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Report on DIFUSE Consortium Members Knowledge Transfer Practice by nyut545e2

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									     INNOVATIVE UNIVERSITIES IN EUROPE

Report on DIFUSE Consortium Members’
     Knowledge Transfer Practice

 CASE STUDIES FROM THE EUROPEAN CONSORTIUM OF
             INNOVATIVE UNIVERSITIES


               Edited by Stephen Hagen
DIFUSE Deliverable D4: Report on Consortium Members Knowledge Transfer Practice



TABLE OF CONTENTS

PREFACE..............................................................................................................................3
INTRODUCTION....................................................................................................................6
CHAPTER 1 OVERVIEW OF THE CASE STUDIES............................................................11
CHAPTER 2 UNIVERSITY OF AALBORG, DENMARK ......................................................20
CHAPTER 3 UNIVERSITY OF TECHNOLOGY COMPIÈGNE (UTC), FRANCE .................32
CHAPTER 4 UNIVERSITY OF DORTMUND, GERMANY ...................................................40
CHAPTER 5 HAMBURG UNIVERSITY OF TECHNOLOGY, GERMANY ...........................50
CHAPTER 6 THE UNIVERSITY OF STRATHCLYDE, SCOTLAND, UK.............................59
CHAPTER 7 POLITECNICO DI TORINO, ITALY ................................................................72
CHAPTER 8 UNIVERSITY OF TWENTE, THE NETHERLANDS ........................................83
CHAPTER 9 THE UNIVERSITY OF WARWICK, ENGLAND, UK .......................................95
ANNEX: QUANTATIVE DATA ..........................................................................................106




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 PREFACE
This collection of case studies has developed out of the report prepared by eight University
partners of the European Consortium of Innovative Universities (ECIU) for Deliverable D4 of
the DIFUSE project (Driving innovation from universities into scientific enterprises) and was
the key output of the second work package “Assessment of Current Tech Transfer Practice”.
The project was funded under the Sixth Framework programme, ‘Structuring the European
Research Area’ – Research and Innovation - for Identification of New Methods of Promoting
and Encouraging Trans-national Technology Transfer (Call identifier FP6-2005-INNOV-7 in
2006-8.

DIFUSE is a project that aimed to evaluate existing practice and develop a model for trans-
national cooperation between university knowledge transfer support functions with ECIU and
to facilitate industrial and commercial exploitation of university services, products and
inventions, notably arising from the Consortium’s research outcomes. The specific object of
this Study is to explore current Knowledge Transfer policy and practice across the eight
DIFUSE Project consortium partners (a subset of the ECIU membership) - the Universities
of Aalborg, Dortmund, Strathclyde, Twente, Warwick, the Politecnico di Torino and two
Universities of Technology, Compiegne and Hamburg.

The DIFUSE Project is seen as a strategic project by the rectors, vice-chancellors and
presidents of the members of the European Consortium of Innovative Universities. The ECIU
was formed in 1997 when a number of progressive European universities decided that in an
increasingly globalised world there was a need for universities to engage in a strong
European strategic network. The aim of ECIU is mutual support in order to benefit from each
other's best practices, to address jointly some of the pertinent issues of higher education in
Europe and to master the challenge of an ever increasing international market in research
and education. Its membership currently comprises 11 members from 9 Member States plus
3 associated members located in Australia, Russia and Mexico. ECIU is a strategic alliance
with a relatively small membership in order to provide opportunities for very close
cooperation which go beyond networking. ECIU represents an established partnership
whose members are at the forefront in Europe in terms not only of having implemented
progressive measures to support technology transfer, but also in working together in trans-
national cooperation.
KT is one of three strategic focus areas for the ECIU. Others are: European Graduate
School; Improved Student and Staff Mobility, and University-Industry Interaction. Good
progress has been made in the first two areas with common curriculum development,
particularly with the implementation of staff and student mobility programmes. In the area of
university-industry interaction, establishing joint, or collective, actions has proved much more
challenging between the university members, but DIFUSE lays the foundation for closer
collaboration in a number of areas of Third Mission activity.

DIFUSE – for members of the ECIU - is ultimately about finding the means to create an
international KT network of like-minded knowledge generators, such as universities, which
can collaborate irrespective of their location. In the study different practices of university
based KT organisations are apparent at the operational level. These have often to do with
the evolution of the particular university concerned, but also mean that niche expertise may
be developed. It provides a structured descriptive overview of the universities in the
consortium focussing on their technology and knowledge transfer practices. Agreed on a
common purpose for Knowledge Transfer, the eight different approaches of ECIU members
in DIFUSE illustrate how the contribution of universities to the regional (and national)
knowledge economy in general can be improved. The ECIU members of DIFUSE also have
internationally renowned research institutes in areas without local industrial take up, which
can attract research talent internationally and win research grants

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As such, the case studies in this publication serve three purposes: firstly, as a means for the
project partners to compare each other’s T&KT practices and present them in a comparable
form. Secondly, it was decided to recast this experience in a more public form as a study that
would serve to inform other interested readers who may wish to learn about and compare
different university practices taking examples from different European Member States.
Thirdly, the process of developing a comparable form of description for T&KT activity
(sometimes called ‘Third Mission’) and discussing it between partners served as a basis for
the next stage of the DIFUSE project Work Package “Report on Recommendations for
Common TT Activities”. The subsequent study that appears here is designed as the public
version in point two above.
The overall structure and approach of this study was agreed at the Project kick-off meeting
held in July 2006. All partners contributed their respective chapters which were then
reviewed at a project meeting in October 2006. Overall editing of the chapters and the
addition of the Preface and Introduction were made by Prof. Stephen Hagen on behalf of
Warwick University, the partner responsible for deliverable D4, and the public version of the
work was finalised in late Autumn 2007.

Structure of the Study
Using the consortium membership as a baseline, DIFUSE profiles each of the eight
universities, defines their role in the Region; and addresses and benchmarks current KT
practices, in particular, focusing on six main themes

University Profile
         Each university has their own particular history, background, economic conditions
         and development path in Knowledge Transfer. The regions have different histories,
         but so do the universities. Often they are different sizes, have different academic
         programmes, beliefs or missions and varying numbers of students, both
         undergraduate and post-graduate

KT organisation
        The issues covered here include: organisation form (e.g. public or private), staffing;
        policies and processes in Knowledge Transfer and commercialisation; services to
        business and the community; funding versus income, business models - notably
        support for SMEs

Encouragement and support for scientific entrepreneurship and incubation
        The eight ECIU members’ approaches to supporting entrepreneurship for staff,
        students and enhancing the enterprise culture are compared; the management of
        IPR is reviewed, plus policies and support measures for investment in spin-outs as
        well as defining the University’s relationship to investors

Policies on IPR protection and exploitation
          This is the opportunity to look at the possible impact of IPR ownership policies on
          the incentives of academics to participate fully in KT activities, and especially trans-
          organisational IP management




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Methods of working with business partners
        Knowledge Transfer may managed through many means other than
        commercialisation of assets. There is CPD, consultancy and student placement.
        For example, each university has experience of working with industrial partners,
        large and small, regional, non-regional; they have developed an effective university
        corporate approach

The University and it Region
        The University in the Region and the role universities can play in the context of
        regional development. In summary, universities are seen as being important in that
        they can act as hubs of regional innovation systems and can provide a focus for
        networking between knowledge producers, users within a region and link them to
        more global knowledge networks.

Methodology in the Report
During the DIFUSE project, a structure for each university to present their profile and T&KT
related activities was agreed. Each university collated and presented their T&KT information
in a series of sections controlled for length and content. Each section follows a specification
for each university, which allows a summary of the major characteristics for ease of
comparison as follows:
Section 1: University description
Section 2: University’s policy towards exploitation
Section 3: Implementation of Knowledge Exploitation
Section 4: Case Examples
Section 5: Interface to Business Community
Section 6: Business Creation
Section 7: Building entrepreneurial Culture
Section 8: Regional Policy Context
Section 9: Self-assessment (SWOT)
Section 10: Perspectives

These comparisons provide in themselves some valuable insights from which other
universities with less well developed KT activities could draw useful comparisons. However,
the ultimate goal of DIFUSE is for the ECIU to draw up proposals for some form of common
strategy, mutually supporting trans-national technology transfer and exchanging exemplars
of effective methods which also could be transferred as a role model for others.

There is still much to be done in Europe to make these KT activities as effective as many
innovative universities round the world. Marketing mechanisms are much less developed for
historical, political and structural (legal and incentive-related) reasons compared with the US.
It is also a fact that few KT offices, if any, are really self supporting financially in the US or
Europe. Their role is much more strategic; moreover, the value added to the university by
effective KT practice cannot just be measured in terms of revenue, but by changes to the
culture of the university and the enhancement of its ability to attract foster more
entrepreneurial academics and students.




