concept for danube technology transfer centres including a ... · concept for danube technology...

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Concept for Danube Technology Transfer

Centres including a tool-kit on DTC creation

and implementation

Project Danube-INCO.NET

Project Number 609497

Deliverable Number: D5.8

Submission Date 30.06.2014

Responsible author(s): Steinbeis-Europa-Zentrum (SEZ)

Concept for Danube Technology Transfer Centres including a tool-kit on DTC creation and

implementation (D5.8) Danube-INCO.NET

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Document Control Sheet

Work package Number WP5

Work package Title Promoting Innovative and Inclusive Danube Societies

Task Number T5.2

Task Title Danube Transfer Centres

Deliverable Number D5.8

Deliverable Title Concept for Danube Technology Transfer Centres including a tool-kit on

DTC creation and implementation

File Name 2014-06-18 D5 8 Concept Tool-kit DTC_v08_comments_Svarc_to_send

Number of pages 29

Dissemination level Public

Main author Robert Gohla, Daniela Chiran, Dorothea Haas (Steinbeis-Europa-Zentrum)

Contributors Elke Dall (ZSI), Davor Kozmus (Ministry of education, science and sport,

Slovenia)

Quality Assurance Jadranka Švarc (Institute of Social Sciences Ivo Pilar)

Versioning and Contribution History

Version Date Author/Editor Contributors Description/Comments

_v01 09.04.2014 Chiran/Haas Concept note

_v02 10.04.2014 Elke Dall Review

_v03 08.05.2014 Chiran/Haas 1st draft deliverable

_v04 14.05.2014 Jadranka Švarc QA Review

_v05 15.05.2014 Davor Kozmus QA Review

_v06 15.05.2014 Elke Dall QA Review

_v07 10.06.2014 Gohla/Chiran/Haas 2nd draft deliverable


_v09 18.06.2014 Haas 3rd draft


Document last saved on 18.06.2014



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1 Content 1 Content ............................................................................................................................................ 3

List of Figures ....................................................................................................................................... 4

List of Abbreviations ............................................................................................................................ 4

2 Executive Summary ......................................................................................................................... 5

3 Introduction ..................................................................................................................................... 6

4 Tool-kit for DTC creation and implementation ............................................................................... 7

4.1 Step 1 Analysis of environment of DTC ...................................................................................... 7

4.2 Step 2 Analysis of host organisation of DTC ............................................................................... 8

4.3 Step 3 Analysis of demand for DTC .......................................................................................... 10

4.4 Step 4 Development of business plan for DTC ......................................................................... 11

4.5 Step 5 Legal framework for DTC ............................................................................................... 12

4.6 Step 6 Management profile of DTC .......................................................................................... 13

4.7 Step 7 Qualification of DTC staff .............................................................................................. 14

4.8 Step 8 Financial management of DTC ...................................................................................... 15

4.8.1 Managerial finance .......................................................................................................... 15

4.8.2 DTC Funding ..................................................................................................................... 17

4.9 Step 9 Growth strategy for DTC ............................................................................................... 18

5 Conclusions and Recommendations ............................................................................................. 19

6 Bibliography ................................................................................................................................... 20

Annex I - Example of SWOT analysis for a DTC...................................................................................... 21

Annex II - Activities and costs for setting up a DTC ............................................................................... 23

Annex III - Template of company audit form ........................................................................................ 25

Annex IV - Example of training agenda ................................................................................................. 29



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List of Figures

Figure 1: Foundations of tool-kit for DTC creation and implementation ................................................ 6

Figure 2: Step 1 of DTC creation & implementation ............................................................................... 7

Figure 3: Step 2 of DTC creation & implementation ............................................................................... 8

Figure 4: Step 3 of DTC creation & implementation ............................................................................. 10



Figure 7: Legal functioning of DTC activity. ........................................................................................... 12



Figure 10: Step 8 of DTC creation & implementation ........................................................................... 15

Figure 11: Factors influencing pricing ................................................................................................... 17

Figure 12: Step 9 of DTC creation & implementation ........................................................................... 18

Figure 13: Steps of DTC creation & implementation ............................................................................. 19

List of Abbreviations

Danube-INCO.NET Danube Region INCO-NET DoW Description of Work DTC Danube Transfer Centre EUSDR European Union Strategy for the Danube Region I&TT Innovation and Technology Transfer PA Priority Area PC Profit Centre R&D Research & Development SME Small and Medium-sized Enterprise TT Technology Transfer WP Work Package



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2 Executive Summary Deliverable 5.8 outlines a scheme for creating and implementing technology transfer centres in

the Danube region - the so-called Danube Transfer Centres (DTCs). The following report is part of

Task 5.2 “Danube Transfer Centres” belonging to Work Package 5 “Promoting Innovative and

Inclusive Danube Societies” in the Danube-INCO.NET project. As such, this deliverable is a part of the

European Union Strategy for the Danube Region (EUSDR) which aims at boosting the development of

the Danube Region. EUSDR addresses a wide range of issues in which Priority Area (PA) 8 focuses in

particular on the promotion of the region’s competitiveness. This document contributes to this goal

to a considerable extent by addressing the challenge of innovation & technology transfer (I&TT). The

present concept for a tool-kit on DTC creation and implementation has been developed in the

context of the Working Group I&TT of PA 8 of EUSDR which is coordinated by Steinbeis. In addition to

the Working Group I&TT, Steinbeis could gain experience and good practices in the pilot project

“Danube Transfer Centres” in 2012 and 2013. Based on this experience, the present document

does not intend to be exhaustive but provides a useful concept by showing nine necessary steps

for DTC creation and implementation:

Step 1: Analysis of environment of DTC regarding political, socio-cultural, economic,

technological and environmental and legal aspects is indispensable.

Step 2: Analysis of host organization of DTC such as universities or research institutes.

