CERIM - WP3 - COUNTRY REPORTS

Transcription

CERIM - WP3 - COUNTRY REPORTS
Annex
© Copyright CERIM
This project is implemented through the CENTRAL EUROPE Programme co-financed by the ERDF.
© Copyright CERIM | Country reports – Annex| Page 2
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
Germany – Baden-Württemberg, Mecklenburg-Vorpommern and Saxony
Hungary – Central Hungarian Region
Italy – Lombardia
Poland – West Pomerania
Slovakia – Bratislava and Žilina
Slovenia
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41
60
72
79
91
105
Austria – Salzburg
REGIONAL REPORT: RTT SITUATION – WP3
RTT situation: Salzburg / Austria
by ITG Salzburg
DIRECTORY
Directory
1. National and regional key figures
2. Overview oF the policy environment
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2.1. National Strategies
2.1.1. Strategy 2010 - Perspectives for research, technology and innovation in Austria
2.1.2. Excellence strategy
2.2. National player
2.2.1. Federal Ministry of Finance (BMF)
2.2.2. Federal Ministry of Economy, Family and Youth (BMWFJ)
2.2.3. Federal Ministry for Transport, Innovation and TechnologY (BMVIT)
2.2.4. Austrian council for research technology development
2.3. Regional strategies
2.3.1. The Economic Policy Guidelines of Salzburg
2.3.2. Program for strengthening the competitiveness (2007-20013)
2.3.3. Program Innovation support by the country of Salzburg
2.4. Regional player
2.4.1. The federal government of Salzburg
2.4.2. Council for science and research
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3. National / regional RTT situation
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3.1. National RTT situation
3.1.1. Austrian business service (aws)
3.1.2. The Austrian promotion research agency (FFG)
3.1.3. Austrian Science Fund (FWF)
3.1.4. Austrian Federal Economic Chamber (WKO)
3.1.5. The Federation of Austrian Industries (IV)
3.2. Regional RTT situation
3.2.1. The country Salzburg: Department of economy, tourism and energy
3.2.2. Innovations- und Technologietransfer Salzburg GmbH (ITG Salzburg)
3.2.3. Innovation Service (IS)
3.2.4. Business Creation Center Salzburg GmbH (BCCS)
3.2.5. University of Salzburg
3.2.6. Techno Z
3.2.7. The science agency of Salzburg
3.2.8. Salzburg Research
3.2.9. Salzburg research and innovation network tourism (SAFIT)
3.2.10. Embedded Systems Cluster Salzburg (ESYCS)
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4. Legislation and regulation
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4.1. Research and development advancement law (FTFG)
4.2. Research organisation law (FOG)
4.3. University law 2002
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5. Cultural an social attidtudes
6. Institutional settings
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6.1. uni:invent
6.2. AplusB-Centres (Academia plus Business)
6.3. K – Centres Austria (by FFG)
6.3.1. COMET - Competence Centres for Excellent Technologies
6.3.2. Kplus - Competence Centres Program
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7. Overview of RTT models
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7.1. RTT model of BCCS
7.1.1. Requirements
7.1.2. Affiliation criteria
7.1.3. Admission process
7.2. RTT model of Uni:invent
7.2.1. Protection and realisation of intellectual property at the university
7.2.2. Implementing of uni:invent 2004 - 2009
7.2.3. View for the next years
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8. Conclusion
9. Continuative Documents
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9.1. Rat für Forschung und Technologieentwicklung
9.2. Bundesministerin für Verkehr, Innovation und Technologie (BMVIT)
9.3. The country Salzburg: Department of economy, tourism and energy
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10. Annex
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10.1. Table of TT-organizations
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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. 282.20 Euros in 2008.
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 20.11 Euros in 2008. 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
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population are represented by the following table:
Primary & secondary (ISCED 1 & 2)
Secondary education (ISCED 3)
Post secondary (ISCED 4)
Tertiary Education (ISCED 5-6)
27.1%
35.8 %
26.9 %
10.2 %
The developments of the educational level of the Austrian population show a general increase between
1971 and 2008. 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 2008..
1
The Population age beginning with 15 years.
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
2.1.1. Strategy 2010 - Perspectives for research, technology and innovation in
Austria2
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.
2.1.2.
Exellence strategy3
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.
2
http://www.rat-fte.at/UserFiles/File/Strategie2010.pdf
3
Vgl. http://www.rat-fte.at/UserFiles/File/070810_exzellenzstrategie_screenversion.pdf
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.
2.2.1.
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
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expenditures and therefore achieve sustainable tax effect.
4
Vgl. § 4 Abs. 4 Z 4a bzw. § 108c Abs. 2 Z 1 EStG 1988
2.2.2.
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.
2.2.3.
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. http://www.bmwfj.gv.at
6
Vgl. http://www.bmvit.gv.at

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.
2.2.4.
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.
2.3. REGIONAL STRATEGIES
2.3.1.
The economic mission statement of Salzburg7
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 1997. 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
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Vgl. http://www.salzburg.gv.at/wirtschaftsleitbild-langfassung.pdf
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
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environment and basic infrastructural conditions, advanced regional strategies are applied.
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.
2.3.2.
Program for strengthening the competitiveness (2007-20013) 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. http://www.salzburg.gv.at/themen/wt/wlb.htm
9
Vgl. Stärkung der Wettbewerbsfähigkeit der Region Salzburg: Operationelles Programm 2007-2013 (2070),
http://www.salzburg.gv.at/programm-broschuere.pdf
-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
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the company on grounds of the size and/or structure of the company or the innovation project.
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
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establishments, advanced technical colleges, universities).
2.3.3.
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.
2.4. REGIONAL PLAYER
2.4.1. 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.
2.4.2.
Council for science and research13
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. http://www.salzburg.gv.at/themen/wt/regional/regionale-wettbewerbsfaehigkeit/rwf-massnahmen/innovationsassistenz.htm
11
Vgl. RWF Salzburg 2007-2013: Stärkung der regionalen Wettbewerbsfährigkeit – Programm Maßnahmen,
http://www.salzburg.gv.at/pdf-rwf-programmmassnahmen
12
Vgl. http://www.salzburg.gv.at/themen/wt/wirtschaftsfoerderung/kmu/innovationen.htm
13
Vgl. http://www.salzburg.gv.at/themen/bildungforschung/obtree_allgemeinforschungwissenschaft/rat.htm#empfehlungen
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.
3. NATIONAL / REGIONAL RTT SITUATION
3.1. National RTT siutuation
3.1.1. 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
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intelligent supports.
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Life Science Austria (LISA)
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. http://www.awsg.at
15
Vgl. http://www.awsg.at/portal/index.php?x=45&n=50
16
Vgl. http://www.awsg.at/portal/index.php?n=78




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.
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Nanotechnology
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.
3.1.2.
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.
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18
Vgl. http://www.ffg.at
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,
the Austrian Space Applications Programme was initiated, based on a recommendation of the Austrian
Council for Research and Technology Development.
3.1.3.
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. http://www.fwf.ac.at
3.1.4.
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. www.wko.at

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.
3.1.5.
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.
3.2. REGIONAL RTT SIUTUATION
3.2.1. The country Salzburg: Department of economy, tourism and energy22
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.
3.2.2.
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. http://www.iv-net.at/
22
Vgl. http://www.salzburg.gv.at/themen/wt/zis-homepage/zis-partner.htm
23
Vgl. http://www.itg.at
3.2.3.
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
3.2.4.
Business Creation Center Salzburg (BCCS)25
26
The BCCS is part of the AplusB 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. http://www.innovationsservice.at
25
Vgl. http://www.bccs.at
26
For turther information about the program see Institutional setting







3.2.5.
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 Salzburg27
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.
3.2.6.
Techno Z28
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.
3.2.7.
The science agency of Salzburg29
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. http://www.uniinvent.at/; http://www.bmwf.gv.at/forschung/national/programme_schwerpunkte/uniinvent/
28
Vgl. http://www.techno-z.at/
29
Vgl. http://www.uni-salzburg.at/was
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.
3.2.8.
Salzburg Research30
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:
30

