to appear in fish processing branch. 40% of researchers and 56% of technology offers originate from engineering sciences sector. In the process of creating technology offers, the most engaged science disciplines are electrical engineering, medicine, chemical, material and mechanic engineering, biology, mathematics. In Zachodniopomorskie there are not public R&D units, neither research and implementation institutions established by enterprises nor commercial research units. The main barrier in innovation development are lack of capita, risk of changes implementing. Those railings are the same for West Pomerania and for Poland. Low level of research units and SMEs cooperation is an effect of poor motivation of the first ones and ineffective system of demand and supply associating. There is a deficit of technology transfer organization some offers of such services are provided by companies outside the region and are not known to West Pomeranian entrepreneurs. To improve and intensify cooperation between science and business as well as technology transfer, it is necessary to undertake some coherent activities at the both national and regional level. Among them are: - creation of communication system and information exchange between regional actors, - creation of technology and innovation needs of SMEs identification system, technology transfer system, - increase of innovation awareness among SMEs, - promotion of proinnovation attitudes, - creation of education system oriented on innovation, - creation of institutional and infrastructural conditions for innovation development, - constant monitoring of SMEs innovation needs. 57 R&D institutions are understood as R&D units, incubators, science and technology parks, technology transfer centres, foundations, associations and other organizations. Copyright CERIM Country reports Annex Page 90

91 Slovakia Bratislava and Žilina COUNTRY REPORT SLOVAKIA Zilina and Bratislava region Copyright CERIM Country reports Annex Page 91

92 1. INTRODUCTION This country report gives an overview of the regional technology transfer (RTT) situation in Slovakia based on the analysis of two regions Zilina and Bratislava with the help of the questionnaires filled in under Work Package National and regional key facts To evaluate a RTT situation it is also important to get an impression of the analysed country and regions. Therefore, some key facts are provided in the table below. Socio-economic data Population Data date: 2008 Education (by ISCED) ISCED 0 ( Pre-primary ducation) ISCED 1 (Primary education) ISCED 2-3 (Secondary education) ISCED 4 (Post-secondary non-tertiary education) ISCED 5-6 (Tertiary education) Slovakia Zilina region Bratislava region ISCED 0: ISCED 1: ISCED 2-3: ISCED 4: 4802 ISCED 5: Data date: 2006 Unemployment (12,71 %) Data date: May 2009 Main industry Automotive industry, mechanical engineering, electro technical engineering, metal processing GDP in EUR 44,6 bil. EUR Data date: Data date: 2007 (12,88 % of country) ISCED 0: (24,48% of the country) ISCED 1: (25,67% of the country) ISCED 2-3: (25,72% of the country) ISCED 4: 592 (12,33% of the country) ISCED 5: (23,03% country) Data date: 2006 NUTS 2 region including Banska Bystrica region (10,1% of the country) (10,3 %) Data date: May 2009 Automotive industry, mechanical engineering, electro technical engineering, cellulose-paper manufacturing, wood processing, ICT 4,8 bil. EUR 10,4 % of the country Data date: 2009 (11,2 % of country) ISCED 0: ISCED 1: ISCED 2-3: ISCED 4: 2051 ISCED 5-6: ,1% Data date: May 2009 Automotive industry, services, ICT, chemical industry, mechanical engineering 17 bil. EUR GDP per capita several data available, e.g. according to IMF: Slovakia has USD/per capita Expenditures on R&D GERD R&D intensity (GERD/GDP) Technology transfer data 64,8 bil. EUR Data date: USD Data date: Data date: mil. EUR 0,46 % Data date: 2007 Data date: USD Data date: mil. EUR 0,31 % Data date: 2005 NUTS 2 region including Banska Bystrica region Data date: USD Data date:2008 Not available Number of universities 20 public universities 3 state universities 10 private universities 2 foreign universities 4 11 Number of students Copyright CERIM Country reports Analysis of RTT situation Page 92

93 (tertiary education) Human resources in science and technology (in 1.000) Data date: 2008 Data date: 2006 NUTS 2 region including Banska Bystrica region total not available 9,9 per 1000 inhabitants Data date: 2008 not available European Patent Office applications (in numbers) - Per mio inhabitants - High-tech patents - ICT patents - Biotechnology patents Data date: 2007 Per mil.: 5,8 High-tech: 0,572 not available not available Data date: 2005 Per mil.: 1.85 not available not available not available Data date: 2003 NUTS 2 region including Banska Bystrica region not available not available not available not available Zilina Zilina region lies in the northwest Slovakia. Region is one of the most important centres of transport system in the Slovak Republic; several transport links of national and European level are being concentrated here. Industrial character of the region influences closeness to industrial zones of neighbouring Czech Republic and Poland and also lack of fertile lands. The main branches of industry are engineering industry, electro-technical industry, automotive industry, metal processing, chemical production, textile manufacturing, power engineering, cellulose-paper manufacturing and information-communication technologies. Advanced technologies are well represented too. This can be seen also in relation between high-tech enterprises and value of sales produced by them. This data corresponds to educational level of the region with high number of people with university education. Innovation capacity of Zilina region reaches the aboveaverage level of Slovak Republic; however there are quite big disparities between single districts Innovation index of Slovak regions Copyright CERIM Country reports Analysis of RTT situation Page 93