Step 3: Analysis of demand for DTC because a DTC must try to understand the needs of its target

audience - SMEs. Yet, a basic idea of what may be useful to offer as DTC services in general is

already existent.

Step 4: Development of business plan for DTC such as the business plans for DTCs in Nitra,

Bratislava and Cluj-Napoca SEZ’s has developed during its DTC project in 2012 and 2013.

Step 5: Legal framework for DTC in order to create a DTC on a sound footing (Founding

document, legal functioning of DTC activity, employment contracts)

Step 6: Management profile of DTC as the role of a chief manager of a DTC is complex and

demanding being at the interface of both research and business.

Step 7: Qualification of DTC staff. Technology transfer is said to be a talent-based business

because often, it is difficult to find people speaking both the language of academia and industry.

Results of various studies indicate the importance for technology transfer professionals to

possess soft and business skills as well as hard skills.

Step 8: Financial management of DTC including the challenges of managerial finance and DTC

funding.

Step 9: Growth strategies for DTC comprise mainly two areas: firstly, the connection of DTCs on

regional, national and European level and secondly, the conception and elaboration of pilot

projects.

These nine steps are the building block of the concept for Danube Technology Transfer Centres

including a tool-kit on DTC creation and implementation. Yet, this deliverable is constantly evolving.

New experiences which could be gained must be integrated into the concept and new obstacles

identified in practice ask for new answers. In order to be always up-to-date, this document therefore

requires constantly input from new practical experience. Only such feedback loops can ensure that a

tool-kit can help practitioners to create and implement DTCs successfully.



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3 Introduction The EUSDR aims at boosting the development of the Danube Region. EUSDR is a macro-regional

strategy adopted by the European Commission in December 2010 and was jointly developed by the

Commission, the Danube Region countries and stakeholders in order to address common challenges

together. It addresses a wide range of issues in which PA 8 focuses in particular on the promotion of

the region’s competitiveness. This document contributes to this goal to a considerable extent by

addressing the challenge of technology transfer (TT): it outlines a concept for DTCs including a tool-

kit on DTC creation and implementation.

The present concept for a tool-kit on DTC creation and implementation has been developed in the

context of the working group I&TT of PA 8 of EUSDR (PA 8, 2014) which is coordinated by Steinbeis.

During workshops with stakeholders at EUSDR’s Annual Forum in Bucharest and Zagreb and during

further informal meetings, Steinbeis could identify important drivers and obstacles to TT. In addition

to the Working Group I&TT, Steinbeis could gain experience and good practices in the pilot project

“Danube Transfer Centres” in 2012 and 2013. In the context of this pilot initiative, Steinbeis has

established three DTCs [DTC Cluj-Napoca (Romania), DTC Nitra, and DTC Bratislava (Slovakia)] and

has developed a preliminary tool kit for creation and implementation of DTC. Finally, this deliverable

includes input from the “1. Eastern European Innovation Partnership High-Level Meeting” in

Stuttgart on 22 and 23 May 2014. This event was part of SEZ’s activities in task 2.1 of Danube-

INCO.NET which intends to support EUSDR Policy Dialogue. Professors as well as practitioners of TT

exchanged best practices and set the ground for an upcoming roadmap to stimulate the respective

capabilities in the Danube Region. This document takes into account the needs, barriers and good

practices identified during of all these activities.

The inputs and ideas gained during these activities have been structured by SEZ according to one

basic concept. TT always implies technology developers and technology recipients. They have to

interact closely as shown in Figure 1 – either directly or indirectly via an intermediary such as a DTC.

Figure 1: Foundations of tool-kit for DTC creation and implementation



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Based on the assumption shown above, DTCs have three main priorities.

First of all, they try to support the competitiveness of companies through new product

development in collaboration with universities and/or Research & Development (R&D)

organizations. They are organized as “one-stop-shops” mainly for small and medium sized

enterprises (SMEs) with regard to I&TT and installed mainly at universities and research

organizations and will have one common approach and strategy.

Secondly, DTCs intend to promote the cooperation between universities and companies in

Danube region by bridging the gap between research and innovation. Their mission is to link

industry and research.

Finally, they try to foster the knowledge exchange at Danube level in an inter-regional network.

DTCs can be regional hosts for common projects regarding I&TT. They can coordinate and create

synergies and links between existing TT activities in the Danube area and build a transnational

network of TT centres in order to ensure the involvement of international experts at any stage.

Various benefits for the participating organizations can be expected. Firstly, tools for capacity

building can be identified and an increase of resources towards a systematic and professional

approach of TT activities can be achieved. Secondly, international visibility and strong labelling of

excellence in TT may be possible. Last but not least, applied research projects on a regional and

European level can be developed.

4 Tool-kit for DTC creation and implementation The following nine sections of chapter 4 describe the different steps of creating and implementing a

DTC. They are explained in a sequential manner suggesting a linear application. Yet, the authors of

this deliverable would like to emphasize in this context that the order of the different steps may vary

from case to case. It may be even possible that some steps have to executed several times or even

constantly (e.g. Step 3 Analysis of demand for DTC services or Step 8 Financial management).

4.1 Step 1 Analysis of environment of DTC

Figure 2: Step 1 of DTC creation & implementation

In order to better understand and assess the potential of certain regions, a general analysis of the

area is indispensable. It is recommended to describe the following aspects:

Analysis of environment

of DTC

Analysis of host

organization of DTC

Analysis of

demand for DTC services

Development of business

plan for DTC

Legal Framework

of DTC

Management profile of DTC

Qualification of DTC staff

Financial management

Growth for DTC



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Political factors: history, taxation policy, governmental stability, etc.

Economic factors: core competences of region or competitive sectors (such as tourism),

infrastructure, existence of hubs for economic development, recession or boom, etc.