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.
Vgl. http://www.salzburgresearch.at
3.2.9.
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
 Education and continuing education
 Knowledge transfer (speeches, seminars, publications, workshops)
 Establishment of a central information portal on the Internet
 Consciousness-pedagogic measures
Partner
 Salzburg Research
32
 ARGE Tourismusforschung
o University of applied sciences Salzburg
o (Information and management in tourism)
o Academy Schloss Urstein Privatstiftung
o Society of tourism institutions Salzburg
o Section for tourism of the economic camber of Salzburg
 Paris Lodron University Salzburg
3.2.10.
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. http://www.safit.at/index.html
32
Vgl. http://www.safit.at/partner.html
33
Vgl. http://esycs.salzburgresearch.at/

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).
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
(FTFG)
AND
DEVELOPMENT
ADVANCEMENT
LAW
The object of this federal law is the support of the scientific research as well as the support of the
34
economic-technical research by support programmes and complementary measures.
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
35
regulated in it for the support of the scientific research" ("science fund").
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
36
appropriate administration of the financial resources.
37
The supportable projects could be in the field of:
1. 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
38
projects have to be communicated and utilised.
4.2. 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, 14.1.2006
35
Vgl. Forschungs- und Technologieförderungsgesetz § 2, 14.1.2006
36
Vgl. Forschungs- und Technologieförderungsgesetz § 4 Abs.a, b; § 4a Abs.a
37
Vgl. Forschungs- und Technologieförderungsgesetz § 11
38
Vgl. Forschungs- und Technologieförderungsgesetz § 18 Abs 2
and research. Besides, he quick spreading and realisation of the results of science and research is one of
39
the implemented aims.
The lasted supports can be received in
immediate rights (monetary-worth quid
support commitment is bound, like the
principles of the Austrian research and
40
Republic of Austria.
form from subsidies or preferred advances. Principle is that no
pro quo) originate from claim of a support by the alliance. A
criteria FTFG (§4a FTFG), to an observance of the aims and
technology politics, in particular the research strategies of the
4.3. UNIVERSITY LAW 2002
The university law 2002 formulates in article. 1 §13 paragraph d, from the 1.10.2004, that the university
has to make her contribution to the development of the company. The aspect will taken into account by
41
knowledge and technology transfer.
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
42
enough.
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
43
inventor has the right for realisation by himself.
39
Vgl. Art. 1 §1, FOG, 1.7.2000
40
Vgl. Art. 1 § 11, FOG, 15.7.2004
41
Vgl. Art. 1 § 13, Universitätsgesetz 2002, 1.10.2004
42
Vgl. §7 Abs. 2,3 Patentgesetz 1970, 1.7.2005
43
Vgl. Art. 1 § 106 Abs. 3 Universitätsgesetz 2002, 1.10.2002
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
44
the purpose of regulation and realisation of the intellectual property at the universities are to be called.
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
45
economy by intensification the quantitative and qualitative of research and development.
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.
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.
46
Patent utilisation & uni:invent
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







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. http://www.ffg.at/content.php?cid=68

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 (www.accent.at)
 BCCS-Business Creation Center Salzburg, Salzburg (www.bccs.at)
 build!, Carinthia (www.build.or.at)
 CAST, Tyrol (www.cast-tyrol.com)
 INiTS, Vienna (www.inits.at)
 SPG-Science Park Graz, Styria (www.sciencepark.at)
 tech2b, Upper Austria (www.tech2b.at)
 v-start, Vorarlberg (www.v-start.at)
 ZAT – Centre for appliance technology, Styria (www.unternehmerwerden.at)
6.3. 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).
Figure 1:K-Centres locations
6.3.1.
48
COMET - Competence Centres for Excellent Technologies49
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 BestPractice 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.
6.3.2.
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
49
FFG Jahresbericht 2004
Vgl. FFG, http://www.ffg.at/content.php?cid=851
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, 10 - 20 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 20 - 40 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
–
 ABC
–
 AC²T
–
 ACV
–
 alps
–
 CTR
–
 ECHEM –
 FTW
–
 KNOW –
 LCM
–
 LKR
–
 MCL
–
 PCCL
–
 SCCH –
 VIF
–
 VRVis –
 WOOD –
Angewandte Biokatalyse, Graz
Austrian Bioenergy Centre, Graz
Austrian Center of Competence for Tribology, Wr. Neustadt
Advanced Computer Vision, Wien
Center of Natural Hazard Management, Innsbruck
Carinthian Tech Research, Villach
Applied Electrochemistry, Wr. Neustadt
Forschungszentrum Telekommunikation Wien, Wien
Knowledge Management Center, Graz
Linz Center of Competence in Mechatronics, Linz
Leichtmetall-Kompetenzzentrum Ranshofen, Ranshofen
Materials Center Leoben, Leoben
Polymer Competence Center Leoben, Leoben
Software Competence Center Hagenberg, Hagenberg
Das Virtuelle Fahrzeug, Graz
Zentrum für Virtual Reality und Visualisierung, Wien
Wood Composites & Chemistry Competence Center, Linz
K_ind – Centres (industrial competence centres)
 ACC - Fahrzeugakustik, Graz (www.accgraz.com)
 ec3 - eCommerce, Wien (www.ec3.at)
 evolaris - Interaktives eBusiness, Graz (www.evolaris.net)
 HITT - Health Information Technologies, Innsbruck (www.hitt.at)
 ikma - Mechatronik und Automation, Linz (www.ikma-linz.at)
 IMA - Integrated Microsystems Austria (www.ima-mst.at)
 IMCC - Industriemathematik, Linz (www.indmath.uni-linz.ac.at)









KERP - Elektro(nik)altgeräte-Recycling und nachhaltige Produktentwicklung, Wien (www.kerp.at)
KMT - Kompetenzzentrum Medizin Tirol, Innsbruck (www.kmt.at)
holz.bau forschungs GmbH - Holzforschung, Graz (www.holzbauforschung.at)
Kompetenzzentrum Holztechnologie , Wien (www.holzforschung.at)
Salzburg NewMediaLab - Neue Medien, Salzburg (www.newmedialab.at)
SBA- Secure Business Austria, Wien (http://research.securityresearch.at/home)
Kompetenzzentrum für umweltfreundliche Stationärmotoren - Umwelt und Energie, Graz
(www.lec.at)
V-Research GmbH Industrielle Forschung und Entwicklung, Dornbirn (www.v-research.at)
KAI Kompetenzzentrum Automobil- und Industrie-Elektronik GmbH, Villach (www.k-ai.at)
K_net – Competence Centres
 AAR - Luftfahrt / Verbund -und Leichtwerkstoffe, Seibersdorf (http://www.aar.arcs.ac.at)
 ACBT - Biotechnologie, Wien (http://www.acbt.at/cms)
 eTourism (anet - Tourismusnetzwerk, Innsbruck (http://www.anet-network.at)
 Kompetenznetzwerk für Fügetechnik (http://www.knet-join.at)
 Fahrzeugantriebskonzepte der Zukunft - Umwelt und Energie, Wien (http://www.k-net-kfzvkm.com)
 Kompetenznetzwerk Licht - Lichttechnik und Lichtgestaltung, Tirol, Vorarlberg, Wien
(http://www.k-licht.at)
 KnetMET - Metallurgische und umwelttechnische Verfahrensentwicklung, Linz (www.siemensvai.com/knetmet)
 RENET - Energie aus Biomasse, Wien (http://www.renet.at)
 Fahrzeugantriebskonzepte der Zukunft (HYBRIDCAR) - Umwelt und Energie, Wien
(http://www.zukunftsfahrzeug.at)
 Waterpool - Wasserressourcen - Umwelt und Energie, Graz (http://www.waterpool.org)
 SOFTNET - Kompetenznetzwerk f. Softwareproduktion, Graz (http://www.soft-net.at)
 COAST-Competence
Network
for
Advanced
Speech
Processing,
Wien
(http://www.coast.at/jsite/index.php)
7. OVERVIEW OF RTT MODELS
7.1. RTT MODEL OF BCCS50
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.
7.1.1.
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.
7.1.2.
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. http://www.bccs.at
7.1.3.
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
IT equipment
Loan for founder
Academy for founders,
Workshops
Start-Up expenditures
7.2. RTT MODEL OF UNI:INVENT51
7.2.1.
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, 2.6.2009
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.
7.2.2.
Implementing of uni:invent 2004 - 2009
2004-2006 uni:invent I
Construction of the patent service at the University of Salzburg at the department for research
support
 UG 2002 §106 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.