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 INTRODUCTION
Global Trends in Higher Education
Traditionally, the primary functions of universities have been teaching and research. The
majority of European universities are public whose main source of funding is directly or
indirectly from the state. However, over the past decade, a third stream of activity has
emerged, namely, the transfer of knowledge to the private and community sector and the
active engagement of universities in regional economic development. So-called Third
Mission activity includes Continuing Professional Development (CPD), licensing,
consultancy, start-up and spin-out activity and recognises the need for universities to protect
and commercialise university inventions and their other assets. A closer relationship with the
business and community sectors is a prerequisite to this development.
At the forefront of Third Mission Knowledge Transfer (KT) activity in European universities
are the members of the European Consortium of Innovative Universities (ECIU). In recent
decades, trends such as globalization, the development of common trading zones,
intensification of international competitiveness, increasingly require organizations to be
innovative in the way they operate and in the products and services they produce. Indeed,
many government policies have encouraged greater collaboration between the three worlds
which were once very separate: namely, private and public research, business (as a
structure for wealth creation) and education. All three, it is felt by policy-makers, can
converge into a virtuous circle to produce successful innovation.The membership of ECIU
provides a critical mass to highlight different schemes for innovation in European universities
and measure their effectiveness. In doing so the DIFUSE project acts as catalyst and will
provide role models for other universities in Europe and beyond.
This common model for innovation in universities with a third mission is a spiral that aims to
capture multiple reciprocal relationships across institutional settings (public, private and
academic) at different stages of the innovation process to form the so-called "Triple Helix."
According to this model, higher education institutions (HEIs) become the "hybrid agents of
innovation", with the university hi-tech spin-offs, with venture capital funds set up by
universities. Innovative universities today are vortexes which can combine use of knowledge
with industrial, business and regional growth and provide a habitat for the dynamic
interaction between educational, R&D, business and government sectors. Universities are
increasingly starting to play the role of "innovation coordinators" and often becoming
responsible for coordination and management of the various phases of innovation activity in
their regions.
One of the many drivers for this is in the changing nature of university funding. The research-
led university sector is facing new challenges that require new and innovative systems for
sustaining and developing new and innovative technology-transfer activities in support of the
modern competitive economy. “Traditional” financing mechanisms – when a public institution
is funded from state sources alone – are becoming less evident and more and more limiting
in their effect on reform in Higher Education as state funding becomes more and more
allocated on a market-led basis. Governments have caught on to the power that universities
have through their ideas and presence in the local economy. Many are not only significant
local employers, but they have become joint venture partners in regeneration projects
involving the setting up of high-tech science and business parks which are perceived to be
the mainspring of new high-growth economic activity to replace old, worn-out and traditional
forms.


The Innovative University
In many cases the Innovative University route started with the development of a Science
Park over 40 years ago. But the distinctive step change came for many innovative
universities with the interconnectivity of their support for business (or business services,
including Science Parks) with the development of their own commercialized products, which

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were usually research and technology-led outputs from Science, Engineering and
Technology Faculties. Until the development of a dedicated infrastructure (e.g. the
Technology, or Knowledge, Transfer Office, responsible for patenting and licensing IPR; and
the Research Support Office, responsible for procuring and/or managing the research
funding) many universities operated in ignorance of the opportunities they were missing for
transferring their inventions and, in some cases, simply their ideas to society and to their
Region.
What distinguishes innovative universities from the mainstream is, however, the holistic
approach to Knowledge Exchange and Transfer, as in the diagram below, In many cases the
Innovative University route started with the development of a Science Park over 40 years.
But the distinctive step change came for many innovative universities with the
interconnectivity of their support for business (or business services, including Science Parks)
with the development of their own commercialized products, which were usually research
and technology-led outputs from Science, Engineering and Technology Faculties. Until the
development of a dedicated infrastructure (e.g. the Technology, or Knowledge, Transfer
Office, responsible for patenting and licensing IPR; and the Research Support Office,
responsible for procuring and/or managing the research funding) many universities operated
in ignorance of the opportunities they were missing for transferring their inventions and, in
some cases, simply their ideas to society and to their Region.
What distinguishes innovative universities from the mainstream is, however, their holistic
approach to Knowledge Transfer and recognition that there is a virtuous knowledge transfer
and exchange cycle: namely that spin-out and start-up activity, training business and the
community (CPD programmes), the Science Park strategy, the curriculum (with a bias
towards offering more professionally oriented programmes) can be interlinked and
underpinned by a ‘third mission’ strategy whose hallmarks are usually a pervasive enterprise
culture, a strong underpinning by research outcomes and the formal recognition of this role,
or mission, through a governance and management framework that joins up the innovation
processes.
Research, as in the figure below, tends to provide the essential generator to enable a free
flow of knowledge from the labs to the curriculum, leading to CPD (training) and sparking the
innovation infrastructure (comprising applications such as business start up schemes, or
incubators, with access to Science Parks for suitable companies).




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 The Virtuous Knowledge Transfer Cycle

Re-packaging of Knowledge                      Science, Technology, Design Engineering Base


                                 RESEARCH
                                                    Knowledge Transfer Office
                                                    - Identify Research Outputs
                                                    - Stimulate Enterprise Culture
                                                      = Spin-outs           = start-
                                                                   ups

     TEACHING

Entrepreneurship education        Science                   Enterprise support
Awareness Activities              Parks                    Access to market through
                                  Incubators               Investor readiness




 The ECIU Partnership
 In this environment, the ECIU recognises the value of a consortium approach. Its aim –
 through projects like DIFUSE - is to pool competencies in order to meet global challenges
 more effectively. Changes in the way universities handle their IPR portfolio across Europe
 are now opening opportunities for institutional collaboration which have not previously
 existed. New legislation within the Member States has opened up new opportunities for
 universities to seek out more active patent portfolios with other European universities. For
 example, in the area of patent exploitation collaboration at a European level has only recently
 been possible due to Member State Governments providing support measures for better
 exploitation of university and public research organisation patents (examples being
 Denmark’s Act on Inventions in Public Research, Germany’s Commercialisation of IP from
 Public Science, UK abolition of patent fees). DIFUSE provides one of the first opportunities
 for European universities to look at collaborative approaches to patenting strategies and
 exploitation.
 The consortium partners (a subset of the ECIU membership) have by comparison to the
 majority of public universities have on the whole performed well in their development of
 mature university based KT and Intellectual Property (IP) commercialisation operations since
 they are relatively young universities and founded in nearly all cases with a regional
 development remit. Over the last decade they have met the challenge of KT in different ways
 with differing success and are often viewed by other universities as role models.
 Different practices operate in each of the eight case studies, which have to do with the
 evolution and mission of the particular university concerned, but there is a significant spread
 of good practice across the eight partners and a richness of the diversity of experience and
 expertise that will be of interest to other universities keen to develop their own Knowledge
 Transfer strategies, both in Europe and further afield. Each University in th study offers
 specialist knowledge and practice in at least one of the key features of the Knowledge
 Transfer spectrum: from examples of commercialisation practice, such as the development
 of IPR policies (on patenting and licensing), specialist spin-out support offices, for example,

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in Strathclyde, Hamburg and Warwick, to exemplar entrepreneurship training (e.g. TOPS in
Twente, EFS in Warwick).
The partners offer a significant and diverse range of start-up support programmes, often
linked to successful university-based innovation centres, as in Twente, Torino, or the SEA
Office in Aalborg. Other partners in the case studies integrate their knowledge transfer with
local, shared facilities, such as the Technology Park in Dortmund, or Warwick Science Park,
or the ’Pole technologique’ in Compiegne in order to enhance their regional, and city-based,
innovation activity.
Each case study shares a common theme: that is the commitment to underpinning this
seamless, integrated process of knowledge exploitation and transfer with a culture of
enterprise that is embedded in the fabric of the university. For example, Dortmund, Twente
and Warwick set great store by drawing entrepreneurs closer to the campus to support this
philosophy. Strathyclyde characterises this holistic approach, which is a common feature in
other case studies, with its Community of Entrepreneurship wheel of interfacing networks,
departments and initiatives linking internal departments with external stakeholders, namely,
banks, venture capitalists and chambers of commerce.
This is rarely limited to just start-up, or early venture, support. The partner universities share
a commitment to developing a broad external business interface. The stimulus for an active
interface varies, however. In several cases this is part of a pipeline of regional development
conducted by universities as regional leaders in pursuit of their perceived role as levers of
their regional economies (e.g. Strathclyde, Torino and Aalburg). Other universities have
developed critical strengths in certain sectors of their local economy, such as small business
support at Twente, or aerospace in Hamburg, where collaborative research projects have
been set up with the industries, in some cases leading to shared facilities and laboratories. In
one case, this extends far beyond the Region to the creation of global networks, as in the
instance of Warwick Manufacturing Group and Warwick Business School.
The case studies contain many varied examples of innovative practice in their Third Mission
activity. The cases vary in the extent to which they use different types of commercial vehicles
for their knowledge transfer. Hamburg University of Technology currently uses a company
vehicle for commercial explitation and Knowledge Transfer with the creation of TuTech,
which offers a possible model to follow. In other cases, universities have not ’spun-out’ their
own tech transfer offices, but they have branded them in such a way that makes their
relationship closer with industry and enterprise, such as COREP in Torino, NIKOS in Twente
or Warwick Ventures in Warwick. The DIFUSE project offers examples of different practices
through comparisons and benchmarking in the tradional Third Mission areas:
   •   Collaborative and contract research, including proactive engagement with large
       companies at strategic and lower levels and underpinned with the promotion of
       existing achievements in Research.
   •   Technology Transfer Office Activity: IP Disclosures and Protection methods and
       models for protecting and commercialising IPR; identifying the most suitable method
       (licensing, copyright, spin-out, etc.)
   •   Regional Strategy which is already extensive in the Universities, e.g. working in close
       collaboration with their regions to make a strategic partnership between local
       business, community and governmental agencies.
   •   Consulting activities are a key area for enhanced growth in Knowledge Transfer and
       in support of income generation.
   •   Creation of Spin-off Firms from R&D, with which can be enhanced by new IPR
       policies, procedures and alternative means of exploitation (e.g. licensing).
   •   Support for Business and the Community: e.g. Continuing Professional Development,
       where best practice and possible clients with special requirements could be


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       exchanged between participants, with a standardised service and further extended to
       new sectors and professional practice communities.
   •   Student Placements: best practice in transferring knowledge through university
       faculty and students.