Socio-cultural factors: socio-demographic factors in terms of human potentials for TT, which

could influence TT: educational level, educational aspirations by university disciplines,

occupational structure, employment status, age distribution, etc.

Technological factors: internet, social & electronic media, research and development (R&D), rate

of technological change, etc.

Environmental factors: geography, energy consumption, pollution monitoring, etc.

Legal factors: employment law, health and safety regulation, product safety, advertising

regulations, product labelling, labour laws, etc.

After having compiled information concerning the above listed aspects, the various factors should be

evaluated. It is useful to categorize the collected information as strengths, weaknesses, opportunities

or threats (SWOT) for a region. An example of such an analysis of business environment can be found

in annex 1.

4.2 Step 2 Analysis of host organisation of DTC


In order to better understand and assess the potential of a certain host organisation within a region,

a general analysis of this institution is indispensable. Host organizations can be universities or

research institutes where a DTC office may then be created. According to Steinbeis’ experience,

these two types of organisations are the most suitable for the sake of TT. Given a university as host

organization for instance, it is recommended to describe the following aspects:

The university in brief

o number of students, professors, employees.

o faculties / departments / programs.

o important dates of university’s history.

The university’s relationship with companies

o What is the strategy of the university regarding demand driven research, the

commercialization of research and its results?

o In what way does the university record results of research and developed technologies

and do companies having access to such databases?

o What is the university known for in the business sector (in companies)?

o What is the contribution of the university to make companies innovative?

o Which success stories about TT to business sector do exist?


of DTC

Analysis of host

organization of DTC

Analysis of



plan for DTC

Legal Framework

of DTC




Growth for DTC



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o Does the university publish success stories of TT?

o What types of companies (industry, size, location…) make use of services, technologies,

etc. of the university?

o How many patents have been sold to companies?

o Is TT in the university established as a third function beside education and research?

With which person should interested companies get in touch when looking for

technologies? Do you have a central unit that collects and manages inquiries, expressions

of interest, etc. from industry? Is that unit actively promoting TT and how?

o Does your institution have a Project Cycle Management for companies, interested in

collaboration? What are the standard procedures within your institution for answering

expressions of interest, submitted by companies?

o What are the major conferences about innovation, TT and related subjects that are

organised by or with your institution? How many companies participate?

o What programs exist to develop TT from university to enterprises? Who informs

companies about such programs?

The university’s professors

o Do professors know the strategy of the university regarding demand driven research, the

commercialization of research and its results? According to Steinbeis’ experience,

professors only rarely know their university’s TT strategies. Naturally, they seem rather

interested in publishing books and articles in academic journals than networking with

business people.

o How many professors have established business relationships with enterprises? Do the

professors report their activities? To whom? How many professors have established an

own company?

o What incentives does the university offer to professors for transferring knowledge or

technologies to industry? What other incentives exist for professors to provide services

for enterprises?

o What is the work program of professors per week? How many hours a professor has to

teach? Hours of research?

o What permission from university or from a state institution does a professor need to

open his own company? Is the professor obliged to report the setting up of his company

to university?

o Did/do professors ask administration/management of university for support in organising

TT? What are the main questions? What support do the professors look for? Does an

agency or service centre exist that support Professors in developing and doing business

outside of your institution?

o What trainings or seminars are offered to professors regarding innovation, TT,

marketing, entrepreneurship, etc.? How many professors participate? Do professors

have possibilities to go abroad for on-site training?



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4.3 Step 3 Analysis of demand for DTC


A DTC must try to understand the needs of their target audience: SMEs. Yet, a basic idea of what may

be useful to offer as a service in general, can be found in the following:

Identification of technology needs from the industry and especially SMEs. These needs can be

identified through innovation audits performed in the companies. By means of an Innovation

Audit, one can analyze the innovation performance of companies or regions with the aim to

introduce changes or improvements when required. At the corporate level, an Innovation Audit

is used to evaluate technological capacities, procedures, and technology needs of companies.

Furthermore, it can help companies to identify and assess their strengths and weaknesses and to

envisage concrete measures in an action plan. A (Regional) Innovation Audit can support policy-

makers by improve understanding of issues relevant for their region such as competitiveness,

innovation, research, technological capacity, and organizational change, etc. To do so, a profile of

innovation is developed and appropriate indicators and benchmarks are identified. Regional

Audits often propose pilot activities and/or recommendations for further actions.

Identification of technology offers from the universities and research centres in collaboration

with existing networks like Danube Rectors Conference.

Active technology watch.

Identification of possible fields of cooperation.

Identification of partners for collaboration (on regional, national and European level)

Hosting of specific research programs (e.g. national/cross-border science initiatives,

innovation/transfer vouchers etc. financed by national/European [e.g. European Social/European

Regional Development] funds).

Trainings of (scientific and economic) stakeholders in regard of innovation (strategies and

management), TT (strategic partnerships and management) and project management (building of

consortia, writing of proposals, administrative and financial project management).

Counselling and intermediation for TT, Intellectual Property, technology licensing.

Counselling and assistance for business plans, investment plans, marketing plans.

Assistance for compliance with European legislation, standards, norms, accreditations.

Interfacing/representation with informal investors, investment funds, joint ventures, authorities,

associations, professional bodies.

Customized research, direct consultancy, assistance and high-end services (e.g. virtual testing

environments) for specific issues.

Stimulation of entrepreneurship (business plan contests, business incubator for students/young

graduates. Examples of stimulation of entrepreneurship:


of DTC

Analysis of host

organization of DTC

Analysis of



plan for DTC

Legal Framework

of DTC




Growth for DTC



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o Horizon 2020 call “MG.9.7-2014 Innovation awards for students and researchers in the

context of the Transport Research Arena conference - TRA 2016“.

o Framework Programme 7 project „NoGAP- Bridging the gap between research,

innovation and business“.