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.
2006-2008 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.
7.2.3.
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).
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
52
effects.
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
53
necessary programme to carry for the intentions of the legislator's invoice.
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.
9. CONTINUATIVE DOCUMENTS
9.1. RAT FÜR FORSCHUNG UND TECHNOLOGIEENTWICKLUNG
Strategie 2010;
download: http://www.rat-fte.at/UserFiles/File/Strategie2010.pdf
Endbericht-Erhebung österreichischer Forschungsinfrastruktur;
download: http://www.rat-fte.at/UserFiles/File/Austin,Pock+Partners_Forschungsinfrastrukturerhebung.pdf
9.2. BUNDESMINISTERIN FÜR
TECHNOLOGIE (BMVIT)
VERKEHR,
INNOVATION
UND
Systemevaluierung des österreichischen Innovationssystems - Kurzpräsentation BMVIT; download:
http://www.bmvit.gv.at/innovation/downloads/kurzpraesentation.pdf
Systemevaluierung der österreichischen Forschungsförderung und -finanzierung: Österreichischer
Forschungs- und Technologiebericht 2009;
download:
http://www.bmvit.gv.at/service/publikationen/innovation/downloads/technologieberichte/ftb09dt.pdf
9.3. THE COUNTRY SALZBURG: DEPARTMENT OF ECONOMY,
TOURISM AND ENERGY
Stärkung der Regionalen Wettbewerbsfähigkeit Operationelles Programm;
download: http://www.salzburg.gv.at/programm-broschuere.pdf
10. ANNEX
10.1. Tabele of TT-organisations
The list of TT-organisations is availabble in separate Excel document.
Germany – Baden-Württemberg, MecklenburgVorpommern and Saxony
COUNTRY REPORT GERMANY
Baden-Württemberg, Mecklenburg-Vorpommern and Saxony
DIRECTORY
1. Abbreviations
2. Introduction
3
4
2.1. National and regional key facts
2.2. Overview of the policy environment
4
5
3. National/regional TT situation
7
3.1. National innovation initiatives and their regional implementation
3.1.1. Entrepreneurial Region
3.1.2. EXIST – University-Based Business Start-Ups
3.1.3. Other programmes
3.1.4. Advisory bodies
3.2. Regional innovation initiatives
3.2.1. Baden-Württemberg
3.2.2. Mecklenburg-Vorpommern
3.2.3. Saxony
3.2.4. Advisory bodies and implementing institutions
7
7
8
8
10
10
10
11
11
12
4. Framework conditions of RTT
13
4.1. Legislation and regulation
4.2. Cultural and social attitudes
4.3. Institutional settings
13
13
14
5. Conclusion
15
18
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
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 3.
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
MecklenburgVorpommern
Saxony
82.1 million
10.7 million (13.0%)
1.7 million (2.1%)
4.2 million (5.1%)
2,443,550
3,329,349
8,207,634
491,797
363,834 (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%)
2,289,465
3.3 million (7.8%)
Automobile, chemical,
maritime and
aerospace industry,
mechanical and plant
engineering
2,492,000
30,343
297,567 (13.0%)
229,129 (4.1%)
Mechanical and
electrical engineering,
automotive and metal
industry, data
processing
364,304
33,876
37,305 (1.6%)
124,211 (14.1%)
119,389 (5.2%)
279,573 (12.8%)
55,739
2.5%
13,681 (25.5%)
4.2%
Socio-economic status
Population (2008)
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.)
Unemployment (Ø in 2008)
Main industries
GDP in million € (2008)
GDP per capita (2008)
Expenditures on R&D (2005)
- GERD (in million €)
- R&D intensity (GERD/GDP)
Maritime, healthcare and
food industry,
agriculture, tourism
Automobile, metal and
food industry,
electrical engineering
35,867
21,439
95,119
22,620
447 (0.8%)
1.4%
1,986 (3.6%)
2.3%
Technology transfer data
Number of universities (2009)
Number of students (2008)
Human resources in science
and technology
(in 1,000; 2007)
394
70
9
1,996,062
237,234
37,102
27
19,753
2,740
404
1,184
194.1
26.8
44.2
5.0
385.0
48.8
97.7
6.4
26.1
2.8
4.2
2.5
68.6
13.7
16.6
2.1
105,745
European Patent Office
applications per million
inhabitants (2005)
- Total
- High-tech patents
- ICT patents
- Biotechnology patents
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 2006. 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
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.
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 2007-2013 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.
3.1. 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 – UniversityBased Business Start-ups‖, and (3) ―ZIM – Central innovation programme for SMEs‖. These three groups
contain more detailed programmes and initiatives.
3.1.1. 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,
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.
3.1.2. EXIST – University-Based Business Start-Ups
A basis for the current EXIST programme was already created with the EXIST idea competition (EXIST I)
in 1998. 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‖).
3.1.3. Other programmes
ZIM
―ZIM – Central innovation programme for SMEs‖ is a directive of the BMWi started in 2008. 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.
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
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.
High-Tech Gruenderfonds
High-Tech Gruenderfonds is an investor fund raised by a combination of public, the federal ministry of
economics and technology, and private investors. The support is aimed for technology-based start-up
companies with significant competitive advantages and sustainable market opportunities. The
technological innovation has to be a core competence in the company and the further development should
be sophisticated and application orientated, in order that it is possible to develop a prototype or a proof of
concept within the financial support by High-Tech Gruenderfonds. In addition to the financial support,
High-Tech Gruenderfonds also assists with the experiences of their coaches, consultants and industrial
investors as well as a Germany-wide network.
3.1.4. 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.
3.2. 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.
3.2.1. 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 year 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 BadenWürttemberg‖ has the objective of the cooperation between industry and academia, as well as other
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.
Having a closer look on two financially supporting opportunities will point out the differences and therewith
a closer alignment to every project in Baden-Wuerttemberg. On one hand there is the initiative Innovation
Vouchers, which is aimed at scientific activities prior to the development of an innovative product, service
or process innovations as well as implementation-oriented research and development activities. On the
other hand the business division L-EA of the L-Bank Baden Wuerttemberg offers the financial aid in the
more classical understanding as supporting with equity capital or mezzanine money.
3.2.2. 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.
Another focus is the counselling and educational support in the Rostock region in which The Chamber of
Industry and Commerce Rostock as well as the Rostocker eXistenzgruender-Initiative (roxi) are
specialised in. Where roxi puts the main attention on workshops and providing generall information on
business founding, the Chamber of Industy and Commerce Rostock provides support orientated on the
special problems of specific cases.
3.2.3. 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. Centers for improving innovation competencies in Dresden and Leipzig
have been promoted, motivating a closer cooperation between universities, research institutions, firms,
and other organizations located in the region. As an example, since 2008, the Technological University of
Dresden counts with the Center for Innovation Competences of Dresden B CUBE, which main goal is to
develop more efficient materials and technologies, necessary for securing human subsistence. The center
enlightens the potential useful functions of molecular living systems, in combination with artificial systems.
Another example is in Leipzig, where the Center for Competences on Computer Assisted Surgery
researches about the optimization of surgical processes through a better integration and cooperation
between surgeons and computer systems.
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.
FutureSAX canalizes funds from the Sächsische Aufbank – Förderbank for fostering innovative
entrepreneurs in Saxony. Through this program, a successful realization of business ideas is supported,
based on three basic elements: the Business Plan Contest, in which up to 68.000 Euro are assigned; free
seminars related to sales; and network events, with information and contacts to legal specialists,
capitalists, firms, and partners.
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).
4. FRAMEWORK CONDITIONS OF RTT
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 2009.
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
th
universities built Germany‘s basis for regional technology transfer already in the 19 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.
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.
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
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 1991. 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 2001.
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
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.
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 BadenWürttemberg 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
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.
Hungary – Central Hungarian Region
COUNTRY REPORT HUNGARY
Central Hungarian Region
1. DIRECTORY
1. Directory
2. Abbreviations
3. Introduction
62
62
63
63
64
4. National and regional RTT situation
65
4.1. Innovation initiatives and their implementation
4.2. Advisory bodies and implementing institutions
65
65
5. Framework conditions of RTT
68
5.2. Grants and Funds
68
68
69
7. Conclusion
70
72
2. 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)
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 3.
Technology transfer related data of Hungary and the Central Hungarian Region:
Socio-economic data
Population (in 2008)
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)
Unemployment (in 2007)
Main industry (in 2004)
GDP in EUR (in 2006)
GDP per capita in EUR (in 2006)
Expenditures on R&D
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)
Hungary
Central Hungarian Region (no.
and percent of Hungary)
10 045 401
ISCED 0: 326 605
ISCED 1: 416 016
ISCED 2-3:
1 022 840
ISCED 4: 74 547
ISCED 5-6: 438 702
2 897 317 (28,8%)
ISCED 0: 88 785 (27,2%)
ISCED 1: 107 166 (25,8%)
ISCED 2-3: 264 891 (25,9%)
ISCED 4: 26 766 (35,9% )
ISCED 5-6: 187 025 (42,6%)
745 281 (7,4%)
Services (excluding
extra-territorial
organizations and
bodies)
90 007 EUR
8 900 EUR
GERD: 977,5 EUR
(in 2007)
R&D intensity
(Percentage of
GDP): 0.97% (in
2007)
134 616 (4,7%; 2% of Hungary)
Services (excluding extra-territorial
organizations and bodies)
Total: 77
Universities: 27