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 CHAPTER 1 OVERVIEW OF THE CASE STUDIES

The University of Aalborg’s (AAU’s) Mission Statement captures the major distinguishing
characteristics of the European Innovative University, or EIU, compared with other
universities, by focusing on the twin linked aims of knowledge development and
innovation. “… the University will function as a knowledge-producing institution of cultural
significance by contributing to technological, economic, social, and cultural innovation in
society through entrepreneurship, as well as transfer, communication, and exchange of
knowledge.” Each of the universities in this study share a similar purpose and follow a
broadly similar profile: they are enterprising universities which place a focus on creating
knowledge that can be applied and transferred to their regional and national economies.

Within this shared focus, there are, of course, variations of emphasis within the case studies,
as one might expect within a community of independent universities. This can be an
emphasis on process, rather than product. For example, Aalborg’s knowledge transfer is
distinguished by implementing the process of Problem Based Learning methods as a means
of addressing the challenges facing business and the community. Twente (UT), on the other
hand, stresses more research-driven outcomes, providing education of excellent quality and
research at a recognised international level which lead to knowledge transfer that supports
the economic and social development of the University and its Region. By contrast, the
Politecnico di Torino, a Technical University based in Piedmont region, places a special
emphasis on the professional preparation of engineers and architects.

Partnership Profile
The physical and numerical profile of the universities vary considerably, but appear to have little
impact on the commitment to innovation. While the University of Dortmund comprises 16
departments and faculties with about 21,500 students and 1,700 academic staff, UT has 8,000
students; Warwick has 16,175 students, 4,871 staff and 30 Academic departments; Strathclyde
has arbout 15,000 students (11,200 of these are undergraduates and 3,500 postgraduate); Torino
has 26000 students. Aalborg University, with about 14,000 students and 500 doctoral students is
considered ‘young’. Whereas most of the others were established in the 60s, it was established in
1974, driven by the business community of the region.

Compiegne (UTC) has the smallest number of students within the study, but the University
specialises in Engineering. The statutes of the UTC include very specific clauses including the right
to award an engineering diploma after 5 years of study validated by the prestigious French Grande
Ecole system. Of the 3200 students at UTC, 2700 of whom are studying for the Engineering
Diploma at Master’s level degree.

However, size is not a determinant of performance in Knowledge Transfer and Innovation,
though relative youthfulness tends to be a common feature with the exception of Torino,
which was established over 100 years ago. The universities tend to be post-war (60s or 70s)
and all have been able to break free from the traditional straitjacket of rigid academic
conformity and regulation that characterises the more traditional universities of Europe.

Distinguishing Features of the EIU’s
In the study the eight EIU case studies have redefined innovation in developmental terms by
reference to six characteristics: Implementation of Knowledge Exploitation; Commitment to
Applied Research; Interface to the Business Community; Business Creation; Building
entrepreneurial Culture; and Regional Policy Context. Each university has defined its own
route within these pathways, placing a particular emphasis on a special set of features.



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For example, UT sees itself as an entrepreneurial research university with a focus on
technological developments in the knowledge society. Based on a belief in the
interrelationship of social and technological innovation, UT’s special character manifests
itself in strategic public-private networks and in a campus where academic training takes
place.


Warwick has added to these the importance of a centralised management structure with
centres and departments involved openly in commercial activity, where some aspects of
financial management are decentralized and the head of every major cost centre is a
member of the University 's Steering Committee and involved in all aspects of university
decision- making and planning on a weekly basis. Every cost centre is expected to adhere to
a profit-making five year plan reviewed on an annual basis. Commercial organizations within
the University have been monitored by a committee concerned with commercially-related
activities similarly academic centres have to justify any losses and can risk being closed
down. Warwick derives its major income from fees from self-financing courses and profits
from management centres.

 The University of Dortmund’s Mission is to enhance interdisciplinary cooperation between
the natural sciences/ engineering and the cultural studies/ social sciences. The Faculty of
Social and Economic Sciences forms a kind of ‘hinge’ between these two ‘blocks’. So its
distinctive research strengths straddle Engineering and the Social Sciences: namely,
Production and Logistics Modelling, Chemical Biology und Biotechnology, Simulation and
Optimization of Complex Processes and Systems Education, School and Youth Research.

Similarly, Scotland’s third largest University, Strathclyde, has a long-standing worldwide
reputation not only for excellence in academic research and innovation which benefits
society, but also for commercially-relevant research to assist companies in achieving market
leadership. The University of Strathclyde focuses on matching the needs of students to
employers, industry and the wider community through its teaching, research and consultancy
with has five faculties: Law, Arts and Social Sciences; Engineering; Science; the Strathclyde
Business School; and Education.

Politecnico di Torino has a similarly wide range of specialisms, spanning: information
technology, electronics, telecommunications, electrical engineering, automation, energy,
environment and land, space and aeronautics, physics, mathematics, mechanics, chemistry,
science of materials, architecture and building, industrial design, transportation, production
systems and enterprise economy. However, a long tradition of automotive and industrial
design based on many years of working with the automotive sector (e.g. FIAT's headquarters
are in Torino). Torino’s strengths lie in its strong businsss interface, a distinctiveness
demonstrated by its initiatives: I3P (Politecnico di Torino’s Innovative Enterprise Incubator);
ISMB (Istituto Superiore Mario Boella); ILO (Industry Liaison Office) and COREP
(Consortium for Research and Lifelong Education).

Warwick has a deserved reputation as an Enterprising University with significant success in
income generation. For example, in 2002-2003 Warwick’s annual income was £212.78
million (circa 300 million Euro). This comprised: teaching fees (27%) £57.71 million (ca 87M
Euro); full-time international student fees (7%); HEFCE Grant Teaching (15% - £31.06
million); Research (9%) £20.03 million; research grants and contracts (14% - £30.36 million
ca 42M Euro)); other operating income (33% - £69.17 million ca 98M Euro), including income
from residences, catering, conferences and management training centres; and other grants
(2%) - £4.45 million or ca 6.1M Euro). The other operating income has risen since then,
underlining Warwick’s strategy of developing new non-governmental income sources. It sees
the entrepreneurial culture as a vital underpinning part of this process.



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The University of Technology Compiègne (UTC), created only in 1972, is unique since it combines
the characteristics of the prestigious Grandes Ecoles in Engineering with those of classical French
research-led universities. UTC’s The primary missions of the UTC are based on the themes of
education, research and transfer. Its six main departments at UTC; Bio-engineering, Computer
Engineering, Mechanical Engineering, Mechanical Systems Engineering, Industrial Process
Engineering and Urban Systems Engineering as well as a department of humanities which provides
courses in languages, communication, social sciences and management. It provides the highest
possible level of engineering education and training (initial & life long learning) and scientific
research in close collaboration with industry with an emphasis on international collaboration,
innovation, technology transfer and spin-offs.

Pathways to Innovation
Knowledge Transfer and Exploitation
Knowledge transfer and exploitation are the main policy imperatives for all the universities.
Each has a developed Technology or Knowledge Transfer Office. The Dortmund University
Transfer Office is part of its well-established Regional network consisting of the City of
Dortmund, the University, the University of Applied Sciences and the regional technology
centres. The Transfer Office manages the awareness creation and exploitation activities. It
offers public informational meetings on IPR as well as individual or group discussions. One
member of staff is part of the commission that advises the Chancellor. The Transfer Office
contracts an exploitation agency, PROvendis, to manage the exploitation process on its
behalf.

Twente, for example, espouses the principle of knowledge valorisation as a means to
optimize its involvement in research-based spin-offs and to improve the uptake of (new)
research and technology outcomes in society. The UT established an UT Innovation Lab
(part of the Knowledge Park). Combining knowledge and experiences in the areas of
intellectual property and knowledge exploitation, the Innovation Lab/Knowledge Park is
supported by the commercial branches of the UT institutes and by the expertise available at
central level With the UT Knowledge Park, the structure has been created to efficiently
support the content-related activities ensuing from the Technology Valley and to enable
scaling up of successful practices to the national level.

Strathclyde’s Research and Innovation Group bridges the gap between academic excellence
and commercial success, helping industry access state of the art Strathclyde research. Its
R&I Group is the first point of contact for industrial and commercial bodies to the research
activity carried out across the University. The University of Warwick has spun out more than
a dozen companies who are already trading and the University has an excellent portfolio of
more than 50 patents and patent applications, many or which are licensed to companies in
the UK, Europe and the US. However, Knowledge Transfer is not the same as income
generation: Warwick Ventures was created in April 2000 to manage the portfolio. As for
inventions in Aalborg, the researchers of Aalborg University report all of their inventions to
the University and benefit as follows: inventors/scientists receive 1/3 of the revenue; 1/3 goes
to the scientific group or department; and 1/3 goes to the University administration.


