Concept for Danube Technology Transfer Cen- tres including ... · Step 4: Qualification of DTC staff: Technology transfer is said to be a talent-based business because often, it is

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Concept for Danube Technology Transfer Cen-

tres 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 implemen-

tation (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 2015-03-06_D5 8 Concept Tool-kit DTC_2nd update

Number of pages 36

Dissemination level Public

Main author Robert Gohla, Daniela Chiran, Dorothea Haas (SEZ)

Contributors Elke Dall (ZSI), Davor Kozmus (Ministry of education, science & sport, Slo-

venia)

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


_v11 18.12.2014 Haas Gohla/Chiran 1st update

_v12 06.03.2015 Haas Gohla/Chiran 2nd update

Document last saved on 06.03.2015



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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 ............................................................................... 8

4.1 Step 1 Mutual agreement on integration into DTC network ..................................................... 9

4.2 Step 2 Analysis of environment of DTC ...................................................................................... 9

4.3 Step 3 Analysis of host organisation of DTC ............................................................................... 9

4.4 Step 4 Qualification of DTC staff .............................................................................................. 11

4.5 Step 5 Adjustment of legal structures for DTC ......................................................................... 12

4.6 Step 6 Optimization of operational structures for DTC............................................................ 14

4.7 Step 7 Elaboration of growth strategy for DTC ........................................................................ 16

5 Conclusions and Recommendations ............................................................................................. 18

6 Bibliography ................................................................................................................................... 19

7 Annex ............................................................................................................................................. 20

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List of Figures

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

Figure 2: Costs of setting-up a DTC (approximately) ............................................................................... 7

Figure 3: Legal functioning of DTC activity ............................................................................................ 13

Figure 4: Factors influencing pricing ..................................................................................................... 15

Figure 5: Steps of DTC creation & implementation ............................................................................... 18

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 Inclu-

sive 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 con-

text 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 “Da-

nube 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 necessary steps for DTC

creation and implementation:

Step 1: Mutual agreement on integration into DTC network in order to create a DTC on a sound

footing (Founding document, legal functioning of DTC activity, employment contracts etc.)

Step 2: Analysis of environment of DTC regarding political, socio-cultural, economic, technological

and environmental and legal aspects is indispensable.

Step 3: Analysis of host organization of DTC such as universities or research institutes.

Step 4: 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. Especially, DTC managers have to operate as multiplicators and

communicators between different worlds.

Step 5: Adjustment of legal structures of DTC. This step includes the founding document, the legal

framework in which a DTC should operate as well as payment modalities which result from this.

Step 6: Optimization of operational structures of DTC, for example regarding its portfolio, pricing

methods but maybe also in the form of an elaborated business plans 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 7: Elaboration of growth strategy for DTC including the challenges of DTC funding, including,

the conception and elaboration of pilot projects, and the connection of DTCs on regional, national

and European level.

These 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 experi-

ences 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 es-

tablished 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 Stutt-

gart 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 iden-

tified 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 in-

teract 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 ap-

proach 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 net-

work 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 build-

ing 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.

In order to fulfil this kind of mission statement, organizations interested in creating a DTC on-site

have get funding to further develop this idea. The process described in this deliverable must con-

tinuously accompanied by funding efforts. Organizations which are interested and motivated to start

a DTC on-site are compelled to look constantly for funding to realize their ambitions. The following

table shows how much the set-up of a DTC costs approximately. It shows that the funding of DTC-set-

up activities should be ensured before starting the process – it may only be possible to start the pro-

cedure when funding is given.

Figure 2: Costs of setting-up a DTC (approximately)



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4 Tool-kit for DTC creation and implementation The approach taken in this document strongly advocates the promotion of existing infrastructure

when it comes to DTC creation & implementation. This means that it aims at creating synergies be-

tween existing infrastructure and the objective of this deliverable. With this end in mind, it this disso-

ciates itself from the European Commission’s consideration to establish new infrastructure, such as

buildings, for new technology transfer centres all over Europe. This kind of “Capacity building” which

starts ex nihilo is not intended in this document. “Capacity building” is therefore only a subordinated

option in our analysis. Rather, this deliverable tries to include relevant activities. The main starting

point is of course the Danube Transfer Centre initiative of Steinbeis. Besides, efforts such as the

Technology Transfer Offices Cycle from Joint Research Centre (JRC) of the European Commission or

Enterprise Europe Network (EEN) are taken into account. Also initiatives on a national level shall be

taken into account such as the “Knowledge Transfer Centre” (KTC) in Austria.1

Not all kind of organizations are suitable for DTC creation. Various criteria should be considered for

the selection of organisation that will host DTCs:

1. Are universities, research institutes or networks in which researchers are leading.

2. Are recognized as leading organizations at national and regional level.

3. Demonstrate a mature stage and the existence of a vision and a strong commitment to un-

dertake developments in the areas of:

a. International integration: cooperation and projects with relevant R& D and / or inno-

vation and technology transfer (ITT) institutions, organizations and / or academic

networks, notorious at European and/or international level;

b. National and regional integration: institutional relations, cooperation and projects

with other national universities and research institutions as well as with organiza-

tions and institutions that have official mission to manage R & D and / or national ITT

(e.g. Ministries, National Agencies) and regional (Regional Agencies and Councils,

Chambers of Commerce etc.);

c. Integration with regional economic environment: collaboration and professional as-

sistance given to economic organizations (significant in number, duration and

amount) and integration in common organisational coagulations with these organiza-

tions (Ex. Clusters, Science and technology parks, etc.).

4. Would be capable to state clearly the availability and commitment in developing the DTC

Network by allocating human and financial resources for the initial DTC institutional creation.

The following sections only apply to organizations that fulfil the above mentioned criteria. They de-

scribe 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. Equally, their duration

may differ from case to case as each DTC candidate has its own, idiosyncratic dispositions which must

be taken into account.

1 http://www.bmwfw.gv.at/Innovation/Foerderungen/Seiten/WissenstransferzentrenundIPR-Verwertung.aspx



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4.1 Step 1 Mutual agreement on integration into DTC network

Mutual agreement on integration is a very important step. Basically, it is a threefold procedure:

1. In a first step, SEZ contacts universities and presents the DTC initiative. If the university is defini-

tively interested in the project, a letter of intent (LoI) will be signed. This process can also be re-

versed when universities contact SEZ and express their interest in DTC initiative. Example: Annex

1: Letter of Intent, Bucharest, 28-30 October 2013.

2. In a second step, after having signed the letter of intent, financing of a DTC is the next decisive

step. DTCs can either finance themselves. If this is not possible, SEZ tries to identify funding op-

portunities for the DTCs. For instance, SEZ coordinates or participates in two FP7 projects which

further develop the DTC pilot project. In this phase of DTC implementation, a letter of commit-

ment (LoC) is signed. Example: Annex 2: Letter of Commitment, Regensburg, 27-28 November

2012.

3. In a third step, after one year of working together, the Memorandum of Understanding (MoU) is

signed by the partners. Example: Annex 3: Memorandum of Understanding, Bucharest, 28-30 Oc-

tober 2013.

4.2 Step 2 Analysis of environment of DTC

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:

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

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

structure, 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, occupa-

tional 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 regula-

tions, 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 4.

4.3 Step 3 Analysis of host organisation of DTC

In order to better understand and assess the potential of a certain host organisation regarding the

above mentioned criteria, 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, important universities are the most suitable for the sake of TT. In this case, it is

recommended to analyse the following aspects:



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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 commercializa-

tion 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?

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 col-

laboration? What are the standard procedures within your institution for answering expres-

sions of interest, submitted by companies?

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

ised 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 pro-

fessors 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 tech-

nologies to industry? What other incentives exist for professors to provide services for en-

terprises?

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 uni-

versity?



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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?

4.4 Step 4 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 practi-

tioners 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 Consor-

tium, 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 Communi-

cation Association: http://www.icahdq.org/.

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

edge 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. 2

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

keting questions. This helps to define an assignment and results in a project, to plan different pro-

ject 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 com-

petitive technologies to determine the commercial potential of an idea and its viability, to con-

duct 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 useful.

It helps in practice to elaborate business plans for a new company/product, find potential com-

mercial partners or investors and to promote ambitions of entrepreneurship in general.

2 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).



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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. Informa-

tion 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 compe-

tences. 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 5).

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 6.

The role of a manager of a DTC is especially 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 organiza-

tion.

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 iden-

tifying 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.

4.5 Step 5 Adjustment of legal structures for DTC

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.



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Interaction: The functioning of a DTC requires certain 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 be-

tween 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 the figure below.

Figure 3: Legal functioning of DTC activity

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 inter-

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

tions arising from the independent project management must be defined. In addition, it is rec-

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

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

contract3 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.

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,

and investments) as well as on prices. During the DTC project, DTC managers were asked to the

achievements of their DTC (number of trainings, projects, proposals etc.). On the one hand, these

activities indicate the demand from SMEs; on the other hand, they show the ability of DTCs to re-

spond to this demand.

3 It is not useful to develop a template for a manager contract as there a considerable differences regarding the legal regulation of con-tracts.

DTC Profit center (e.g. professor)

Customer (e.g. customer) Host organisation



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4.6 Step 6 Optimization of operational structures for DTC

Portfolio: A rough idea of services that may be useful to offer in general can be found here:

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 in-

troduce 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 competi-

tiveness, innovation, research, technological capacity, and organizational change, etc. To do

so, a profile of innovation is developed and appropriate indicators and benchmarks are identi-

fied. Regional Audits often propose pilot activities and/or recommendations for further ac-

tions.