4.4 Step 4 Development of business plan for DTC


Business plan of a DTC represents an essential component and document which does not serve only

for internal use, but also for external use. Initially it allows to structure the ideas, thoughts and

actions and to analyze the key elements necessary for a successful business. Later, it is also a

communication vehicle describing the business concept to others. In the context of SEZ’s DTC project

in 2012 and 2013, business plans for DTCs in Nitra, Bratislava and Cluj-Napoca have been developed.

This experience shows that elements for a DTC business plan may comprise the following elements:

1. Executive summary

(introduction of basic facts about establishing TTC/TTO, overview of key parts of the plan).

2. Mission

(presentation of short-term, mid-term and long-term objectives and vision, description of needs and

benefits, description of competitive advantages and experiences).

3. Products and services

(how they will be made, delivered, and developed, internal/external services).

4. Intellectual property or other protection

(patents, copyrights, trademarks, service marks, licences, internal directions on protection of IP

rights, information-communication system, information security).

5. Market analysis

(size, growth, location, characteristics, important segments, possible partners for

cooperation/clusters).

6. Customers

(categories of customer group, identification of influencer and decision-maker) .

7. Marketing strategy/plan and PR

(internal and external marketing, marketing communication channels, invention marketing, project

activities, plan of business development).

8. Infrastructure

(human and organisational infrastructure – positions, or sections/departments, key responsibilities,

human resources policy).

9. Operational plan


of DTC

Analysis of host

organization of DTC

Analysis of


Development of business plan for DTC

Legal Framework

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Growth for DTC



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(description of physical infrastructure and IT infrastructure, functioning, networking, quality

assessment, risk management, etc.)

10. Financial plan

(costs for human infrastructure, administrative costs, fees, required cash flow, sources of income,

profit/loss projection).

4.5 Step 5 Legal framework for DTC


In order to create a DTC on a sound footing, the most suitable legal framework must be identified in

each case. The following considerations help to come to a decision.

Founding document: a basic document which states

o the creation of the DTC as a legal entity .

o a definition of the DTC’s goals (Its interests must not be opposed to the objectives of the

host university).

o the names of the persons responsible as well as their signatures (nomination of DTC

managers).

o possible shareholders of the DTC.

o the legal registration of the DTC.

Legal functioning of DTC activity: The functioning of a DTC requires certain legal conditions. The

DTC is a legal entity which is hosted by another organization such as a university. As a

consequence, there is a contractual relationship between the DTC and its host organization.

There are employment contracts between the DTC and its staff or representatives. These

individuals can sign contracts in the name of the DTC with customers such as SMEs. This creates a

contractual relationship between the DTC and the customer. The legal functioning of DTC is

explained in Figure 7.

Figure 7: Legal functioning of DTC activity.


of DTC

Analysis of host

organization of DTC

Analysis of



plan for DTC

Legal Framework

of DTC




Growth for DTC

DTC Profit center (e.g. professor)

Customer (e.g. customer) Host organisation



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Employment contracts: Each professor’s connection to the DTC can be regulated by a manager

contract which is concluded with him. As these contracts have to take into considerations

international differences in law, there are no templates for it. In this contract, the rights and

obligations arising from the independent project management must be defined. In addition, it is

recommended that only the DTC organization, not the DTC manager, can be held responsible.

4.6 Step 6 Management profile of DTC


The role of a chief manager of a DTC is complex and demanding as he or she has to understand and

work with both researchers and business people. Such as person should have the following

attributes:

Access to professors and university: It is important that the chief manager of the DTC is a

very communicative and active person having close connection to the management of the

host organization.

Networking with regional cluster activities: Beside his or her relationships to the host

management, the chief manager must also be on good contact with the regional cluster

activities. This allows identifying more easily suitable partners for business cooperation.

Marketing skills: above all at the beginning of the DTC it is decisive that the chief manager

knows how to make the DTC popular. Possible customers, clusters, universities and political

persons must know about it so that they themselves can recommend it.

Technical knowledge: in many cases, technical knowledge of a certain field is asked in order

to be able to evaluate business ideas.

Access to companies (entrepreneurial spirit): ideally speaking, the chief manager of the DTC

knows how companies and entrepreneurs are thinking and what their efforts are directed at.


of DTC

Analysis of host

organization of DTC

Analysis of



plan for DTC

Legal Framework

of DTC




Growth for DTC



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4.7 Step 7 Qualification of DTC staff


The first step of the qualification of DTC staff is the identification of skills & competences needed. TT

is said to be a talent-based business as it is often difficult to find people speaking both the language

of academia and industry (Krattiger, at al, 2007). Indeed, practical experience shows that TT

practitioners must have a wide range of capabilities. Results of various research indicate the

importance for technology transfer professionals to possess soft and business skills as well as hard

skills. There are seven in total which are said to be crucial (Mom, Oshri and Volberda, 2012; CERT-

TTT-M Consortium, 2008; ETTM, 2008):

Soft & business skills

o Communication & networking: theoretical knowledge about communication theories,

networks for TT and English language is crucial. These skills allow to speak in public, valorise

and present ideas, to coordinate a team, manage a meeting or workshop, to solve conflicts,

advise staff, to understand external communication issues and last but not least to develop

stable relations with stakeholders. Comprehensive information on the topic of

communication, including theoretical foundations and practical application, can be found at

the website of the International Communication Association: http://www.icahdq.org/.

o Negotiation: theoretical knowledge about communication and negotiation theory. This

knowledge is fundamental to identify the process and content in negotiations, to recognize

different styles in negotiations, to understand cultural and individual aspects in such

situations, to identify key factors to success and to merge expectations of both researchers

and companies. 1

o Project management: theoretical knowledge about operational and strategic planning and

marketing questions. This helps to define an assignment and results in a project, to plan

different project phases, control the different project factors (time, budget, quality,

information…), to write a project plan and to do a risk analysis.

o Technology commercialization: theoretical knowledge about legal issues of commercialization,

market assessment and technology marketing is useful. It allows to analyze a market and

competitive technologies to determine the commercial potential of an idea and its viability, to

conduct a market segmentation and to push a technology far enough to get pulled by the

market.

o New business development: theoretical knowledge about development of business plans and

evaluation methodologies, general management notions and foundations of economics is

1 Comprehensive information on the topic of negotiation, including theoretical foundations, practical application and further sources, can be found in the article of Alfredson and Cungu (2008).


of DTC

Analysis of host

organization of DTC

Analysis of



plan for DTC

Legal Framework

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Growth for DTC



15

useful. It helps in practice to elaborate business plans for a new company/product, find

potential commercial partners or investors and to promote ambitions of entrepreneurship in

general.