94 1.3. Overview of policy environment Main Recent Trends in the National Innovation System Since 2001, Slovakia has enjoyed an economic boom. It probably peaked in 2007, when gross domestic product (GDP) grew 10.4 %. The country has been making rapid progress towards closing the gap in economic development and living standards with the European Union (EU). Increases in per capita GDP were related to a parallel growth in labour productivity, falling inflation and unemployment rates, and improvements in public finance. Slovakia was ready to adopt the Euro by Most positive developments in innovation capacity growth referred to a technology absorption and diffusion by multinational companies.much less progress was made in building an innovation-driven economy. Slovakia occupied the 31st place out of the 37 countries included in the Summary Innovation Index (SII) in Slovakia, however, failed to address some of the most serious problems in innovation development. The country had very low levels of public and business spending on R&D. Share of gross expenditure on research and development in GDP fell to record low of 0.49 % in Poor innovation performance has increasingly been considered a source of concern in political circles and media because it sustainability endangered economic growth. Summary innovation index, 2008 Major Innovation Challenges and Policy Responses Key hovernment documents on innovation policies (i.e Innovation Strategy and 2008 Innovation Policy) identify several major challenges for innovation development in Slovakia. These documents most frequently refer to: (a) low volume and quality of R&D activities, poor participation of Slovak firms in R&D, and weak ties between industry and academia; (b) a fragmented national innovation system and low numbers of innovation policy tools; and (c) low shares of innovating enterprises in the industry, as the main challenges for long-term development of the country. All these challenges are strongly entangled and can hardly be addressed by a couple of innovation policy initiatives favouring one challenge over another. Challenge 1: Weak R&D system disables cooperation between academia and industry A common denominator for poor innovation performance was low spending on research and development R&D). In Slovakia, the share of gross expenditure on R&D in GDP fell to a record low of 0.49 % (EU %) and share of business expenditure on R&D in GDP to 0.25 % (EU %) in Slovakia accounted Copyright CERIM Country reports Analysis of RTT situation Page 94

95 Swiss Germany Finland Sweden Holland Denmark Japan Austria USA France Belgium GB Italy Canada Ireland Slovenia Hungary CR Slovakia Portugal Bulgary Poland Rumania for a relatively educated labour force, but failed to move to an R&D-intensive employment structure. Total numbers of R&D personnel in full-time equivalent, for example, decreased from to in the period Moreover, Slovak R&D personnel was ageing and becoming less mobile. Low funding of R&D facilities made careers in this sector unattractive for young and talented people. The pool of potential innovators shrank and ties between industry and academia weakened over time. The weak system of applied research in particular disabled cooperation between industry and academia and was reflected in the poor commercial outputs of R&D base. Slovakia, for example, produced 0.0 triad patents per million population (EU-27 = 20.8 patents) in Numbers of the Community trademarks per million population were 16.7 in Slovakia, but in the EU-25 in In the same year, Slovakia produced 27.3 Community industrial designs per million population, while the EU-27 average was The majority of the technology effort was focused on knowledge absorption and diffusion rather than on knowledge generation. Low spending on R&D was probably the key challenge of the national innovation system No. of submitted patent applications on EPO per million inhabitants in 2003, No. of issued patents by USPTO per million inhabitants in ,3 No. of submitted patent applications on EPO per million inhabitants No. of issued patents by USPTO per million inhabitants Copyright CERIM Country reports Analysis of RTT situation Page 95