Colleges: 43
Others: 7
438 702
Total: 43 (55,8%)
Universities: 17 (63 %)
Colleges: 22 ( 51,2%)
Others: 4 (57,1%)
187 025 (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
42 475 EUR (47.2%)
14 800 EUR
GERD: 617,1 EUR (in 2006)
(68.5%)
R&D intensity (Percentage of
GDP): 1,37% (in 2005)
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.
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 2007-2013. 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 2009.
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.
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 2007-2013 (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 2007-2013).
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 2009-2010 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.
4.2. 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 2009.
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 2003. 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.
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.
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.
5.2. 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.
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.
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.
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
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.
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.
Italy – Lombardia
COUNTRY REPORT ITALY
Lombardia
By Eurogroup Consulting
1. INTRODUCTION
Country
Region
Socio-economic data
Italy
Lombardia
Population
59.619.290
9.642.406 (16 %)
Education (by ISCED)
Tot. 11.126.530
1.372.225 (12%)
- ISCED 0 ( Pre-primary
1.662.139
261.016 (15%)
(Primary
2.808.770
426.984 (15%)
- ISCED 2-3 (Secondary
4.571.824
420.377 (9%)
54.774
4.165 (7%)
2.029.023
259.683 (12%)
1.506.000
152.000 (10%)
education)
-
ISCED
1
education)
education)
-
ISCED
4
secondary
(Post-
non-tertiary
education)
-
ISCED
5-6
(Tertiary
education)
Unemployment
Main industry
Services
(trade,
credit,
services)
other
Services
(trade,
credit,
other
services)
GDP in eur (mio €)
1.479.981
311.701 (21%)
GDP per capita
24.823
32.326
Expenditures on R&D
-
GERD
15.598
3.345 (21%)
-
R&D intensity (GERD/GDP)
1,09 %
1,12 %
88
11
Number of students (tertiary education)
2.029.023
259.683 (12,7%)
Human
9491 (in 1.000)
1.835 (in 1.000)
Technology
transfer
data
Number of universities
resources
in
science
and
technology (in 1.000)
20%
European Patent Office applications (in
numbers)
-
Data per mio inhabitants
61,79
113
-
Total data High-tech patents
372
129
-
Total data ICT patents
593
179
-
Total data Biotechnology patents
70
30
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) 2008.
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
54
Scoreboard Innovation Innex (RSII) , 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).
The governance system has been traditionally characterised by the presence of many
policymaking entities operating without any effective coordination platform. The recent reform,
55
dealing with the allocation of power among State and Regions , 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) 2007-2013 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
55
The RSII index comes out from the annual analysis realized by FILAS, that is the Financial Instituion of Lazio Region .
Reform of Title V of the Constitution in 2001 and its application through the Law 131/2003.
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) 2007-2013, 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)
projects involving the Southern Regions.
―Research‖ 2007-2013,
focused on trasnregional
At the Regional/Local level, in Lombardia Region we can underline:
the Operative Regional Programme (POR) FESR 2007-2013, 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%).
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.
th
At the EU level, we can refer to the 7 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 2007-2013.
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 2015.
The first key element of the Lombardia context is the presence of about 350 public and private
56
R&D centers . The majority part of the mentioned R&D Centres operates in three sectors: ICT
(86), Red Biotech (83) and New materials (81).
56
Source: Regional knowledge platform QUESTIO - Quality Evaluation in Science and Technology for
Innovation Opportunity.
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:
4.1.1. 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.
4.1.2. 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.
4.1.3. “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.
4.1.4. University of Bergamo: Scientific Research & Technology Transfer
Office
Fund raising for national and European calls for proposals, support for the implementation of
European projects.
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 (www.mindinitaly.cnr.it) 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 2007-2013 funds to the financing of
I&TT. In particular, the budget line 1.1.1 provides grants for R&D investments and the budget line
1.2.1 supports the development of Regional Centres of Competencies.
Poland – West Pomerania
COUNTRY REPORT POLAND
West Pomerania
1.
INTRODUCTION
Socio-economic data
Population
Poland
38.115.000
West
Pomerania
1.692.300
(4,44% of
Poland)
Education (by ISCED)
education)
education)
- ISCED 4 (Post-secondary
- ISCED 5-6 (Tertiary
education)
Unemployment
839 996
34 836
2 602 120
3 625 323
116 713
158 907
290 284
12 135
2 145 687
95 500
1.718.800
77 500
(4,51% of
Poland)
Main industry
GDP in mln EUR
GDP per capita in EUR
Expenditures on R&D mln
EUR
- GERD
- R&D intensity (GERD/GDP)
-
Number of universities*
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
Production
stuffs/
energetic
stocks
272088,86
7300,86
Shipbuilding
and
energetic
industry
11008,2763
1512,565
0,006
Poland
37
747.600
20,945
0,002
West
Pomerania
2
47.400
5 971.25
244.27
2.191
18.08
24.12
2.71
2.36
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.
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.
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 (2007-2013) and National Development Plan 2007-2013.
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
2007-2013. 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 2007-2013 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
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.
The main relevant policy documents on both national and regional levels are:
-
National Development Plan 2007-2013 (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)
National Development Plan involves development of the operational sector programmes, among
which is Operational Programme „Research, New Technologies and information society‖ (20072013) 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 2007-2013 (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 2007-2013 (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
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 15-18 members of the
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 2005. 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 100 000 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.
- Operational Program Innovation Economy 2007-2013, 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.
3.1. 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.
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.
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.
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.
Ministerial Programme Patent Plus focuses on modernizing of technology transfer from science
units to business by supporting patent protection obtainment.
4.1.1. 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:
st
Adaptation and establishing of Regional Centre for Innovation and Technology Transfer - 1
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
8.2.1., 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).
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 2008-2013 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.
4.2. 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.
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
th
expenditures on R&D is equal to 2,7% GDP what puts the region on the 11 place among 16
provinces all over the country. Other rates also shows poor situation of the region – the number of
57
th
th
R&D institutions (11 position), expenditures on innovation activities of industry (12 position),
the number of national inventions given by Polish Patent Office, number of employed in R&D
th
activities (11 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.
Slovakia – Bratislava and Žilina
COUNTRY REPORT SLOVAKIA
Zilina and Bratislava region
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 3.
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.
Slovakia
Zilina region
Bratislava region
Population
5 412 254
Data date: 2008
Education (by
ISCED)
ISCED 0 ( Pre-primary
ducation)
ISCED 1 (Primary
education)
ISCED 2-3 (Secondary
education)
ISCED 4 (Post-secondary
ISCED 5-6 (Tertiary
education)
ISCED 0: 144 971
ISCED 1: 235 378
ISCED 2-3: 345 462
ISCED 4: 4802
ISCED 5: 197 943
695 698
Data date: 2007
(12,88 % of country)
ISCED 0: 35 487 (24,48% of the
country)
ISCED 1: 60 416 (25,67% of the
country)
ISCED 2-3: 88 863 (25,72% of
the country)
ISCED 4: 592 (12,33% of the
country)
ISCED 5: 45 592 (23,03%
country)
606 753
Data date: 2009
(11,2 % of country)
ISCED 0: 16 271
ISCED 1: 20 507
ISCED 2-3: 68 850
ISCED 4: 2051
ISCED 5-6: 64 924
Unemployment
336 926
(12,71 %)
Data date: May 2009
Automotive industry,
mechanical engineering,
electro technical engineering,
metal processing
Socio-economic
data
Main industry
GDP in EUR
GDP per capita
several data available, e.g.
according to IMF: Slovakia
has 22 040 USD/per capita
-
Expenditures on
R&D
GERD
R&D intensity
(GERD/GDP)
Data date: 2006
44,6 bil. EUR
Data date: 2006
64,8 bil. EUR
Data date: 2008
17 600 USD
Data date: 2008
15 012
Data date: 2006
252 095 mil. EUR
0,46 %
Data date: 2006
NUTS 2 region – including
Banska Bystrica region
34 047 (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
3,1%
Data date: May 2009
Automotive industry, services,
ICT, chemical industry,
mechanical engineering
17 bil. EUR
Data date: 2006
12 145 USD
Data date: 2008
26 400 USD
Data date:2006
22 273 mil. EUR
0,31 %
Data date:2008
Not available
Data date: 2007
Data date: 2005
20 public universities
3 state universities
10 private universities
2 foreign universities
230 515
4
11
45 592
75 836
Number of
universities
Number of students
© Copyright CERIM | Country reports – Analysis of RTT situation| Page 93
(tertiary education)
Data date: 2008
Human
resources
in
science and technology
(in 1.000)
Data date: 2006
not available
Data date: 2008
Per mil.: 5,8
High-tech: 0,572
not available
not available
Per mil.: 1.85
not available
not available
not available
not available
not available
not available
not available
Data date: 2005
Data date: 2003
total 23 437
9,9 per 1000
inhabitants
not available
Data date: 2007
European Patent