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, innova-

tion/transfer vouchers etc. financed by national/European [e.g. European Social/European Re-

gional 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, authori-

ties, 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 stu-

dents/young graduates. Examples of stimulation of entrepreneurship:

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, innova-

tion and business“.

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:



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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.

Figure 4: Factors influencing pricing

Business Plan: The consolidation process 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 vehi-

cle 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 task helped a

lot to clarify and consolidate DTC structures. The main elements should be comprised:

1. Executive summary

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

2. Mission

(short-term, mid-term and long-term objectives, 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, information security).

5. Market analysis

(size, growth, location, characteristics, important segments, partners for cooperation/clusters).

Competitors

Costs

Pricing

Customers



16

6. Customers

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

7. Marketing strategy/plan and PR

(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

(description of physical infrastructure and IT infrastructure, risk management, etc.)

10. Financial plan

(personnel & administrative costs, fees, cash flow, sources of income, profit/loss projection).

4.7 Step 7 Elaboration of growth strategy for DTC

Regional and national connectedness can be achieved by networking with regional research insti-

tutes, 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 in-

terest and the dissemination of the centre’s results (website, newsletter, social networks, confer-

ences, 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 addi-

tion, in order to get viable, DTCs should try to enter their partners’ networks, for instance: universi-

ties’ network, Enterprise Europe Network, TT networks, Steinbeis network etc. This allows to further

expand the own customer base at European level and make the DTC business more sustainable.

With the help of such networks, there are several possibilities for funding. Irrespective of the type of

funding the DTC gets, it will help to boost the growth of a DTC. The decision for one or several types

of funding depends on various factors. The legal conditions in which the DTC operates are important.

Besides, for reasons of risk diversification, it is recommended to DTC to mix their funding sources and

not only rely on a single one.

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

budget set at the beginning of the project. This is a question of knowing the demand and needs

of its environment. All DTC should care about their customers actively and may also try to estab-

lish professional customer-relationship-management procedures. These relationships are crucial

to sell services successfully. At the same time, it is a good channel to understand the needs of the

customers and adapt the service portfolio accordingly.

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 dif-

ferent 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



17

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 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 bot-

tom-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/. In general, 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 NoGAP.

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 question-

naire, 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 fu-

ture, 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.

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

gels 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.

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

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/



18

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

ness 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 be-

hind the invention and the development.

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

mentation 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.

7. Development of growth strategy

Co

ntin

uo

us: Fu

nd

ing

6. Optimization of operational structures

5. Adjustment of legal structures

4. Qualification of DTC staff

3. Analysis of host organization of DTC

2. Analysis of environment of DTC

1. Mutual agreement on integration

In principal: suitability (fulfillment of selection criteria)

Figure 5: Steps of DTC creation & implementation

Preparation /

Set-up Consolidation /

implementation

19

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 Hand-book 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 Profession-

als. 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/1765/38047http://hdl.handle.net/1765/38047http://groupspaces.com/Competitiveness/

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7 Annex Annex 1: Letter of Intent, Bucharest, 28-30 October 2013

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

(D5.8) Danube-INCO.NET

21

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

(D5.8) Danube-INCO.NET

22

23

Annex 2: Letter of Commitment, Regensburg, 27-28 November 2012

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

tion (D5.8) Danube-INCO.NET

24

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

tion (D5.8) Danube-INCO.NET

25

26

Annex 3: Memorandum of Understanding, Bucharest, 28-30 October 2013



27



28



29

30

Annex 4: 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 coopera-tion 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 re-sources; 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 ex-perts. Development of concept paper with the methodology of natural re-sources 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 inhabi-tants - absence of new and modern production technologies in most of the compa-nies - low concentration of innovative companies in the region - missing research and development in most of the companies and weak inter-connection of scientific and research base with enterprises. - lack of finance invested in agriculture - weak competitiveness of agriculture in comparison to other European re-gions

Opportunities Threats

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

Danube-INCO.NET

31

- 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 „...“)

- 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 Re-gional 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 develop-ment 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 educa-tion, 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 en-suring 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 mar-ket

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Annex 5: 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:

33

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:

……………………………………………………………………………………...

………………………………………………………………………………..…….

……………………………………………………………………………………...

…………………………………………………………………………………..….

…………………………………………………………………………………..….

………………………………………………………………………………..…….

………………………………………………………………………………..…….

34

………………………………………………………………………………..…….

…………………………………………………………………………………..….

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:

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

……………………………………………………………………………………………….

35

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.

36

Annex 6: 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

Documents

Concept for Danube Technology Transfer Cen- tres including ... · Step 4: Qualification of DTC staff: Technology transfer is said to be a talent-based business because often, it is