Hard skills

o IPR and licensing: theoretical knowledge about IPR legislation, patenting process, types of IPR

Agreements is useful. This knowledge helps in practice to assess the best protection possibility

for a certain innovation, to design an IP strategy, within a given budget or write an IPR

Agreement.

o Domain-specific knowledge: it is helpful if the DTC staff has an academic background as this

allows him or her to be expert in certain issues such as health, environment, energy etc.

Information gathering & analysis is decisive in this context. A professional in TT should have

theoretical knowledge about patent, company and journal databases to be updated.

There are various possibilities to train the staff of a DTC to make them acquire the needed

competences. Important ones are listed in the following.

Staff exchanges between new DTCs and established DTCs.

Twinnings between new DTCs and established DTCs.

Coaching and mentoring between new DTCs and established DTCs (e.g. template of a company.

audit form of DTC Cluj adapted by other DTCs can be found in annex III).

Online platforms and tools, massive open online courses.

Trainings in specific thematic areas (e.g. acquisition of clients, innovation auditing, conception of

projects, proposal writing, centre management etc.). An example of a training agenda can be

found in annex IV.

4.8 Step 8 Financial management of DTC


4.8.1 Managerial finance

Performance measurement: The DTC PC can provide solutions based on the rules of the private

sector and will manage the resulting projects on behalf of the DTC network, the regional hosting

organisation being liable in external relations. The DTC PC managers have to provide a balanced

annual turnover. Moreover, in the framework of the internal contractual conditions for DTC PC

manager, they can decide on their own on receipts and expenditures (including fees, salaries,


of DTC

Analysis of host

organization of DTC

Analysis of demand for DTC services


plan for DTC

Legal Framework

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and investments) as well as on prices. Besides, SEZ has already established reporting standards

for DTC managers. DTC managers asked to regularly report the number of audits, company visits,

technology offers or requests and trainings done. On the one hand, these activities indicate the

demand from SMEs, on the other hand, they show the ability of DTCs to respond to this demand.

Mode of payment: Employees in the DTC PC are partly acting on the basis of a project manager

contract2 that does not include an employment relationship and which foresees remuneration

exclusively on a fee basis (thus, the project manager is working as a freelancer in the DTC PC).

Furthermore, there is the possibility of permanent employment of employees). Each DTC PC can

have its own bank account, of which the PC manager and the manager of the regional DTC may

dispose. The DTC PCs can pay a certain percentage of all their receipts as a so-called network fee

to the regional DTC. The network fees can be used to cover, among other things, the costs of the

centralised services related to the specific DTCs.

Cost calculation: The financial management of a DTC is a challenge. An exemplary cost

calculation is provided in annex 2.

Pricing is a very complex and sensitive issue in marketing. Thus, a careful consideration of all

factors of pricing in a service business, such as DTCs are, is indispensable. Based on the

assumption that you want your DTC to be profitable, the following factors should be considered,

as shown in Figure 11:

o Costs: A DTC must first determine the cost of providing a service, and then add an

additional amount to represent the desired profit. A DTC should definitively bear in mind

the following costs:

o material: e.g. computers for DTC staff, training documents for participants.

o labour: e.g. consultancies – 500-1000 Euro/day.

o travel: e.g. trainings, staff exchange or meetings - plane, hotel, subsistence.

o overheads: e.g. rent, electricity etc. for DTC office.

o Competitors. A DTC need to be aware of the prices of organizations offering the same or

similar services in the marketplace, for example Chambers of Commerce and Industry. It

might be also possible, in the case of a DTC, that there are no organizations offering

similar services. Than this approach is negligible.

o Customers: A DTC must understand how much a customer is willing to pay for a service.

This may not be how much time DTC staff has spent providing the service, but ultimately

what the perceived value of that service and your expertise is to the customer.

2 It is not useful to develop a template for a manager contract as there a considerable differences regarding the legal regulation of contracts.



17

Figure 11: Factors influencing pricing

4.8.2 DTC Funding

In general, there are several possibilities for funding of a DTC. The decision for one or several types of

funding also depends on the legal conditions in which the DTC operates.

DTC services: Companies receive services from the DTC and reward them according to the

budget set at the beginning of the project (cf. step 3 Analysis of demand for DTC services).

In-kind-contribution from host university. For example, DTC Nitra is established and operated

thanks to the in-kind-contribution of the Slovak University of Agriculture.

National public funds: DTCs can apply for public money to finance and to coach start-ups lead

and managed by previous scientist. It is clear that entrepreneurial skills are needed which are

different from scientific behaviour. And not all scientists have the knowledge and expertise to

deal with issues like liability, VAT, balance sheet or personnel management. So DTCs can use

public or public-private partnership programs and instruments. For this purpose, two German

examples can be found here:

o http://www.exist.de/ H2020 – CBTT-1-2014

o http://www.high-tech-gruenderfonds.de

Other European countries have similar or comparable programs, instruments or funding

possibilities.

International funds: participation in international programs is often based on calls and tenders.