Office applications
(in numbers)
Per mio inhabitants
High-tech patents
ICT patents
Biotechnology
patents
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
1.2.
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 2009.
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 2007.
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 2007. 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. 2007 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-27 1.82
%) and share of business expenditure on R&D in GDP to 0.25 % (EU-27 1.17 %) in 2006. Slovakia accounted
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 15 200 to 15 000 in the period
2000–2006. 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 2005. Numbers of the Community trademarks per million
population were 16.7 in Slovakia, but 108.2 in the EU-25 in 2006. In the same year, Slovakia produced 27.3
Community industrial designs per million population, while the EU-27 average was 109.4. 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 2000
450
400
350
300
250
200
150
100
50
0
Rumania
Poland
Bulgary
Portugal
Slovakia
CR
Hungary
Slovenia
Ireland
Canada
Italy
GB
Belgium
France
USA
Austria
Japan
Denmark
Holland
Sweden
Finland
Germany
Swiss
8 1,3
No. of submitted patent applications on EPO per million inhabitants
No. of issued patents by USPTO per million inhabitants
R&D intensity as a % of GDP- business sphere, 2005
3,5
3
2,92
2,46
2,5
2
1,76 1,67
1,6
1,32 1,24
1,5
1
1,02 0,92
0,87 0,82
0,55
0,5
0,41
0,29 0,25 0,18
0,11
Bulgaria
Poland
Slovakia
Portugal
Hungary
Italy
Ireland
Slovenia
CR
Holland
Belgium
France
Austria
Denmark
Germany
Finland
Sweden
0
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 1998–2000 to 23 % in period 2002–2004, they still
account for about half of the EU-27 average level.
Enterprises with innovation activity, 2007
2. NATIONAL/REGIONAL TT SITUATION
Main documents relevant for Slovakia are rather recent, namely form 2007 and 2008. 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 (2008-2010), 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 2007-2013 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 2007.
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.
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
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.
Off course, there are some laws regulating and directing science policy and TT. Nevertheless, I think there are
not of any special importance.
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
There are no institutional settings in the Slovak Republic. There are barriers for TT – motioned in part 1.2 and
st
3.2. The real TT policy has just been created and 1 steps are being adopted in year 2009.
IN NOVATION SYSTEM OF SLOVAK REPU BLIC
SLO VAK PARLIAM ENT
Gover nmen t Coun cil fo r S& T
E uro pean Com is si on
SLO VAK G O VERNMENT
Gener al
and
In novati on
Pol icy
M aking
M inist ry of Ed ucation
M inist ry of Financ e
M inist ry of Ec onomy
Slovak Ace demy of Sciences
SARIO Slo vak I nvest ment
and Developm ent Ag ency
Higher Educat ion F acilit ies
National Ag ency f or the
Developm ent of Small
and Med ium Ent erpr ises
Gover nmen t
Agenci es
O ther m inist ries
Sl ovak Gua rant ee an d
VEGA G ra nt Age ncy
Devel opme nt Ban k
In novation F und
Science and T ech nolgy
Slovak I nnova tion an d
Assistan ce Agenc y
Ener gy Agenc y
E nte rpri ses , Pri vate Resear ch Ins tit utes
Vent ure Ca pit al P rovi ders
Sem i- publi c
and Pri vate
Fund ing
Bodi es
Busi ness I ncubat ors
Regi onal Offi ces of the
Seed Capit al Compa ny
Buss ines an d I nnovat ion
Cent res
Regi onal
In novati on
Sys tem
Regi onal Advis or and
In for mat ion Centr es
E xhi bit 1: sou rce - E ur opean T rend Chart on Inn ovati on - Sl ovaki a 20 06
Fi rst Cont act Poin ts
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)
2. Institute of Competitiveness and Innovations of the University of Zilina
Legal status: university institute
Rationale for establishing it, who established: University of Zilina (Faculty of Mechanical Engineering, Faculty
of Electrical Engineering)
 support of research excellence for students, PhD. students and graduates = university R&D
incubator,
 research and development in the area of High-Tech,
Key achievements:
 operation of incubator of new products, technologies and processes,
 hub for university students, PhD. students and graduates – several unique solutions proposed and
designed,
 CERIM project,
 contractual research for private companies.
3. Science and Technology Park Zilina
Legal status: association
Rationale for establishing it, who established: University of Zilina, city of Zilina, several private companies,
Zilina Self-Governing Region
 valorisation of R&D generated by university graduates (mainly in the area of ICT),
 creation and operation of business oriented university incubator for young graduates,
Key achievements:
 implementation of project ―Improvement of conditions for utilisation of science/technical potential of
young people in research‖,
 operation of functional technology incubator.
There are also five approved centres of excellence under the structural funds programmes, in Zilina region, but
these have just started their operation.
There are also several European technology platform operated also in the Slovak republic.
4. Technology incubators as transfer institutions in Bratislava
The mission of technology incubators is to facilitate the transfer of research and development results from
science environment to business by establishing innovative and technology-oriented companies. Their role
within an economy is to support knowledge-based economy by interlinking science, research and business
companies with the aim to improve competitiveness of the region. Technology incubators operating in Slovakia
are usually common business incubators providing cheaper premises, some technical equipment as copy
machines, cleaning service, secretariat or gatehouse. Important part of their activities is consulting including
business, accounting or tax counseling. Although their mission is the transfer of university knowledge and know
how into the practice the purpose of Slovak technology incubators lean only on accommodation of companies
with technological content or innovative approach. The element of closer relations between university and
companies is still missing. There are more reasons for that.
Another demerit is the financing of the newly based transfer institutions. After joining the EU and having the
opportunity to draw money from structural funds, most projects are financed just through these funds and are
based on current calls for proposals. This may bring several issues. Technology incubator in Bratislava for
example provided first two years after establishment advisory services for companies in incubator that was
supplied by external companies. After conclusion of the project the incubator could not afford it and the
companies lost the service that was treded off the most. Changeability and irregularity of financial sources
cause problems and therefore structural funds are an inadequate support for establishment and running of the
institution.
Slovenia
COUNTRY REPORT SLOVENIA
Slovenia
1. DIRECTORY
1. Directory
2. ABBREVIATIONS
3. INTRODUCTION
107
108
109
109
110
4. National / regional RTT situation
110
4.1. Policy documents
4.2. Actors
4.3. Policy initiatives and funds
4.3.1. Project-funding
4.3.2. TT-structure, investment, HR, consulting
5. Framework conditions for RTT
114
114
114
115
115
6.1.1. Technology Park Ljubljana
6.1.2. IRI UL as part of University of Ljubljana system
7. Conclusion
110
111
112
112
112
116
116
117
2. ABBREVIATIONS
CS Central Slovenia
EU European Union
IPR Intellectual / Industrial Property Rights
R&D research and development
SME small and medium sized enterprises
TT technology transfer
TTO technology transfer office
3. INTRODUCTION
The country report on Slovenia gives an overview of the situation in technology and knowledge transfer in
the country and especially in the Central Slovenia (the region around the capital Ljubljana). The report was
prepared with the help of questionnaire within WP3 and focuses on the situation in 2008 and first half of
2009.
Socio-economic data
Population (2008)
Education (by ISCED) (2007)
education)
Slovenia
Central-Slovenia statistical
region (part of Western
Slovenia)
2.032.362
521.965 (25,68% of country)
Number (% of
country):
43.227
NA
education)
- ISCED 4 (Post-secondary nontertiary education)
- ISCED 5-6 (Tertiary education)
Unemployment (2009)
Main industry (2009)
GDP in eur (2006)
GDP per capita in eur (2006)
Expenditures on R&D (2006)
GERD
-
R&D intensity (GERD/GDP)
Number of universities
Number of students
(2008)(tertiary education)
Human resources in science and
technology (in 1.000) (2007)
European Patent Office applications
(in numbers) (2005) per mio
inhabitants
95.394
181.637
2.101
115.944
82.832 (8,8 %) 15.800 (6,5 %; 19 % of all unemployed in the
country)
Manufacturing(chemical,
Telecommunications,
pharmaceuticals, electrical
Manufacturing
equipment, transport industries),
Telecommunications
31.008 mio
11.184 mio
15.446
22.286
483,812 mio EUR
356,241 mio EUR
(73,63 % of
country)*
1,56 %
NA
4
114.391
1
30.321
411,87
225,43*
24,079
NA
-
High-tech patents
1,78 (0,98 per mio inhabitants)
1,58 (no data per mio
inhabitants)*
-
ICT patents
4,78 (2,39 per mio inhabitants)
3,33 (no data per mio
inhabitants)*
-
Biotechnology patents
* Western Slovenia
1 (0,5 per mio inhabitants)
NA
58
58
Western Slovenia (NUTS-2): Gorenjska, Goriška, Obalno-kraška, Osrednjeslovenska (all NUTS 3); Eastern Slovenia (NUTS-2):
Pomurska, Podravska, Koroška, Savinjska, Jugovzhodna Slovenija, Zasavska, Spodnje-posavska, Notranjsko-kraška (all NUTS 3).
For statistic purposes and in relation to the EU cohesion policy, Slovenia is divided in 2 regions on NUTS2
level, a total of 12 regions on NUTS3. Osrednjeslovenska statistična regija (the statistical region of Central
Slovenia - CS) which comprises the capital Ljubljana and the neighboring municipalities, is located in the
heart of the country, the strongest region in Western Slovenia.
A quarter of population is located in this region where about a third of Slovenia‘s GDP is produced. The
strength of the region is shown also in the GDP per capita which was 45 % above the average national
number in 2005 (latest available data for regional level). Western Slovenia dominates when it comes to
R&D: over 70 % of all national spending in R&D is in this region, and more than a half of personnel
employed in science and technology. CS represents 93.5% of all research performed by the government
sector (public R&D institutes) and 78.4% of research performed by the higher-education sector. However,
the results are meagre when it comes to patent applications. In 2005, Slovenia had 24 patent applications
per million of inhabitants. Again, most of the high-tech and ICT patents were created in Western Slovenia.
Briefly, Central Slovenia, represents one of the most dynamic regions in Slovenia. It hosts the oldest and