96 Sweden Finland Germany Denmark Austria France Belgium Holland CR Slovenia Ireland Italy Hungary Portugal Slovakia Poland Bulgaria 3,5 3 2,5 2 1,5 2,92 R&D intensity as a % of GDP- business sphere, ,46 1,76 1,67 1,6 1,32 1,24 1 0,5 0 1,02 0,92 0,87 0,82 0,55 0,41 0,29 0,25 0,18 0,11 Challenge 2: Underdeveloped system of innovation governance Slovakia underwent a thorough and painful economic and social transition during the 1990s and early 2000s. First Slovak governments had to deal with difficulties related to introducing a market economy and establishing an independent state. Innovation was not considered a priority till 2005 when the Competitiveness Strategy was passed. The Innovation Strategy (2007) and Innovation Policy (2008) referred to absence of strategic policies supporting innovations, low numbers and a fragmented system of explicit innovation policy measures, and poor innovation management, coordination and monitoring. The Innovation Policy stated that there was no legal definition of and/or standards for the National System of Innovations. There also were no regional systems of innovation governance. Innovation governance has been a field of innovation policy, where most progress was done in recent years. The Slovak government passed several important policy documents (Strategy of Competitiveness, Innovation Strategy and Innovation Policy). Challenge 3: Low shares of innovative enterprises limit competitiveness of the country Data from the fourth Community Innovation Survey confirm that Slovakia (alongside some other new member States) ranks against countries with lowest rates of innovation activity. While shares of firms reporting some form of innovation activity increased from 19 % in the period to 23 % in period , they still account for about half of the EU-27 average level. Copyright CERIM Country reports Analysis of RTT situation Page 96

97 Enterprises with innovation activity, 2007 Copyright CERIM Country reports Analysis of RTT situation Page 97

98 2. NATIONAL/REGIONAL TT SITUATION Main documents relevant for Slovakia are rather recent, namely form 2007 and The national policy is set in Long Term Strategy of State Science and Technology Policy until 2015, National Reform Plan Action plan for Science, Technology and Innovation ( ), and Structural Funds Operational Programme Research and Development. They are closely related to EU policies of Lisbon strategy and structural funds; and thus also focus primarily on the period. The first document creates conditions and drafts concrete measures for the development of science and technology and faster commercialisation of R&D outputs in line with the Lisbon strategy and internal Slovak economical development. For the two-year period between 2008 and 2010, Slovakia has set the following priorities: research, development and innovations, education, employment, entrepreneurship environment, and climate change and power engineering. Within this, the goals are: support the transfer of knowledge between the universities and business sphere and contractual research, reform the financing of science and technology, increase the importance of science results by setting their internationalisation as a criteria for granting support to universities, and establish regional innovation centres. Support of R&D is one of key aspects also of ERDF policy in Slovakia, with the following priorities: infrastructure of R&D (in the country and specifically in Bratislava region), support of R&D (in the country and specifically in Bratislava region) and infrastructure of universities. The goal is to improve the transfer of knowledge and technologies which result through R&D into business; especially by focusing in applied research, supporting TTOs and IPR management in the research institutions. On the regional level, RTT is included in Program of Economical and Social Development of Zilina Region and in the Regional Innovation Strategy of Zilina Region, both adopted in the end of The first is a document to manage changes in the region approved by the regional parliament and defines priority areas in all sectors. For the area of R&D and RTT there are following: enhancement of R&D quality, increasing the usability of R&D outputs for industry, and reaching higher competitiveness of entrepreneurs, mainly though innovation, are important. The goals of the document, related to RTT, are: building and modernising the technical infrastructure of science and R&D in the region, specializing R&D for the particular needs of the region, and creating networks and partnerships for the needs of future development projects. Copyright CERIM Country reports Analysis of RTT situation Page 98

99 The innovation strategy serves as basic document to manage changes in the region approved by the regional parliament, and sets 5 priorities: innovation policy and culture, cooperation in innovation transfer of R&D results into industry, infrastructural and financial support of innovation, financial support of innovation and knowledge as base of innovation. Institutions for creation of the policy on the national level are predominantly the governmental units: Ministry of Education. Ministry of Economy. Deputy Prime Minister for Knowledge-Based Society, European Affairs, Human Rights and Minorities. Ministry of Finance and Ministry of Building and Regional Development. The first two play important role in RTT, whereas the last and the deputy prime minister have also advisory role. On the regional level, Zilina self-governing region and University of Zilina created the main regional policy documents. Advisory bodies mainly make comments to relevant laws and documents, with focus on R&D policy. They are from all components of the triple helix: All ministries, National Agency for Development of Small and Medium Enterprises. Slovak Investment and Trade Development Agency. Slovak Energy and Innovation Agency. Self-Government Regions. Slovak Rectors' Conference as an institution representing universities. Slovak Academy of Sciences. National Union of Employers. National Union of Employers, Federation of Employers' Assertions of the Slovak Republic. Federation of Industrial Research and Development Organisations. Slovak organization for R&T Activities. Implementing institutions are again all ministries, with the main role played by: Ministry of Education. Ministry of Economy. Ministry of Labour, Social Affairs and Family. Ministry of Finance. Ministry of Building and Regional Development. The first three manage the programs and prepare relevant documents, whereas funding is done by all ministries. The latter ministry is in charge of overall program management of structural funds. Three agencies are also active in the field of innovation, R&D and RTT. Agency of Ministry of Education for Structural Funds is responsible for implementation of structural funds related to RTT; Slovak Research and Development Agency is responsible for implementation of state R&D programs, and also operates under Ministry of Education; whereas Slovak Innovation and Energy Agency which operates under Ministry of Copyright CERIM Country reports Analysis of RTT situation Page 99