For instance, DTCs can apply for calls in Horizon 2020. Assistance in the identification of national

and international programs can be offered by more experienced DTCs. Moreover, public and

bottom-up programs and funds like the European Investment bank play an important role for the

technology transfer funding. An example is available online at:

http://www.eif.org/what_we_do/equity/technology_transfer/.

TT funds: In supplement to typical risk capital or venture funds managed by banks, business

angels or capital investment entities, it is worth considering and analyzing TT funds introduced

and managed by research organizations themselves but not universities. One important tasks is

the support for scientist willing to change to enterprises or even ready to define their own and

new business (start-ups). In Germany all major research organizations offer and manage such

funds e.g. Max-Planck-, Helmholtz-, Leibniz-Society or Fraunhofer.

Competitors

Costs

Pricing

Customers



18

o https://www.helmholtz.de/forschung/technologietransfer/foerderinstrumente/helmholt

z_validierungsfonds/

o http://www.leibniz-gemeinschaft.de/transfer/transferportal/

o http://www.max-planck-innovation.de/de/technologietransfer/erfolgsbilanz/

o http://www.fraunhoferventure.de/

American universities have comparable funds and manage them directly. That means they make

grants or deal with credits in order to finance TT in terms of market implementation. Such

Technology Commercialization Funds (TCFs) could be analyzed in detail. An example is available

at: http://tedco.md/program/technology-commercialization-fund-tcf/

Venture capital: this is not the major investment tool for TT - it joins a business creation project

at a rather late stage of development, when high investments are needed to finance growth and

high market penetrations. Start-ups with visionary growth expectations and well prepared

business plans are more in focus than ordinary TTs, which may have a very good market chance

but do not offer high return of investments as expected by venture capital. Business Angels are

more prepared to act as seed or even pre-seed investors, if they are confident with the

personality behind the invention and the development.

4.9 Step 9 Growth strategy for DTC


Connection of DTCs on regional, national and European level: Regional and national

connectedness can be achieved by networking with regional research institutes, chambers of

commerce, specialized NGOs, and specialized networks / clusters. Furthermore, networks can be

established by common events with national partners on TT themes of general interest and the

dissemination of the centre’s results (website, newsletter, social networks, conferences,

seminars, public awareness events). Connectedness at a European level can also be achieved by

different ways: The different DTCs themselves should meet in regular manner or at least

exchange regularly their experiences, ideas and progress. This helps to keep each other updated,

to transfer best practices and thus, to constantly improve DTC services. Besides, interregional

matchmaking and participation in international fairs and exhibitions is a good way to get

connected at all levels. In addition, in order to get viable, DTCs should try to enter their partners’

networks, for instance: universities’ network, Enterprise Europe Network, TT networks, Steinbeis


of DTC

Analysis of host

organization of DTC

Analysis of



plan for DTC

Legal Framework

of DTC




Growth for DTC

https://www.helmholtz.de/forschung/technologietransfer/foerderinstrumente/helmholtz_validierungsfonds/

https://www.helmholtz.de/forschung/technologietransfer/foerderinstrumente/helmholtz_validierungsfonds/

http://www.leibniz-gemeinschaft.de/transfer/transferportal/

http://www.max-planck-innovation.de/de/technologietransfer/erfolgsbilanz/

http://www.fraunhoferventure.de/

http://tedco.md/program/technology-commercialization-fund-tcf/



19

network etc. This allows to further expand the own customer base at European level and make

the DTC business more sustainable.

Conception and elaboration of pilot projects: It is recommended to analyze national and

European project financing instruments in regard of their usability for the work of DTCs and

objectives of Danube Strategy. With respect to this, it might be useful to scan the different

European programs. For instance, SEZ is coordinator of the INCO 9 project NoGAP3. NoGAP also

aims at strengthening economic ties between Europe and the countries of Eastern Partnership

(EaP) and has therefore consortium members from Belarus, Georgia and Ukraine. In the context

of this project, reports will be produced which, based on the results of a questionnaire, will

design the guidelines for creating future Technology Transfer Centres (TTCs) in the EaP region

and describe the issues on how to finance services for TTCs. A decisive advantage in this

endeavour is the overlap of actors in this respect. Two DTC partners are also members in the

NoGAP consortium: Cluj-Napoca in Romania and Nitra in Slovakia. As former countries of the

Eastern Bloc they understand very well the problems which the EaP countries are facing now.

Thus, they can contribute considerably to the development of TTCs in Minsk, Kiev and Tbilisi by

transferring the knowledge gained during the DTC pilot initiative to the EaP countries. In the

future, it might therefore be useful to scan the different work programs of Horizon 2020 and to

try to apply for a call. This can allow the development of other flagship projects to fund

innovation and technology transfer in the Danube area.

5 Conclusions and Recommendations A concept for Danube Technology Transfer Centres including a tool-kit on DTC creation and

implementation is a deliverable which is constantly evolving. New experiences which could be gained

must be integrated into the concept and new obstacles identified in practice ask for new answers. In

order to be always up-to-date, this theoretical document therefore requires constantly input from

practice. Figure 13 represents a preliminary guideline for DTC creation and implementation and must

always be contrasted with practical needs. Only such feedback loops can ensure that a tool-kit can

help practitioner to create and implement DTCs successfully.