largest Slovene university which attracts also students living in other regions. Most national institutions,
R&D included, have their offices in Ljubljana, so it is a defacto centre for R&D and related innovation in
the country.
59
Slovenia is not divided in administrative regions, thus the policies are created on national level. The main
documents are related to achieving Lisbon strategy goals. Development Strategy for the period 2006-2013
and the Resolution on National Research and Development Program (NRDP) set the basis for priority
topics and measures which are to be undertaken. Key policy creators are Ministry of Higher Education,
Science and Technology, Ministry of Economy and Government Office for Development and European
Affairs. The implementation (funding of measures) is in the hands of independent agencies within these
ministries. Funding is provided for the research projects as well as for the supporting infrastructure.
4.1. Policy documents
The main documents are related to achieving Lisbon strategy goals and date in 2005 and 2006. The latest
policy papers are from 2008. The Development Strategy for the period 2006-2013 and the Resolution
on National Research and Development Program (NRDP) set the basis for priority topics and measures
which are to be undertaken. The Strategy sets 5 general priorities for the future of Slovenia: competitive
economy, economic development and quality jobs, efficient and less costly state, modern social state and
higher employment, and sustainable development. R&D is seen as the main factor for development.
Within this, the linkage of business with academia, the restructuring of public R&D system (increased
investment, efficiency, strengthening the human resources and focus on high-tech and innovative
companies, definition of key research areas) and the mobility of researchers between the two sectors are
underlined.
59
Regional initiatives exist, but can only become fully functional when regions (their authority and form) will be set.
The NRDP which sets the plan for the period 2006-2010 and the Law on Research and Development set
the policy and the legal framework specifically for R&D. Within the public research funding, the accent was
on the general the scientific excellence of the research, with little priority, however, the NRDP changed
this by naming specific scientific fields (ICT; advanced (new) synthetic metal and non-metal materials and
nanotechnology; complex systems and innovative technologies; technologies for a sustainable economy;
and health and life sciences). Among, other, NRDP objectives are:
- increasing public R&D investment to 1% of GDP by 2010;
- shifting the balance of public research funds from basic non-targeted research in favour of targeted
(and applied) research;
- the introduction of support measures to stimulate the growth of investment by companies in R&D;
- a higher rate of establishment of new high-tech firms, including the promotion of university spin-offs;
- support for the growth of patents.
More recent documents (especially the Reform Programme for Achieving the Lisbon Strategy Goals and
Programme of Measures to Promote Entrepreneurship and Competitiveness 2007–2013) focus on the
importance of support for entrepreneurship and enterprise-friendly environment, as well as providing
financial stimulus to SMEs.
Although there are no regional policies and no region-specific measures foreseen in the NRDP, the
Slovenian Development Strategy underlines the need for more coherent regional development. In this line,
the government supports the development of several regional business-infrastructure-technology centres,
which include the business infrastructure and development of R&D and innovation facilitators. Regional
development is included in operational programs funded by the European funds: especially in the
operational program for Strengthening Regional Development Potentials (funding from the European
Regional Development Fund), which sets activities in regions with regards to competitiveness and
research excellence and economic development infrastructure.
4.2. Actors
Policies were created primarily by ministries of Economy; of Higher Education, Science and Technology;
and of special government Growth Office. This was done through the consultation with The Council for
Higher Education, Sustainable Development Council, and to smaller level Competitiveness Council where
representatives of universities, companies and public were included.
Ministries and their subordinate agencies remain responsible for implementation. While the first provide
funds for funding measures and implementing agencies; and supervise the implementation, three
agencies have the operative role of publishing calls for grants and distributing the funds. The Ministry of
Higher Education, Science and Technology is responsible for the preparation of the policy documents
in the R&D area and for its implementation. This is done through two independent public agencies: the
ARRS (Slovenian Research Agency) is in charge of financing public research projects, whereas
TIA (Slovenian Technology Agency) promotes and funds technology development. The Ministry of
Economy is in charge of the programs which combine entrepreneurship and innovation (eg. the support
for technology parks). It also provides funding through JAPTI (Public Agency for Entrepreneurship and
Foreign Investment) for implementation and coordination of measures for enterprises and investments.
The Government Office for development and European Affairs is responsible for the implementation
of the Slovenian Development Strategy as well as the Reform Program for Achieving the Lisbon Strategy
Goals.
The Competitiveness Council is, together with the Council for Science and Technology, responsible
for ensuring that the Slovenian development strategies and the related programs are implemented fully.
The council should thus serve as a coordinator and issue directions for the updating of programs. Yet, it
was formed only in early 2008, prior to the elections and did not take into account the existing structures.
Moreover, after the elections, the Ministry of Higher Education, Science and Technology was given a
bigger role and is planning to change the existing system.
As so many different stakeholders exist, there is a need for a clear R&D governance scheme with a wellspecified division of tasks.
4.3. Policy initiatives and funds
The fragmentation of grants and measures is a characteristic of Slovene system. Public funding for
innovation and technology is in the domain of two ministries of and three agencies (ARRS, TIA, JAPTI),
with the rather separate focus on business and academia. Thus there are initiatives for research projects
per se and initiatives which aim at funding the TT structure (incubators, science parks, excellence
centres), for investment (predominantly in SMEs and in research organizations), for personnel exchange
(e.g. young researchers programs) and for consulting services (e.g. voucher consulting for SMEs).
According to the data on gross R&D expenditure from 2005, some 62% of government-financed research
is devoted to non-oriented research. This is quite the opposite of the business R&D expenditure which is
concentrated in industrial production and technology (48%). Most of the public funds go to research
institutes and universities (89.7%), whereas the majority of business sector R&D investment remains in
R&D within the sector.
4.3.1. Project-funding
a) Incentives to interdisciplinary teams for technology development projects in enterprises
The aim is the co-financing of establishing interdisciplinary teams of experts/ researchers to work on
development of new technologies in enterprises in selected fields of research. This should provide for an
increase of qualified experts, especially in SMEs. The measure enables formation of research teams on a
project basis.
b) Centers of Excellence
Centers of Excellence are consortiums of companies and research organizations (public and private),
funded by the Ministry of Higher Education, Science and Technology) which implement research projects
on key technology areas. In 2009, a new call which earmarked 84 mio EUR is out for the period 20092013 and results are to be published by autumn. The aim is to create long term partnership between
business and academia through enabling experts from both sides to work together as well as to finance
the investment in equipment.
4.3.2. TT-structure, investment, HR, consulting
c) Young Researchers Program – Program Mladi raziskovalci
This scheme finances young students, selected by higher education institutions and PROs to be potential
candidates for researchers, during their PhD studies. During their studies they have a mentor in this
institution and take part in the research. Similar program, Young Researchers in Business, was initiated in
2006 and sponsors the PhD studies for young researches employed in private organization (business
sector, technology centre or regional development agency). The agency (ARRS, TIA for business) pays
for their salary, tuition fees as well as mentorship costs.
Around 1200 young researchers are sponsored every year, and between 200 and 250 new young
researchers complete the program every year. Each of these students has to take a compulsory course on
Entrepreneurship and Innovation. The aim is to equip future researchers with very basic knowledge of
entrepreneurship and motivate the long-term academia-business cooperation.
d) Co-financing of employment of researchers in enterprises
Financing the increase of research capabilities in business R&D units through increasing the number of
PhD researchers in business sector. Companies can apply for reimbursement of the labour costs of the
researchers who left the PRO to join a specific research project for a minimum of three years. The
measure should contribute to better linkages between researchers from enterprises and PROs
and minimise cost of transfer of innovations. The instrument should improve relatively weak educational
structure of R&D personnel in companies.
e) Co-financing of start-up of innovative companies
Funds are provided by Slovene Enterprise Fund (Ministry of Economy) to start-up companies, located
within business or university incubators or technology parks. The main objective is to provide financing for
further development, implementation of their business/ production program. This should enable
sustainability for the new high-tech firms and allow them to grow faster.
f)
Financial Assistance to institutions supporting innovation activity (incubators, technology parks)
Funding by MVZT for networks providing advice and support to innovators (individuals, SMEs) and thus
the creation of a stable and stimulating framework. Activities such as seminars on IPR, participation at
various fairs, publication activity, etc. are eligible for financing.
g) VEM services
Support for a network of local consultancy companies which will be able to assist the JAPTI in providing