Torino specialises in campus-based incubation: ’I3P’ the Innovative Enterprise Incubator of
the Politecnico di Torino is the Politecnico’s non-profit company, created by the the
Politecnico di Torino, the Province of Torino, the Chamber of Commerce of Torino,
Finpiemonte, Torino Wireless Foundation and Turin Municipality in order to promote the
creation of new enterprises developed in the local research centres. But this is no ordinary
university-based trading company: to enter the Incubator, new enterprises must demonstrate
that they are able to develop knowledge-focused products and be entrepreneurial. So far I3P
has overseen or developed: 73 hosted enterprises; 32 enterprises successfully completing
incubation; and 350 aspiring entrepreneurs who have attended pre-incubation programmes.
A similar scheme operates at Warwick Science Park which is owned by the University (one-

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third), Coventry City Council (one third) and Warwickshire County Council. Warwick Science
Park is now one of the largest in the UK with 134 high tech companies on four different sites
across the region, employing over 2,000 staff.

UT uses a system of business accelerators embedded in research institutes to achieve
similar ends. While business developers focus on ideas with potential at the research
institute level, individuals tend to self-select as entrepreneurs to UT’s Entrepreneurship
Centre Nikos. Nikos develops individuals’ ideas which must pass the viability test. Then UT
offers support through an incubator and in the knowledge park (located off campus).

In recent years UT Compiegne has been involved in national and regional initiatives on innovation.
The Carnot Label has been awarded to UTC which is also a leader of the French “Pôles de
Compétitivité” (Technology Clusters) in transport and biotechnology. But UTC’s performance is
apparent from its rankings within the 85 classical universities and all the schools of Engineering in
France, whre UTC has been ranked:
• 6 for the turnover in contracts with industrial partners, for the number of industrial partners and
      th

    the number of research staff members (Industrie & Technologie, n° 881 - September 2006)
• 9th for the number of enterprises created (L’Usine Nouvelle, n°    1338 23-29 March 2006)
• 1 overall amongst all 40 engineering schools offering a 5 year integrated engineering
     st

    programme “Le Point” n°   1796 15 February 2007
The University is currently re-organising its tech transfer. The Direction for Industrial Relations
(DRE) covers tech transfer, including IP and contracts. The licence revenues are distributed in the
following proportion: 50% to the inventors, 25% to the research laboratory and 25% to the university.
One of the principal activities is the organisation of industrial training in France and abroad. Within
the DRE there is a service responsible for developing the spirit of entrepreneurship; training and
supporting future entrepreneurs, overseeing the business club (involving all entrepreneurs linked to
UTC) and the European Team administering and organising the EC R&D programmes. The DRE
also intervenes to persuade industry to grant UTC some of the money from the taxe d’apprentissage
or training tax to aid education.
The DRE is located in the transfer centre, where both Divergent and ILC are located.as well
as a Science Park: the "Compiègne Pole technologique". co-founded by UTC and the local
authorities. “Compiègne Pole technologique" was recognised as a “technopole” by the
national network of French technopoles and incubators. The UTC’s nursery for start ups was
created in 1991 and the regional incubator of Picardy in 1999.

By setting up Warwick Ventures as the University’s main tech transfer and commercialisation
arm in the year 2000, the University of Warwick has made a significant commitment to
maximising the commercial application of its research. For example, more than a dozen spin-
out companies are already trading and the University has an excellent portfolio of more than
50 patents and patent applications, many or which are licensed to companies in the UK,
Europe and the US. However, Warwick also ran the Enterprise Fellowship Scheme (EFS),
which, similar to UT’s TOPS programme, trains groups of entrepreneurs, leading to company
registration. Some 50 start-ups have been developed though this scheme over five years.
Warwick’s place as an enterprising university is also evident in its diversification of income
with less dependency on traditional sources of funding from the English funding agency,
HEFCE, which manages the government’s financing of English Higher Education. Some 60%
of Warwick’s income is derived from sources other than HEFCE, including conferencing,
retail and space management, consultancy, training and short courses.

Building a Cross-University Entrepreneurial Culture: Enterprise Education

All these universities refer to an institutional commitment to an underlying cross-university
entrepreneurial culture. At the people end, stimulating entrepreneurship among students,
staff and particularly researchers, has to be an embedded underlying philosophy of the
universities to optimise innovation. However, different methods are adopted to create a


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pervasive culture of enterprise and innovation. In most recent years there has been a new
focus and emphasis on enterprise education.

To support a similar development of entrepreneurship education, Twente actively supports
the entrepreneurial activities of students and facilitates via the Student Union and its
taskforce USE (University Student Entrepreneurs) student-entrepreneurs. Furthermore
students can rent office space at below market-rates, USE organises network activities and
Nikos offers students various curricular and elective courses and workshops on
entrepreneurship and entrepreneurial skills. In 2002 UT Compiegne founded the 4th School of
Engineering in 2002 with a new emphasis on preparing professionals for Management
Engineering. There is a teaching staff of 55 which includes engineers, economists and
specialists in management in high standing with the scientific community.The School now
offers around 76 courses attended by 2,100 students.

Aalborg University offer various courses on entrepreneurship at both a central and decentred
level.
Some courses are offered for students only, while others are offered for staff and yet others
also are open for inhabitants of the region. Developing the focus on creativity within the
student body is expanding steadily: the creativity laboratory is used by business and industry,
by researchers and students and often in a broad cooperation where the business associate
provides an assignment, which the students have to solve in a creative and innovative
manner.

Warwick’s Senate set the medium-term target in 2001 that the University should provide
enterprise teaching to 20% of undergraduates, with an initial emphasis on Science and
Engineering, By 2004/5 the numbers taught by the Enterprise Group at Warwick Business
School had risen to 776 students. This reflected increased numbers on existing course and
modules, plus three new modules. In 2005/6 the new course Starting and Running a
Business was compulsory for all second year Engineering students and in 2007 all Warwick
Business School undergraduates had to undertake a module in Enterprise.

Dortmund has established a new Chair for Management of Innovation and Business
Formation was established in the Faculty of Economic and Social Sciences in October 2006.
Entrepreneurship teaching is located in the faculty of Economic and Social Sciences. The
course schedule for this year includes the following curricular elements: start-up
management, marketing and financing; technology and innovation management; business
plan development and project management and planning. There are arrangements with
some departments where the course programme is offered as a mandatory course or as a
minor; in the other cases participating students receive a certificate. The number of students
attending all the seminars and lectures is about 150 per year.

The Business and Community Interface

At the other end of the spectrum is the Universities’ institutional links with business and the
Community, including social enterprise. There are different routes or mechanisms for
university-industry interaction, such as exploitation of “embedded” knowledge, joint R&D
ventures, joint research with industry, contract research for industry, consultancy and
continuous professional development (CPD).
In Italy the ILO - Industry Liaison Office- is a new dedicated regional office for the three
Piedmont Universities (Politecnico di Torino, University of Torino, University of Piemonte
Orientale) with the goal of reinforcing the connections with industry and services by offering
to researchers/professors: patenting support, marketing of research results, promotion of
joint and commissioned research, spin-off creation. Its mission is also to manage the
interface to the business community.
 One of the main institutions dealing with external companies and the business community is
COREP: it is responsible for the deployment of project DIADI (Diffusion of Innovation in Area

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of Industrial Decline) that, by monthly workshops, supports SMEs in the area of Innovation.
The Politecnico’s COREP - Consortium for Research and Lifelong Education operates as a
tool to carry out initiatives for the collaboration between universities, the world of production
and services and local public institutions in two prevailing areas of intervention: technology
transfer and innovation, high level specialist training.

UT’s interaction with industry and business creation are the two most frequent methods of its
knowledge validation. The task of knowledge transfer and knowledge validation is a task of
the research institutes themselves. The tasks of the institutes fall into three distinct
development domains: Patents and licenses: Most patents are developed in the framework
of contract research and according to the contract underlying the research, when the rights to
patent and commercialise go to the contractor. Business Creation: Two types of business
creation (spin-offs) are apparent – spin-offs based on university IP, and spin-in’s based on
the entrepreneur’s own IP, or his/her public domain knowledge. Enterprise support for SMEs;
UT is a major regional regeneration player and oversees a range of support programmes for
local companies.

Warwick, for example, developed the Warwick Manufacturing Group and Warwick Business
School as its lead industry-focused flagships many years ago. They not only spear-head
industrial contracts and contracts, but offer locations where people from business mix freely
with university researchers and staff. But there has to be resource to make it work and the
University has a number of business development managers in departments working to
facilitate these relationships. Informal contacts are also built through board-level
appointments of university personnel to industry bodies and companies, and vice versa.

On this basis over many years Warwick has created a formidable record in its level of
interaction with business and the community. For example:
• Warwick is fourth highest in the UK for the proportion of its research income which comes
    from industry and commerce
• The Warwick Manufacturing Group is internationally famous for its work with
    manufacturing industry with outlets in many countries of the world, including East Asia.
Warwick meets its commitment to Knowledge exploitation through a series of Knowledge
Transfer activities, and specifically through the work of Warwick Ventures and a number of
key industry-focused programmes:
    •   Continuing Professional Education (short courses and training for business and
        the pulic sector) is one of the highest sources of external income to the University and
        courses primarily for private industy and the public sector (including the NHS) are
        currently being offered by a range of dedicated centres within the University. The
        largest providers are Warwick Manufacturing Group, Warwick Business School
        (Executive Programme), Biological Sciences, Health and Social Studies, the Medical
        School (notably Warwick Diabetes Care), the Institute of Education and the Centre for
        English Language Teaching.