100 Economy focuses on business and enterprise R&D and is responsible for implementation of structural funds related to business development and R&D. Social Implementation Agency is responsible for EU funds and project in the area of education and social affairs, but in June 2009 it has published a call related to start of Regional Innovation Centres. There is no coordination platform for these institutions. Research, development and technology programs in the Slovak Republic are launched and implemented by the main actors, mainly Ministry of Education and Ministry of Economy. There is insufficient cooperation between these two ministries with the most available budget for fostering of RTT in the Slovak Republic. Ministry of Economy implements programmers only for enterprise sphere and Ministry of Education for university (including Slovak Academy of Science) sphere. For example there is a strong declared will to establish Regional Innovation Centres in particular Slovak Regions, yet these two ministries cannot get compromise how to finance such network. Regional Innovation Centres should have already been launched, yet there is just one open call under European Social Fund focused on building human capacities of RIC and fostering educational programmes of RIC. The main existing measure for now is the program of Ministry of Education within the structural funds. The main objective is to establish the system of RTT in the Slovak Republic, increase cooperation between university and economy (including transfer of knowledge from universities into business), and increase the number of patents. This call has been evaluated and at the end of 2009 first RTT should start their operation. In 2008, law defined two categories of R&D organisations, namely: (i) specialised organisations in science and technology, such as: Science and Technology Park, Research and Development Centre, Technology Incubator (help to improve commercialisation of R&D outputs), and (ii) Centres of excellence (focused on excellent R&D). and these should foster and develop RTT activities around Slovak universities and SAS. Copyright CERIM Country reports Analysis of RTT situation Page 100

101 3. FRAMEWORK CONDITIONS OF RTT 3.1. Legislation and regulation Off course, there are some laws regulating and directing science policy and TT. Nevertheless, I think there are not of any special importance Cultural and social attitudes Specific cultural and social attitude in Slovakia and probably all Central and Eastern European countries connected to creation of functional TT models: law entrepreneurial spirit, law social recognition of research and development and its importance for further development of the country, very good general educational system, but missing specific focused education. All this leads to: relatively law number of innovation capacity of regional firms, low protection of intellectual property (no. of patents/per mil. inhabitants), law potential of regional universities towards creating functional and sustainable TT models 3.3. Institutional settings There are no institutional settings in the Slovak Republic. There are barriers for TT motioned in part 1.2 and 3.2. The real TT policy has just been created and 1 st steps are being adopted in year Copyright CERIM Country reports Analysis of RTT situation Page 101

102 INNOVATION SYSTEM OF SLOVAK REPUBLIC SLOVAK PARLIAMENT General and Innovation Policy Making Government Council for S&T SLOVAK GOVERNMENT Ministry of Education Ministry of Finance Other ministries Slovak Acedemy of Sciences European Comission Ministry of Economy SARIO Slovak Investment and Development Agency Government Higher Education Facilities Slovak Guarantee and National Agency for the Development of Small and Medium Enterprises Agencies VEGA Grant Agency Development Bank Innovation Fund Science and Technolgy Assistance Agency Slovak Innovation and Energy Agency Enterprises, Private Research Institutes Venture Capital Providers Business Incubators Semi-public and Private Funding Bodies Regional Offices of the Seed Capital Company Bussines and Innovation Centres Regional Innovation System Regional Advisor and Information Centres Exhibit 1: source - European Trend Chart on Innovation - Slovakia 2006 First Contact Points Copyright CERIM Country reports Analysis of RTT situation Page 102

103 4. OVERVIEW OF RTT MODELS Around University of Zilina several organizations actively cooperate: Institute o Competitiveness and Innovations (as integral part of university) University of Zilina Central European Institute of Technology University Incubator operated by Science and Technology Park Zilina In Zilina region there are several models of technology transfer, which can be summarized as follows: 1. Central European Institute of Technology operated by Slovak Productivity Center Legal status: ltd. Rationale for establishing it, who established: Slovak Productivity Center, University of Zilina Purpose / focus/objectives: support of valorisation of university knowledge towards practical utilisation, implementation of top R&D in the area of automation, robotics, digital factory, simulation, Year of creation: 2007 Key achievements: creation of unique model of interconnection of university and business establishment of real university spin off CEIT establishment of spin off SLCP Consulting main actor on the national level in the area of process innovation official representative of Slovakia in the technology platform Manufuture creation and development of own concept of Digital Factory *note: Slovak Productivity Center is actually the driver of innovation and RTT activities, but recently it has decided to shift these activities to Central European Institute of Technology (mainly activities on national and international level) Copyright CERIM Country reports Analysis of RTT situation Page 103