different services to SMEs, especially to new businesses. JAPTI (Ministry of Economy) will co-finance the
services provided by the selected consultancy firms in their locality. The programe will cover standard
business consultancy on setting up a firm, assistance in registering as well as running of the voucher
program. This system should provide for easier access to start-ups especially.
h) Technology equipment subsidies for SMEs
Financing the investment of SMEs in new technology. The main goals are: technological restructuring and
modernisation of SMEs, growth of value added per employee, increase of the number of employees.
Ministry of Economy wishes to improve the competitiveness of SMEs and create new jobs.
The most important legislation is the one that covers IPR. The Industrial Property Act was adopted in
2006, whereas the following year saw the adoption of Job Related Inventions Act. The main change is in
the concept of IPR – now the innovations created by employees in publicly financed institutions (such as
university) are owned by employer who also has to decide about the patenting. There are no fixed rules
about the share in the profits between inventors and the institution.
Other regulations have been set in order to cut the bureaucracy at creation of companies: the e-VEM
system enables individuals to register a company over internet, and it also provides information on
entrepreneurship. Support especially for SMEs has been provided also through voucher system for
consulting.
Since 1994, commercial companies which have a registered research department have also been
considered to be research organizations and are thus eligible for certain funds. In 2009, several calls for
investment in R&D, especially in the SMEs, were open. Yet, the bureaucracy at applying for various funds
and grants is another issue outlined by the Chamber of Commerce and new regulations regarding the
applications conditions are called for. In 2006, tax incentives for private-sector R&D investments were
introduced.
Slovenia does not have a tradition of independent technical universities. Koper, Ljubljana and Maribor
universities cover all fields of science, whereas the most recent (established in 2004) private university in
Nova Gorica has been built upon the basis set by a strong natural sciences departments. Thus the
contact with companies was established by each faculty, and usually not on the university level.
The first two universities are more academically oriented, yet, due to this perceived lack, also have the
strongest push in creating new ways and systems of TT.
In the past, the industry-science relations were fostered by the research departments in companies (eg.
telecommunications) and by creation of special institutes (eg. biology, chemistry) either within
universities or independent. A shiny example of the latter is the Institut Josef Stefan, which employs about
800 people and is a leader in in research in physics, chemistry and biochemistry, electronics and
information science, nuclear technology, energy utilization and environmental science. Its 170 researchers
are habilitated lecturers on Slovene universities. It has co-established university in Nova Gorica and is,
together with companies, one of the founders of Ljubljana technology park. However, the perception of
lack of cooperation between public research and business sector remains as one of the main challenges
for innovation policy.
Main cultural attitude is related to the understanding of the intellectual property in PROs: the idea of the
inventor as the owner is to be replaced by new legal concept where the organisation, and not the
individual, is in charge of these rights. Another issue is the moral values of scientists as autonomous
researchers who do not plan to search profit with the knowledge they create. This, however, is an attitude
which is being changed by new generations.
On the other hand, there is a lack of entrepreneurial spirit. Slovenes are risk-averse, and
competitiveness is not a value per se. As the academic system is relatively closed, with high
administrative barriers when it comes to obtaining jobs and status, professors think twice before leaving
the relatively secure post at the university. Moreover, students are not systematically taught
entrepreneurial skills or given an impetus to try their ideas on the market.
The institutional setting is the result of the cultural values and shows how the legislation and the regulation
acts are being implemented. What can be understood as a barrier is first and foremost outlined by the
high number of various actors and their sometimes overlapping roles. The institutions do not cooperate
well and there is no efficient coordination between all the measures and policy instruments.
One of the key issues is also the implementation of the programs and policy documents. In the past, the
specific measures for achieving the goals were underfinanced or did not even address the defined
priorities. Linked to it is the evaluation of the measures – it must be performed regularly and provide for
comparison through the years.
Another challenge is the fact that business R&D activity is typical of large corporations, however remains
highly concentrated on a few sectors (pharmaceuticals, communications equipment and machinery and
equipment). On the other hand, the SMEs are less keen on R&D cooperation and innovation. This is why
so many measures, from investment funds to the researcher mobility through counsel vouchers, target the
SMEs.
Yet, there are also opportunities. One is a strong position of science and technology within the
independent ministry for Science, Higher Education and Technology (MVZT), in charge of financing the
basic (through ARRS – the Slovenian Research Agency) and applied research (through TIA – Public
Agency for Technology). Although the competitiveness is within the domain of Ministry of Economy, the
MVZT also coordinates programs in the area of promotion of new technology development and supports
technological development and innovation in the Slovenian industry. In autumn 2008, the government
announced its plans to continue the support for R&D and innovation in the planned budget shifts caused
by the financial crises.
Another opportunity is continuous support for successful initiatives. One success story which builds
on the business-academia relationship initiated in 1980s is the Mladi Raziskovalci – Young Researchers
program.
Main models of TT in Slovenia are the so-called support mechanisms (incubators, technology parks),
centres of excellence and, recently, TTOs. Other forms, such as technology platforms and clusters
reached the peak of popularity in 2005, whereas now they are less active. University TTOs have only
been created, given the changes in IPR legislation in 2006 and 2007 which demands all employers to
establish an office for IPR. All in all, policy documents provide for models already known and established
in the EU. As some are relatively recent (such as TTOs), it is hard to evaluate them.
6.1.1. Technology Park Ljubljana
Technology Park Ljubljana (TP LJ) is a private company (ltd.) with mixed ownership (among them ICT
company, pharmaceuticals company, national institutes for chemistry, biology and physics and Ljubljana
municipality which owns round 70 %). TP LJ was set up in 1995 with the aim to provide protagonists of
high-tech entrepreneurial initiatives with suitable assistance in transferring research, development and
technological potentials to the market by means of managing physical infrastructure and ensuring
specialized know-how and support. In 2007 it moved to new facilities.
Technology park provides the organisation and environment for the development of technology based
entrepreneurship. It motivates, verifies and assists in the realisation of entrepreneurial initiatives through a
high concentration of knowledge and higher growth potential.
Today, its activities are directed towards:
• Development of internationally competitive high-tech enterprises,
• Creating business synergies (know-how, infrastructure, optimisation of procedures, cost streamlining,
consultancy, ties among enterprises),
• Commercialisation of development and research activities, in particular in the fields of ICT,
automatisation in industry, biotechnology, development of new materials, environmental protection.
At the end of 2007, TP LJ had revenues of 4 mio eur and 102 incorporated enterprises, 40 of which were
in the incubation phases. They employed round 500 staff, out of which 2/3 have finished tertiary
(university) education. In 2007, 49 business initiatives were investigated, and 20 new enterprises
admitted. Most members of TP LJ are active in the field of ICT, new materials, energetic, biotechnology,
chemistry and medicine. The premises of TP LJ host also service enterprises providing business
(accounting, legal, consultancy and financing) services to companies.
6.1.2. IRI UL as part of University of Ljubljana system
IRI UL - Institute for Innovation and Development of University of Ljubljana - is the innovation and
development institute and service for knowledge and technology transfer of the University of Ljubljana. It
was established in 2007 by the University of Ljubljana and leading Slovenian companies. It is a non-profit
research and development institution whose aim is to establish a long run and reciprocal partnership
between the University of Ljubljana, Slovene industry and public institutions in order to foster research and
development activities. The mission of the IRI UL is to identify the research and development needs of the
Slovene economy and competencies of researchers at the University of Ljubljana. The main aim is to
enable the university staff to participate in commercial research projects.
IRI UL is a part of the TT-structure of the University of Ljubljana, which comprises also an office for
intellectual property at the rectorship and an independent university incubator (LUI). IPR office, supported
by the SIPO (Slovene Intellectual Property Office), is – in accordance with the requirements of the
Industrial Property Act and Job Related Inventions Act which covers inventions created during
employment– in charge of patenting the intellectual property which is created by professors during their
work at the university. The office, functioning since 2008, also provides consults and proposals regarding
IPR to the university administration. LUI is a company, established in 2004 for promoting entrepreneurial
culture predominantly among students and professors of Ljubljana University by providing support
(workshops, networking, and facilities) for start-ups.
University of Ljubljana – concept of knowledge and technology
transfer
Intellectual Property Rights Office at UL
(Patent office)
Innovative products and technologies;
New knowledge with market potential;
Consulting;
Life-long-learning programs;
New spin-offs
Le
UL
's
IP
Le
ga
ls
up
po
rt,
LUI – Ljubljana University Incubator, Ltd.
UL
's
(non-profit ltd.; established by UL)
IP
Cooperation at creating R&D-prijects and establishing spin-offs