Figure 13: Steps of DTC creation & implementation

3 NoGAP - Bridging the gap between research, innovation and business creation (2014).


of DTC

Analysis of host

organization of DTC

Analysis of demand for DTC services


plan for DTC

Legal Framework

of DTC




Growth for DTC



20

6 Bibliography Alfredson & Cungu (2008). Negotiation Theory and Practice - A Review of the Literature. FAO/EASYPol. http://www.fao.org/docs/up/easypol/550/4-5_negotiation_background_paper_179en.pdf, 04.06.2014. CERT-TTT-M Consortium (2008). Training Framework for European Technology transfer Managers. http://www.ttt-manager.eu/download/CERT-TTT-M%20Training%20Framework.pdf, 07.05.2014 Krattiger, A., Mahoney, R.T., Nelsen, L., Thomson, J.A., Bennett, A., Satyanarayana,K., Graff, G.D., Fernandez, C.,Kowalski, S.P. (2007) (Eds.). Establishing and Operating Technology Transfer Offices. In Executive Guide to Intellectual Property Management in Health and Agricultural Innovation: A Handbook of Best Practices (Krattiger, et al,2007.). MIHR (Oxford, UK), PIPRA (Davis, USA), Oswaldo Cruz Foundation (Fiocruz, Rio de Janeiro, Brazil), and bioDevelopments-International Institute (Ithaca, USA). Mom, T.J.M., Oshri, I. & Volberda, H.W. (2012). The Skills Base of Technology Transfer

Professionals. Technology Analysis and Strategic Management, 24(9), 871-891

NoGAP - Bridging the gap between research, innovation and business creation (2014). http://www.no-gap.eu/, 08.05.2014 PA 8 (2014). Priority area 8 of EUSDR, http://groupspaces.com/Competitiveness/, 08.05.2014. The European Technology Transfer Manager (2012). http://www.etmproject.eu/uploads/file/D.3.3%20TTM%20competence%20profile%20report.pdf, 07.05.2014

http://hdl.handle.net/1765/38047

http://hdl.handle.net/1765/38047

http://groupspaces.com/Competitiveness/

21

Annex I - Example of SWOT analysis for a DTC

Strengths - university education of transregional importance (two universities in „...“: „...“ and „...“) - proximity to „...“’s scientific and research base – possibility of close cooperation in research and development - strong companies with foreign investments - strong position of the region in the production and supply of electricity - rich history of plastics industry, engineering industry, chemical industry and agriculture - strong electrical industry thanks to joint ventures with foreign companies - „...“ is the centre of exhibitions and fairs – Agrokomplex - well-established tradition of agriculture and food processing industry (10 out of 40 biggest food processing companies in „...“ established within „...“ region) - strong research base: universities, institutes of „...“ dealing with agricultural research - „...“ is participating in the 7th framework programme –projects linked to foodstuffs, agriculture, biotechnologies and fishery - presence of numerous Centres of excellence: Centre of excellence for food processing industry; Centre of excellence for research of genetic animal resources; Bio-experimental laboratory of quality, utilization and security of nutritional sources in animal production; Centre of excellence for protection and use of agrobiodiversity; Centre of excellence for integrated management of river basins; Laboratory for breeding, computational genetics and research of animal genetic resources

Weaknesses - high rate of unemployment - weak use of alternative energy sources – „...“ offers study programme “Techniques for renewable energy sources” for the training of qualified experts. Development of concept paper with the methodology of natural resources use is currently part of the international project “Towards resource efficient urban communities in SEE” - low investments in comparison to the other regions of western „...“ - low wage level in the region causing lower purchasing power of its inhabitants - absence of new and modern production technologies in most of the companies - low concentration of innovative companies in the region - missing research and development in most of the companies and weak interconnection of scientific and research base with enterprises. - lack of finance invested in agriculture - weak competitiveness of agriculture in comparison to other European regions

Concept for Danube Technology Transfer Centres including a tool-kit on DTC creation and implementation (D5.8)

Danube-INCO.NET

22

Opportunities - availability of highly educated and professional work force - willingness of cooperation between universities, business sector and the region - prevention of brain drain - proximity of important European regions – Vienna and Budapest - potential for cross-border cooperation - possibility to participate in various networks - attractiveness for foreign investors - processing of agricultural production creating added value - dynamic development of automotive industry - production and more intensive marketing of ecological products - potential energetic overproduction of the region in the next 2-3 years - space for „...“ and its research and development activities to fill the gap in decreasing self-sufficiency of food production - development of industrial parks and scientific and technological parks in industrial areas - establishment of biological park – „...“ - establishment and development of business incubators, support of start-up companies and innovative entrepreneurship - use of green energy sources - support of Slovak SMEs in the region - current and future inflow of structural funds - expansion of science, research and innovation (e.g. agricultural research in „...“)

Threats - increasing unemployment, low wage level in the region - ageing population - risk of brain drain - decreasing number of labour force educated in agricultural sector, lack of relationship to land – move of young people to other sectors - risk of suboptimal composition of the team responsible for fulfilling of Regional innovation strategy objectives - absence of links between universities and scientific and research institutes and businesses in the region - concentration of investments to the largest cities in the region - low added value of production - redemption of strategic enterprises by foreign investors - risk of insufficient interest of „...“ in the realization of agricultural development policy and agricultural research - absence of long-term development strategy in the educational sector - political risks, new legislative requirements of the EU (e.g. in agricultural sector) - inefficient spending of funds (e.g. structural funds) - risk of lack of funds for the realization of projects which are in line with the Regional innovation strategy and infrastructural projects - long-term underfinancing of universities reflected in lower quality of education, insufficient equipment and absence of scientific and research centre - support of big foreign investors instead of domestic SMEs - lack of capital resources for the development of agricultural production ensuring food self-sufficiency of the region - low level of scientific and research activities - absence of private research activities - inflexible system of education not responding to the needs on the labor market

23

Annex II - Activities and costs for setting up a DTC

4 The set-up and implementation of a DTC can differ in time. These calculations are based on SEZ’s experience in the Danube Transfer Center project mentioned at the beginning of this text.