By contrast, the University of Strathclyde has always nurtured strong links with industry –
with 500 research contracts agreed each year. The University is also a recognised UK
leader of knowledge transfer; it has formed over 40 spin-out companies and has generated
around £40 million (56M Euro) in licensing income. Strathclyde argues that its interface with
industry, in pursuit of its knowledge exchange mission, is multifaceted and integrates the
following activities:
   •    sourcing intellectual property – transferring protected knowledge to companies
   •    working in collaborative projects - to build strategic partnerships
   •    consultancy – to offer access the University knowledge base
   •    contract research - developing leading edge technology with companies



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    •   licensing – offering licenses for high tech inventions and processes to gain
        competitive advantage
    •   spin-out companies – to offer vehicles for investment opportunities and creating new
        businesses.


For AAL it is also possible for industry to buy time at the Creativity laboratory at the university
or on the premises of the company. Numerous businesses have the teachers of creativity
arrange a creative process for their employees to ensure an innovative and dynamic
environment.

The UoD Transfer Office assists professors in finding industrial partners for projects and
companies but also in finding partners inside the University. The main method of raising are
events and presentations, visits at companies, meetings between the Rector and professors
with key regional companies, offering “consultation-hours” at the Chamber of Industry and
Commerce, inviting participation by companies in fairs and exhibitions and direct mailings.
The Transfer Office also acts as an agent between interested enterprises and scientists; in
most cases a staff member of the Transfer Office is present during the initial meeting. When
the parties agree on concluding a contract, the Budget und Research Affairs Department in
the administration takes care of the negotiation and signing. This working area can be
regarded as cultivation of company relations.

Research profile
It has now become well established that without research output a university has only a
limited range of knowledge transfer opportunities, which tend to revolve around graduate
employment, student placements, Continuing Professional Development (CPD) and
consultancy. However, each of the case studies has significant research activity, often
centred around research centres, which contribute significantly to the universities’ capability
of achieving a sustained and tangible impact on its local, regional and national economy.
Each boasts a number of internationally recognised centres. AAU has a wide-ranging group
of centres, which cooperate in very close partnership with industry in the development of new
technologies. Such two examples are CISS and BioMed Community as described later in this
report.

In Italy Politecnico di Torino has a long tradition of dealing with industry at national and
international level. In 2005 more that 700 research contracts weren signed with extrernal
partners. The Istituto Superiore "Mario Boella (ISMB) is one of the largest research centers
for Information and Communication Technology and was founded in 2000 by "Politecnico di
Torino" with financial support of "Compagnia di San Paolo" and the participation of Motorola,
SKF, STMicroelettronics, Telecom Italia. ISMB is part of Torino Wireless, a Foundation which
mission is to create and support the technological cluster favouring the synergy between
public and private players in research, entrepreneurship and finance. ISMB has 240
researchers in the fields of fotonics, wired/wireless communications, electromagnetic
compatibility, e-Security, satellite applications to mobility, nanotechnologies and
microelectronics. Shared labs are active with companies like: Accent. Alcatel Alenia Space,
Sandia (Los Angeles), STMicroelectronics. International cooperations are ongoing with
University of Illinois Chicago, Berkeley University, Anderson School of Management -
University of California, Universidad Politecnica de Catalunia, Ecole Polytechnique Losanna.

The UT is committed to a strategy of conducting top-quality research that can make a
contribution to social and technological innovation. Research is concentrated in six so-called
Spearhead Institutes on nanotechnology, biomedical technology, telematics and information
technology, mechanics, governance studies and behavioural research. UT now ranks among
the top in certain fields, such as nanotechnology, while chances for reaching the top in other
fields will improve by giving these a specific boost. Dortmund University has identified four
areas of significant research. There are 314 full professors and a significant research profile

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in Production and Logistics; Chemical Biology and Biotechnology; Modelling, Simulation and
Optimization of Complex Processes and Systems; and Education, School and Youth
Research


Warwick has an international reputation as a research-led university with all but one
programme area scoring the highly rated ’international’ grade (5 or 5*) for research activity.
Warwick’s annual research is about 122M Euro. The University has a number of very high
quality research Departments in applied areas including Biology, Computing, Economics,
Engineering, Chemistry and Physics. It also has the world-renowned Warwick Manufacturing
Group, which works closely with manufacturing companies to implement innovative
engineering techniques and technologies. For example, the Premier Group R&D Centre,
based at the Warwick Manufacturing Group, is a 98M Euro project, co funded by Ford and
the Regional Development Agency, Advantage West Midlands, and designed to help
manufacturing companies in the UK's premium automotive sector improve product
development through skills training and research and development.

Regional Integration and International Profile

There is an apparent enigma in each university’s regional strategy. While each recognises its
role as a major contributor of knowledge transfer to their regions, each sees itself as an
international player on a more global stage. For example, the regional strategy of AAU
towards global competition is the link. Innovation and the prosperity and an increase in hi-
growth companies is very much in focus. AAU’s intention is to meet the Danish government’s
Globalization Report, where the goal is for Denmark to be among those European countries
with the highest number of start-ups and for Denmark to be among those countries in the
world with the highest rates of new entrepreneurs in 2015.

Similarly, since its foundation, the UT Compiegne has been a pioneer in encouraging international
experience and exchanges for its students as an integral part of their education and training. More
than 50% spend at least one semester abroad either studying or gaining practical experience in a
foreign university or company. UTC was one of the pioneers in helping to develop the ECTS system
and now has a number of double diplomas initiated through contacts made at that time. Many
exchanges exist with prestigious US, Canadian, UK and Latin-American universities as well as our
European partners. The UTC and the two other UT’s have formed a partnership with Shanghai
University to found a new UT, (UTSEUS) permitting two way exchanges based on the UT model.

However, with a total population of over 1.85 million, UTC’s Region, Picardy, represents 3.2% of the
French metropolitan population and 3.1% of the French labour force. Increasingly, regional
collaboration takes place between universities to support regional growth and regeneration. The
University of Picardy – Jules Verne (UPJV) collaborates with UTC in a complementary way. They
are located at East and West of the Region. UTC is dedicated to Engineering sciences, UPJV offers
degree courses in most domains except engineering (Social Sciences, Humanities, Languages,
Pure and Applied Sciences, Law, Business, Medicine etc). UTC and UPJV, for example, run a
common laboratory Enzyme and Cell Engineering in the Region, but financed internationally.

The universities in this study are regional leaders and drivers of the regional economy. UT is
well embedded in the region and formally cooperates with other higher education institutions
in the region. UT is a key regional actor in the Twente region which is one of the five Dutch
regions that has been designated as a R&D-Hot Spot with a focus on innovation in clusters
like materials and health technology.
The University of Dortmund, for example, has been coordinating the project and network “G
DUR – University spin-offs and start-ups in Dortmund and its region – which is designed to
enhance the entrepreneurial potential of the University. The main elements of the project are:
the establishment of a study course on entrepreneurship; awareness creation and
qualification within the university administration; the employment of a spin-off centre as a

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clearing point for University members; the offering of free office space for four months in the
Regional Pre Incubator Center (PINC).

The City of Dortmund organises super-regional start-up contests (start2grow). During the
competition, teams from the University of Dortmund are mentored by the spin-off mentor at
the Transfer Office. The start2grow participants have access to a broad network of 600
experts. While the idea contests aim at raising interest in the topic of business start-ups in
general, the start2grow contests aim at generating concrete business plans and to offer
support during the initial stage of the business formation.

Warwick is not only a succesful enterprising university, but a regional leader for the West
Midlands, which has initiated and led on a number of well-known and successful enterprise
initiatives, Connect Midlands, the Mercia Institute of Enterprise, Mercia Biotech, the
Enterprise Fellowship Scheme and the Spinner project. It has already shown itself able to
win support and funds for these initiatives from a variety of private as well as public sources
over a 20 year period, to manage the involvement of seven or more regional universities in
consortia, to rapidly start and effectively deliver the projects and to meet all the relevant
targets. Having this number of successful initiatives together on one campus has also built
many synergies, including influencing the Knowledge Transfer activities of other regional
universities.

Perspectives

The case studies presented here share a number of common characteristics and follow
common trends despite their geographical distribution over many parts of Europe. Primarily,
they all believe in an integrated model of managing knowledge development through to
knowledge transfer and business support. This goes beyond the Triple Helix to a more
pervasive, holistic model with many deeper attributes. For example, the process is
underpinned by a pervasive culture of enterprise within each university, one which imbues
students and staff not only with an awareness of the importance of knowledge transfer, but
with the means to achieve it. This has usually involved the university making an investment
in the infrastructure, namely setting up a Tech Transfer Office with dedicated staff, creating
an incubator with grow-on space, or links to a local Science Park.

One would be mistaken to think of these universities as mere vehicles of knowledge transfer,
each in its own right engages in significant areas of what is generally known as ‘useful’
research, largely based in research centres, or departments with strong business links.
There are, however, other ingredients: in this case, the context. The lead research centres
that produce ‘applied’ knowledge also have access to a willing region that perceives the
value of a Business-University alliance to the local economy. For the universities, the
context is often international, if not global. So whilst they are regional players, they also look
out internationally to develop their role as Knowledge Transfer Universities. A positioning that
has also opened up transfer opportunities well beyond Europe.