Support at creating and initiating university-start-ups
Help to students and employees at realising their business ideas
Improving entrepreneurial thinking in the academia
Improving business knowledge in academia
Help at creating the spin-offs
Support for self-employment and improving of career opportunities
Co-establishing companies
S
RESULT





Knowledge and technology transfer, commercialisation of knowledge
created at the UL to economy, public administration, state, local
administration …,
Basic, applicative, development research adn projects,
Activities related to research infrastructure,
Activities related to IPR created within IRI UL projects,
Presentinng and promoting R&D achievements of UL & IRI UL
Training and education in the field of research, development and
innovation
R&D projects

l
ga
su
o
pp
rt ,
Economy & government &ministries & knowledge institutions & local administration & other environment
RESULTS
IRI UL
(private non-profit institution / institute under public supervision, coestablished by UL)
New companies: Spin-offs & startups
Picture: Concept of technology and knowledge transfer at the University of Ljubljana
7. CONCLUSION
Slovenia has created a somewhat complex scheme for R&D and innovation policy, which includes several
ministries (but mainly Ministry of Higher Education, Science and Technology; Ministry of Economy; and
Office for Development and European Affairs) as well as their specialized agencies, in creating and
implementing the policy. As there are no clear limitations of responsibilities, the initiatives overlap and
create confusion among the beneficiaries and most of all result in a lot of red tape. Moreover,
governments are keen on changing the structure by shifting departments within ministries (the latter case
with the uniting of former Office for Growth with the Office for EU Affairs). This is why a stable system and
strong coordination platform is needed, yet so far it does not exist.
On the level of financing R&D and innovation, there is a need to support more focused, applied research.
Slovenia has determined the priority areas and should now strengthen them also by administering
sufficient funding, not just policy documents. On the other hand, tax incentives and measures for R&D
investment in enterprises are just as important.
In the area of linking the academia and business, there is clear endorsement of mobility of the research
personnel between the two sectors. Moreover, these programs, some are over 20 years old, have proven
to be successful. There is also an increase in the support for joint projects, e.g. through the Centers of
Excellence.
Yet the feeling of a mistrust between the business and academia remains as the two work with different
concepts: whereas business has clear time and market constraints, the academia is marked by the idea of
autonomy. Another issue is the lack of entrepreneurship among the staff at universities. Impetus for
turning the innovations and ideas into business has increased in the recent years, especially through the
financing of incubators‘ activities and similar support structure.
Recently, the creation of TTOs at universities has pointed to the question of critical mass and
specialization. As the universities comprise of so many various research fields, the new TTOs are
struggling to cover as many as possible. Clear focus is rare. Moreover, they are understaffed and
underfinanced. Given the relatively low number of patents and the fact that 3 out of 4 universities are
public, it would make more sense to temporarily establish a central TTO structure (maybe following
example of German universities).
Innovation and R&D policy goals can be achieved only by coordination of all actors and measures.
Copying models that have worked elsewhere and hoping that financing will do the trick, is an illusion. A
change in traditions and values is needed, as well as consistency of policy. The endeavours at promoting
entrepreneurial spirit and awareness-rising about IPR surely are a step in right direction, but Slovenia will
have to do much more.

CERIM - WP3 - COUNTRY REPORTS

Transcription

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