Activities4 Costs (Approximative) Incl. Personal Costs Incl. Travel

Analysis

(Preliminary analysis of regional specific indicators, Potential analysis of respective partner universities in regard of their

capabilities, Clarification of the legal conditions, Delegation/visits)

11.500 Euro 10.000 Euro 1.500 Euro

Establishment of the TT Centre and integration in networking (Reciprocal visits of the partners, Elaboration of the Business plan, Development of visual identity and online presence, Consultancy for drafting of the cooperation agreement and other documents)

24.500 Euro 21.500 Euro 3.000 Euro

Networking 18.000 Euro 15.000 Euro 3.000 Euro

Operational

(HR, Meetings, trainings…)

32.750 Euro 26.000 Euro 6.750 Euro

All activities 86.750 Euro 72.500 Euro 14.250 Euro

Concept for Danube Technology Transfer Centres including a tool-kit on DTC creation and implementation (D5.8)

Danube-INCO.NET

24

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Annex III - Template of company audit form

Chestionar 1:

Contact initial

1. Informații generale

Numele companiei

S. C. HYDRO ENERGY SOLUTIONS S.R.L.

Adresa Bd. 21 Decembrie 1989 Nr 104, Etaj 7

Cluj Napoca, Judetul Cluj

Persoana (-e) de

contact

Ing. Itu Costel Hapa

Telefon

0741-406925

Fax

0264 403588

E-Mail

[email protected]

Internet (URL)

http://www.hydroes.ro/ro

Activitatea principală a companiei:

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Obiectul principal de activitate al companiei este reprezentat de oferirea serviciilor de proiectare și

consultanta in domeniul constructiilor hidroenergetice, lucrarilor hidrotehnice, lucrarilor de

infrastructura si de mediu..

Numar de angajati/ ingineri: 7/7

Cifra de afaceri (optional): 854761 lei

Anul infiintarii: Anul 2010

2. Ce fel de produse/ tehnologii ofera compania? (in ordinea cifrei de afaceri)

Proiecte de realizare de microhidrocentrale, oferind asistenta prin urmatoarele etape: efectuarea de

studii necesare procesului de proiectare, studii de fezabilitate, realizarea proiectului, precum si

asistenta tehnica atat in timpul intocmirii proiectului, precum si dupa finalizarea acestuia.

3. Clienți (optional)

S.C. Rott Energy S.R.L. din Cluj-Napoca, S.C. Seb Energy S.R.L.

4. Compania deruleaza in prezent un proiect?

“Nu ne ocupam de un proiect in prezent, dar suntem, in general, interesati de:”

Constructii hidrotehnice, in mod special constructii hidroenergetice, precum si constructii civile si

infrastructura.

“Ne pregătim pentru un proiect.“ / “Derulăm un proiect în acest moment.”

Descrierea generala a proiectului:

……………………………………………………………………………………...

………………………………………………………………………………..…….

……………………………………………………………………………………...

…………………………………………………………………………………..….

…………………………………………………………………………………..….

………………………………………………………………………………..…….

………………………………………………………………………………..…….

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………………………………………………………………………………..…….

…………………………………………………………………………………..….

Tipul proiectului:

Dorim să vindem tehnologia/ produsul propriu pe piața europeană

Suntem în căutarea unei noi tehnologii/ produs pentru întreprinderea noastră

Dorim soluționarea unei probleme tehnice

Suntem în căutarea unui partener pentru a desfășura activități comune de C&D

Dorim să aplicăm pentru un program cu finanțare europeană

Suntem în căutarea unui partener pentru un proiect propriu cu finanțare europeană

Altele:

………………………………………………………………………………….………………………

……………………………………………………………………………………………….

4.3 Statutul curent al proiectului: Descrieți progresul realizat în cadrul proiectului?

Ideea proiectului x

Au fost definite obiectivele proiectului

A fost definită structura și parcursul proiectului

Proiectul a fost conceptualizat și s-au găsit parteneri pentru acesta

S-a realizat deja o propunere pentru finanțare

4.4 Ce activități au fost efectuate deja?

A avut loc contactul cu posibili parteneri

Studiu / cercetare de piață x

Cercetare Internet / bază de date x

Activități nereușite (dacă da, vă rugăm să detaliați)

Experiențe similare suplimentare:

…………………………………………………………………………………………...….

……………………………………………………………………………………………….

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5. Vă rugăm să specificați domeniile în care doriți sprijinul DTC Cluj-Napoca:

Deschiderea unei noi piețe țintă în Europa pentru tehnologia companiei

(gama tehnologică) x

Găsirea unei soluții tehnologice în interiorul companiei (cercetare tehnologică) x

Căutarea unui partener pentru cooperarea în cadrul activităților de C&D

Căutarea unui partener pentru o societate mixtă (joint-venture)

Informarea cu privire la programele de finanțare naționale sau europene x

Pregătirea sau definirea unui proiect european

Corectarea sau proiectarea unei propuneri de proiect x

Management de proiect x

Technology watch – captarea, analiza, diseminarea și exploatarea informațiilor

tehnice utile pentru companie

Managementul inovării

Comentarii:

……………………………………………………………………………………………

……………………………………………………………………………………………

Actiuni viitoare:

- Compania este interesata pe viitor de implementarea unui sistem de management integrat.

- Imbunatatirea oferetie pentru participarea la licitatii in vederea obtinerii de lucrari in domeniul

hidroenergetic.

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Annex IV - Example of training agenda

Training for multiplicators “Train the Trainers”

How to write a successful proposal Trainer: Daniela Chiran – Project Manager (Steinbeis-Europa-Zentrum) Content of Training:

Introduction and Group Dynamics

Call text analysis and proposal conception - Why? Explain the problem / justify the relevance / main challenge - What? Goals of the project / approach of the project / for witch applications - How? New aspects of technology / Innovations / partners needed and expertise

Work packages, tasks, Milestones, Gantt chart, Deliverable list

Impact, Budget

Dissemination and exploitation of project results Schedule of Training:

10:00 – 12:00 Workshop

12:00 – 13:00 Lunch

13:00 – 14:45 Workshop

14:45 – 15:00 Coffee break

15:00 – 17:00 Workshop

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