Two general developments will influence the future of technology/knowledge transfer in its
short term: governments, and the European Commission, are increasingly interested in
closer cooperation between universities and companies and will deliver support tools and
expect more exploitation of research outcomes for the funding they often supply; on the
other hand, the public money available for many universities is stagnating at the moment
leading to conflict inside the university over the allocation of resources. The argument for
knowledge transfer and exploitation at the universities to be seen as a source of revenue to
replace waning central income may become overwhelming. However, all the authors of the
reports on the universities in this study would agree that while the gains from University
Knowledge Transfer policies to the Regional and national economies are tangible and
significant, they do not necessarily lead to income growth for the universities themselves.


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 CHAPTER 2 UNIVERSITY OF AALBORG, DENMARK
University Profiles
Aalborg University was established in 1974 and is considered a new university. The study
method; Problem Based Learning, differs from the older universities in Denmark and so does
the rate of cooperation with the surrounding society. The University is located in the northern
part of Denmark on the peninsula of Jutland. The regional composition of industries,
company sizes and capacity for innovation lies in the neighbourhood of the country average,
when excluding the two largest cities of Denmark; Copenhagen and Aarhus from
consideration.
There are 495.068 inhabitants in the Region of North Denmark spread out in the 27 cities.
164.000 of these inhabitants reside in the regional capital of Aalborg. Aalborg University is
the only University in the region of North Denmark.
Despite the fact that the capacity for research and innovation in the northern Jutland region
has followed an upward trend the past 20-30 years, the share is still below the country
average. Particularly, regional research and innovation within the private sector are falling
behind while a significant growth in the extent of research within the public sector has taken
place, which can be attributed to the university and its ability to attract external research
funds.
The University was established after many years of local political activities in relation to the
establishment. This support for the University formed the basis for a close dialogue with the
surrounding society relying on the development of contact and cooperation committees with
the business sector, trade unions and cultural life.
The local anchorage of the University found expression in for example the university’s
integration of a number of institutions with medium length educational programs such as
engineering, librarian and social worker educational programs. This occurred simultaneously
with the decision of basing the University’s research and educational activities on inter-
disciplinary integration, problem orientation and group work.
The University has a reputation for its close cooperation with the surrounding society through
research, student projects, internships etc. as well as a reputation for its students to finish
their studies in time and for a high percentage of retaining students through the length of
their studies.




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University size 2005

                              Full time students PhD. students
                              2005
                              13638              564


                                             Social       Engineering
 Staff                      Humanities                                      Other       Total
                                             science      and science
 Professors                 16               20           86                3           125
 Associate professors       56               90           293               6           445
 Assistant professors       21               21           117               -           159
 Other scientific staff     40               17           122               7           186
 Adm. managers              -                -            -                 15          15
 Academic technical /
                            28               5            49                103         185
 administrative staff
 Technical / adm. staff     37               46           217               251         551
 Total                      198              199          884               385         1666


Mission Statement
“(…)Aalborg University intends to contribute to the knowledge of global society as well as the
prosperity, welfare and cultural development of Danish society. This will be achieved through
research, research-based education, and exchange of knowledge with society in general,
and always to the highest international level.
Within this framework Aalborg University sees itself as an internationally-oriented network-
university with a special mission within:

   •     Problem based learning In this field the university will ensure close interaction
         between theory and practice in order to bridge the gap between the university and the
         rest of society by relying on and developing the problem-based project-work model.
   •     Interdisciplinary. In this field the university will achieve new knowledge and cognition
         through interaction across disciplinary areas and scientific paradigms as well as
         across basic research and applied research.
   •     Innovation In this field the university will function as a knowledge-producing institution
         of cultural significance by contributing to technological, economic, social, and cultural
         innovation in society through entrepreneurship as well as transfer, communication,
         and exchange of knowledge.”




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Research Profile
 Humanities                                                      Engineering, Science
                                  Social Sciences
                                                                 and Medicine
     •      Education, Learning
                                      •   Sociology, Social
            and Philosophy
                                          Work and                   •   Civil Engineering
     •      Communication and                                        •   Electronic Systems
                                          Organisation
            Psychology
                                      •   Economics, Politics        •   Production
     •      Languages,                                               •   Physics and
                                          and Public
            Cultures and                                                 Nanotechnology
                                          Administration
            Aesthetics
                                      •   Business Studies           •   Mechanical
                                      •   History,                       Engineering
                                          International and          •   Energy Technology
                                          Social Studies             •   Computer Science
                                                                     •   Mathematical
                                                                         Science
                                                                     •   Biotechnology,
                                                                         Chemistry and
                                                                         Environmental
                                                                         Engineering
                                                                     •   Architecture and
                                                                         Design
                                                                     •   Development and
                                                                         Planning
                                                                     •   Health Sciences
                                                                         and Technology
                                                                     •   Esbjerg Institute of
                                                                         Technology
                                                                     •   Copenhagen
                                                                         Institute of
                                                                         Technology




Aalborg University consists of three faculties (see above figure) that constitute the university
profile: Humanities, Social Sciences and Engineering, Science and Medicine. The
departments and centres cooperate with other national and international networks, centres
and other research forums. Aalborg University has departments in the cities of Esbjerg and
Copenhagen, Rome (Italy), Birla (India) and Bandung (Indonesia) and has numerous
collaborative agreements in other cities around the world. In 2005 the University's research
budget reached more than €67 million.

Distinctive features
There are three main distinctive features about Aalborg University. The first one is the
Problem-based and group work methodology. The ability to work together as a team and
independently solve problems, often in cooperation with external partners is of great value in
the labour market.
The second is the close interaction with the surrounding society and industry and the third is
the fact that the university is young and innovative, also when compared to the other
universities in Denmark. This affects the methods of working and the discourse of the
university as a whole.




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Policy towards Knowledge Exploitation
Denmark has a “law on inventions made within public research institutions”, law no. 347 of
June 2nd 1999. The law came into effect January 1st 2000. According to this law, the
researchers are obligated to notify the university in the event that he/she has made a
patentable invention. The university will decide whether to take over the researchers’ rights.
In the event that the university decides not to take over the rights, the rights will remain with
the inventor, and he/she is free to commercialize the invention on his/her own.
The law also grants the university a right to enter into agreements with third parties regarding
inventions that have not yet been made. This means that the Patent and Contract Office
defines IPR policy for the university and determines whether the rights to the future research
work shall be assigned or retained.
According to the law on inventions within public research institutions, the scientist is entitled
to receive a reasonable remuneration of the net revenue generated from the invention. At
Aalborg University (and numerous other Danish institutions) the standard model is that the
scientist or scientists receive 1/3 of the net revenue, the scientific group or department where
the scientist is employed receives 1/3 and the University administration as such receives 1/3
of the net revenue. The model can be adjusted according to specific circumstances.
All research agreements and contracts regarding consulting, non-disclosure agreements,
license agreements and assignments must be formally accepted by the Patent and Contract
office before signing. In 2005, the Patent and Contract Office received notification of 53 new
inventions. This is an increase since 2004. The Patent and Contract Office spin out about
one company a year. The office closed one single license deal in 2004. This deal was with
GE Healthcare in the US and involved a life saving technology that can be used to detect
different heart diseases. The deal got heavy media attention in Denmark. The deal has
motivated other researchers to come forward with their inventions.
The Patent and Contract Office has a close relationship with the Accounting Division that
takes care of the payment to the University in connecting with research activities, consulting
of commercialization. Funds will not be made available to the individual researcher unless
the legal base for the transferal is formally accepted by the Patent and Contract Office.
This practice prevents that researchers sign agreements on their own and it ensures that all
the companies/external parties that work with Aalborg University are given the same
conditions seen from a legal and financial point of view.


Implementation of Knowledge Exploitation
Breakdown of Research Financing (000 euros) 2005

Public     funded    research,    18.421
including government and EU
Private fundedd research          9.991
Foreign funded research (EU       1.737
not included)
Total                             30.148

KT Process Description
The main KT activities are maintained by the AAU Innovation, which is a part of the central
administration of the Aalborg University and therefore a service unit for all of the faculties of
the university. The main parts of the KT activities are placed at the AAU Innovation, which
receives 1.975.970.000 € all together. Out of this amount 1.201.600 € comes from external
grants and 774.366 € are funded from the University.
The role of AAU Innovation is to ease the entrance to the University and to support
innovation, business creation and growth in the business community of the region through its

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four offices; Knowledge Exchange Office, Patent and Contracts Office, Project and Funding
Office and the SEA entrepreneurship office.



Knowledge Transfer Process

Typically the workflow is as described below:




The role of the Knowledge Exchange Office (KTO) is to assist the University and
organisations in creating and strengthening mutually beneficial relationships. This is used
between researches and industry in the creation and maintenance of contacts and networks.
Through the Project and Funding Office (F&P), joint projects are formulated and funds are
applied for and joint agreements can be made. When the partners need a collaboration
agreement, the Patent and Contract Office (PKE) gets involved and IPR can be developed
and Spin Outs are created. A large amount of the collaborations go all the way through to the
Patent and Contract Office. This is caused by the extensive informal collaborations that take
place all around the university. Through the process of the collaboration, some might need
the expertise of the Patent and Contract Office.
The students receive entrepreneurship training in the early phases of the business
development. This is done through the courses, events and pre-incubators. Through SEA’s
activities with industry, new ideas are created and Start-ups are established. Others use
SEA’s activities to work on turning their idea into a business plan through coaching and
mentoring before establishing their business. Other students go into collaborative research
and establish a joint Spin-out with Aalborg University.
The Patent and Contract Office are certain that the university receives notice of “just a few”
of the inventions that are made at Aalborg University (tip of the iceberg). It is expected that
some researchers hide inventions from the University for their Personal Benefit (the
inventions are assigned to third parties for economic compensation through private
consultancy agreements). It is also expected that some researchers choose not to notify the
University because they do not “believe in the system”, meaning that they don’t think that
commercialising technology should be the task of a public university (“old school”).
Furthermore, it is expected that some researchers are unaware of the fact that they
sometimes generate patentable inventions and that technologies are made public before
patenting possibilities have been considered. And it is also expected that some researchers
do not know that there is a Danish law regarding inventions in public research institutions
and that these people do not know that there is a university office that deals with
commercialisation activities (mainly foreign employees).
In the event that the Patent and Contract Office is made aware of inventions that haven’t
been reported, we contact the researchers in question and/or the department head to make

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sure that the mandatory procedures are followed. It has been made clear by the top level at
the university that the office has to follow up on these individual cases to show that there is a
consistent system and that the rules must to be followed.
The Patent and Contract Office market the office services internally but only to some extent,
through articles in the university magazine, websites and media. We have chosen NOT to
market the office services heavily as the Patent and Contract Office is a busy office and we
already have more technologies that we can handle.
The Patent and Contract Office is both hated and loved. The office is in charge of drafting,
negotiating and accepting all agreements with third parties which involved research or
consultancy work in addition to commercialising technologies. Some researchers are very
happy that there is a team of lawyers to take care of their agreements. Other researchers
view the involvement of lawyers as absolutely unnecessary as lawyers will only ruin the good
spirit and make easy matters complicated. All in all, it is believed that the office services are
appreciated by most people and by the top level of the university, hereunder the department
heads which are responsible for the agreements and projects that faculty get involved in. The
employees of the Patent and Contract Office are seen as competent, service minded and
understanding. The main negative complaint is regarding time as the office lacks the
necessary manpower to maintain a quick service (two open positions as present).

KT organisation and support tools
Staff at AAU Innovation
                                                                     %         of
KT staff             Academic     Secretarial Total employees
                                                                     academics
KE Office            9            3             12                   75%
Fundraising and
                     10           4             14                   71.42%
management
SEA                  6            2             9                    66.66%
Patent       and
                     5            2             7                    71.43%
commercialization
Total employees      30           12            42                   71.43%
There is a broad variation in the qualifications of the staff, and because of this, many different
competencies come into play. A large percentage of the academics are young and educated
from Aalborg University and therefore the innovative and independent way of thinking comes
natural and is indispensable in their work.

KT Funding
University funding         780 000 €
External funding (e.g. EU) 1.2 million €
Total                      ≈ 2 million €

KT Periphery
The KT Periphery primarily consists of the NOVI Science Park.
NOVI Innovation A/S has been appointed one of Denmark's seven innovative environments
with focus on scientific research results. On behalf of the Ministry of Science, Technology
and Innovation, NOVI Innovation A/S invests in new business opportunities, focusing
primarily on telecommunications, IT, and medical technology – with close links to i.e. Aalborg
University.
Aalborg University makes a big effort to attract external capital and cooperate with its
surrounding business community. This has lead to a unique model for financing, which has
been incorporated at one of the faculties.
For example, at the faculty of Engineering, Science and Medicine a customized model of
financing has been incorporated. When a project is financed externally by a private company
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with 50%, the faculty equals the external financing in order for the project to be financially
stable and successful in its research. The finance model can be used for new positions or
new equipment, as long as it is for new and larger projects. Besides development of
research, the model ensures the students the newest research results.


Case Examples of Major and Distinctive Initiatives

Case study 1.         Biomed Community
Science & Innovation for the living – Bio- & Medical Technology Competence in Denmark
Biomed Community is a cooperation that has the objective to develop and promote North
Denmark's cluster within Life sciences. The project-partners represent the most important
players in North Denmark within Biotechnology, Medico-technology and Health Science &
Technology. The competence group, which encompasses Aalborg University, Aalborg
Hospital, Bio-Medical companies, The County of North Denmark, Aalborg Commercial
Council, The Region Aalborg Cooperation and NOVI Science Park contributes with
resources and facilities.
The cluster of Bio- & Medical Technology in North Denmark is characterized as a very active
international innovative environment. Education and research activities, Bio- & Medical
Technology companies, plus a substantial support from the public regional partners,
characterize the development, and thus create a great potential for stimulating new Bio- &
Medical industries in the region.
During the recent years, Aalborg University has established a substantial activity within
Health Science & Technology, Medico-technology, Biotechnology, and related areas that
may be overall termed Life Sciences. At the same time, an innovative commercial
environment has been established that consists of approximately 35 companies. This
synergy has resulted in a dynamic competency cluster, which has dismissed all critique and
is now realizing its full potential by aid from a goal-oriented public trade and industry policy.
Aalborg University has a long tradition for cooperation with the industry, which has created a
synergy between the research and development of new products and companies. This
knowledge and synergy has proven strong in the creation of the well established competency
cluster within Electronics and Telecommunications. Today, large international companies are
placed in North Denmark. These companies have chosen North Denmark because of the
easy access to knowledge and technology transfer. Experience shows that a growth potential
is existent within the area of Bio-& Medico. The potential can be realized through cooperation
in the Bio-and Medico technological competency cluster in North Denmark. The Biomed
Community has documented state-of-the-art and future development possibilities within
research and education as well as innovation and product-development within industry.
Some of the recent results between the partners are; new Bio-Medico businesses,
establishment of six research centres, Bio Medico drives in five countries, nine contacts
concerning commercialisation, 18 product sheets to promote Bio Medico sales and
strengthening the business environment and network.

Case study 2.         Centre for Embedded Software Systems (CISS)
CISS
CISS is a unique business oriented centre of excellence within the area of embedded
software systems and the leading sparring partner for companies of all sizes within this area.
CISS is established at Aalborg University based on internationally outstanding research
groups within Electronic Systems and Computer Science. All involved research groups have
significant experience with industrial collaboration.



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The objectives of CISS are:
The main objective of CISS is to strengthen the research and development cooperation
between industry and business and the regional IT research community for the benefit of
both parties.
CISS aims at creating close and constructive relations to industry leaving our business
partners in a strong competitive position within their respective business areas. Further,
CISS is focusing on giving our researchers the opportunity of focusing their research on the
actual needs of industry as joint projects are determined and realised.
CISS research projects
Over a period of 4 years, CISS has set up 35 projects with industry, of which 19 involves
business oriented PhD students.
The projects have been set up in cooperation with:
S-Card, RTX Telecom, Analog Devices, Aeromark, Simrad, Danfoss, Grundfos, IAR
Systems, Gatehouse, Ericsson Telebit, Man B&W, Samsung, Aalborg Industries, Siemens,
TDC, Skov, Novo Nordisk, FOSS, Exhausto, ETI, TK Systemtest, Spacecom, TKS and
Panasonic.


Interface to the Business Community
Activities between Aalborg University and the surrounding business community are primarily
handled by the Knowledge Exchange Office. Through their numerous networks, they are in
contact with a substatial part of the companies of the region. Several of the networks contain
the business members of a cluster in the region and have broad contact to similar business
partners.
The role of the Knowledge Exchange Office is to assist the University and organisations in
creating and strengthening mutually beneficial relationships.
The Knowledge Exchange Office establishes relationships with companies and organisations
by building and administering 24 networks in which university researchers and
representatives of external organisations discuss the development in their field and through
facilitation of contacts between students and companies who have topics or problems they
would like students to investigate.
In an increasingly competitive and complex world the forming of strategic partnerships plays
a key role in ensuring the University’s relevance and responsiveness. It has become evident
that more co-ordination and communication is needed to secure that the University is
meeting the real needs of external collaborating organisations. Otherwise significant
opportunities for corporations and organisations as well as the University risk being lost.

Advice on Technology Exploitation offered to third Parties
The Patent and Contract Office does only provide services for Aalborg University as such
and will only support the activities of researchers that are employed at the university. Legal
advice is always given to protect the interests of the university as such (the researchers
employer) with due respect for the interests of the researcher in question. The Patent and
Contract Office are allowed to offer legal services to private people without authorisation from
the Ministry of Justice but it is not allowed to market such services. Only authorised lawyers
are allowed to market their services. Furthermore, offering legal services to researchers as
private individuals would result in a conflict of interest.

Advice on Business Development Offered to third Parties
Business development advice is facilitated by SEA, who through the office network is able to
link aspiring entrepreneurs with the specific counsellors hey need. This is done through the
8W program or through personal advice given by counsellors.

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Business Creation

Activities Supporting Spin-outs
The spin-outs of the university primarily get support from the Patent and Contract Office.
The student spin-outs normally go through the services of SEA, before the Spin-out is
achieved. If the business is a potential partner for the University and IPR is needed, the
Patent and Contract Office gives the support. The Patent and Contract Office decides
whether the business has a commercial opportunity and whether it will get the IPR through
university collaboration.
SEA is the office at Aalborg University that combines all of the innovation and
entrepreneurship activities at and around the university. At SEA 10 employees work with the
promotion of an entrepreneurial culture at Aalborg University.
The office addresses students, graduates, researchers and others from the region outside
the university, who are working on their own business and offers various courses and events.
SEA and its student directed activities named kickstart are known by the students and tries to
fulfil the needs of the students, who are interested in starting their own business. The needs
of the students are monitored through the above mentioned co operations and through the
annual survey, conducted by the Department of Business Studies.
Activities under SEA are:

    •   Collaboration with IDEA – International Danish Entrepreneurship Academy
    •   Venture Cup – Business plan competition
    •   Collaboration with the First Step network
    •   Courses directed at specific professions
    •   Pre-incubators
    •   8W - Entrepreneurship Training with Mentor Arrangement
    •   Entrepreneurship events
    •   Stardust-AAU network
    •   Entrepreneurship courses

Other Services Provided
An annual survey “Iværksætterpulsen” (the Entrepreneurial Pulse) is conducted by the
Department of Business Studies. The survey measures the student’s interests, needs and
wishes for entrepreneurship training. It also measures the approximate amount of student
Start-ups. The annual survey is a great help to keep track of the entrepreneurship interest at
the university and a good indicator on whether there are enough courses and activities within
entrepreneurship.

Building an Entrepreneurial Culture
The University’s general position on promoting entrepreneurship is very positive, which can
be seen in the University Mission Statement. A large part of the departments are equally
supporting the promotion of an entrepreneurship culture. The distinction between the
departments position on the subject can be seen through a survey distributed to all the study
boards. The survey was conducted by the department of business studies in June 2006.
According to the survey, 12 of the study boards provide entrepreneurship activities which
give the indication that they certainly applaud promotion of an entrepreneurship culture. 17 of
the study boards do not distribute entrepreneurship activities and 70% of these only see a
small need or no need at all for such activities. In the survey it is pointed out that the density
of the existing curriculum leaves little room for activities, which are not written directly into it.

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The results of the survey confirm the perception that there is a substantial difference
between the entrepreneurial cultures at the various fields of study.

Enterprise Strategy
The implementation of entrepreneurship activities in the entire curriculum’s before the end of
2008 is a recent initiative, which explains the many different initiatives at the different
departments. So far the university is further plans for how the implementation should be
conducted. Neither has the university made plans for sanctions, if the objective is not met.
In order to build an entrepreneurial culture at Aalborg University the SEA office uses
numerous ways, to affect the students as well as the scientific staff at the University. This is
done through cooperation with regional, national and international partners, through
cooperation with the different fields of study and through cooperation with the student
organisations. The services and events at SEA started in 2001 as part of the Knowledge
Exchange Office. Because of the profound interest in Business Creation the office is now
independent of the Knowledge Exchange Office and has grown form 3 to 10 employees in
the past year.
To further the entrepreneurial culture of the university not only to the students but to the
university as a whole, SEA is trying to affect the researchers and counsellors to think
entrepreneurial when considering their whole line of study and curriculum opposed to
thinking entrepreneurial just concerning one course per semester.

Regional Policy Development
Current and emerging policies and their likely impact
For several years, the government in Denmark has been focusing on entrepreneurship and
innovation as a way to help along the regional development and as a way to live up the
competition on the global market. Entrepreneurs are, in Denmark as in many other countries,
viewed as very important for the dynamics of the economy since new growth companies both
challenge the existing companies as well as strengthen the competition. The entrepreneurs
and the new growth companies are seen as great contributors to the lowering of the
unemployment rate. Having a high turnover, the new companies greatly contribute to the
growth of the Danish economy.
The industrial structure is dominated by industrial production while a growth is recognised
within more knowledge based industries, especially the IT area which has grown into
becoming the third largest industrial concentration in Denmark. The industrial structure is
dominated by small businesses as well as businesses that are part of national and
international businesses. Additionally, the share of entrepreneurs with a further educational
background is equal to less than half the share in the Copenhagen area.
The future regional challenges are:
    •   Renewing and readjusting the dominant industries in order for them to compete on
        price to a lesser extent and to a higher extent compete on differentiation
    •   Developing knowledge based industry
    •   Developing cooperation between businesses and the public sector within research
        and innovation.
The cooperation between the public sector, businesses and universities is known to be more
extensive than in the rest of the country due to the regions above mentioned challenges.
In the governments recent “Globalization Report” it was stated, that the goal was for
Denmark to be among those European countries, where most companies are started. The
second goal was for Denmark to be among those countries in the world with the highest
rates of entrepreneurs in 2015.
The strategy for this is:

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        •   For the students in the primary-, secondary- and upper secondary schools to be
            working systematically with the generation of ideas.
        •   For the vocational schools and the higher educations to offer the students courses
            in entrepreneurship.
        •   New “Greenhouses” for businesses that give easy access to qualified counselling
            to growth entrepreneurs.
        •   Lower taxes to reduce the barriers for the growth entrepreneurs.
        •   Improvement of the access to finance and to investors with experience within
            business development.
       •    To ease the administrative burdens for the growth entrepreneurs.
        •   To speed up the process of bankruptcy declarations and give re-starters better
            conditions.
The regional context plays a secondary role, since the Ministry of Science Technology and
Innovation is solely in charge of the desicionmaking for the universities. The regional context
plays a role in the cooperative aspect, where a well established network of cooperative
partners are able to make the region an attractive place for Start-up companies, which are
innovative and of a high technological level. The cooperation furthers the opportunities for
development and for reaching the users of the initiatives.
The regional policy on the area has been independent but has also been trying to adapt to
the development of EU on particularly the target 2 and target 3 programmes to be able to
apply for funds. Through the business community the university makes an effort to
strengthen the relationsship to the businesses in the region and through that, strengthen the
business community of the region as a whole. On a national level the universities are viewed
as ”regional growth engines”. Aalborg University takes this role very seriously and made
good results in the recent national report, Reg Lab, on the Danish universities as ”Regional
Growth Engines”.
From the 1st of January 2007, the structure of the Danish regions will change. This process
has been ongoing for a number of years and may alter the regional context.




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Self-assessment SWOT


Strengths                                         Weaknesses
A large and well established external contact     A large part of the TT and KT activities    are
surface and thereby many collaborative            externally financed, which gives             an
agreements, contracts and contacts are            uncertainty about whether the projects      will
made and maintained.                              have a viable future. It can also affect    the
                                                  coherency of the activities.

Opportunities                                     Threats
Technology transfer, knowledge transfer and       With regard to the expectations of          the
entrepreneurship is on the national agenda        universities as regional growth engines,    the
and actions are made to implement and             universities might get funded for           the
strengthen the opportunities within these         activities, but the focus on how            the
areas. In the new regional structure, which       universities will fulfil the role might      be
will be put into effect January 1st 2007,         neglected.
expectations of the universities role as
regional growth engines will be higher, and
this can give some opportunities.

Perspectives
Through the many well established contacts, agreements, network and events, Aalborg
University will be standing strong in the new role as a regional growth engine, in terms of
knowledge exploitation. Yet there is reason to be aware of the national and regional
development and of the development within external financing opportunities as well as the
expectations towards the universities fulfilment of their roles. In order to reduce the
uncertainty of the financial stability from year to year, efforts are made to ensure continuity in
the activities.
The combination of the new regional structures and the national focus on technology
transfer, knowledge transfer and entrepreneurship leaves Aalborg University with high
expectations of the future opportunities in respect of the financial stability and the interest
collaboration between the industry, the university and its students.
One of the main areas for which Aalborg University is looking to improve drastically is the
establishment of an alumni network, which has been having difficulties getting started.
Aalborg University would like to improve the inflow of alumni and the continual activity of
these alumni. Therefore Aalborg University will look into the opportunities of improving the
alumni network through exchange of experience. A strong alumnus could ensure a more
stabile flow of financing to activities at the university and could therefore meet some of the
threats and weaknesses of the SWOT analyses.




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 CHAPTER 3 UNIVERSITY OF TECHNOLOGY COMPIÈGNE (UTC),
 FRANCE

Profile of University
The University of Technology Compiègne (UTC) was created in 1972 by the French
government. The concept of a University of Technology (UT) is different from the classical
French university system. The UTC was the first of three French UT’s which have been
created since that date. UT’s have the advantage of combining the principal characteristics of
the prestigious "Grandes Ecoles" of engineering with those of classical French universities.
UTC’s main purpose is to provide the highest possible level of engineering education and
training (initial & life long learning), scientific research, promotion of scientific and
technological culture in close collaboration with the industrial sector and coupled with an
emphasis on international collaboration, innovation technology transfer and the creation of
spin-offs.
The statutes of the UT's include very specific clauses:
       •    The right to award an engineering diploma after 5 years of study which is validated
            by the prestigious French "Grande Ecole" system.
       •    The right to award postgraduate level university degrees such as the masters and
            doctoral degrees and establish research groups within the university.
       •    The right to hire a certain proportion of staff directly from the private sector on a
            contract basis, which is unusual for the French university system
       •    The right to select students at entry based on their academic results and
            interviews
       •    The UTC offers three different types of diploma with an emphasis on practical
            applications, international experience, management and human sciences :
       •    The majority of students at UTC follow a five-year programme, leading to the
            engineering diploma (masters level, only delivered by the “Grandes Ecole” system)
       •    Courses are also offered for students with an appropriate university degree or
            training allowing them to obtain a masters degree..
       •    A doctoral degree is also offered after a minimum of three years research and
            study following completion of a masters degree

Primary mission
The primary mission of UTC, is a three-fold mission: education, research and transfer.
Research Profile: Key subject areas
   •   Heuristic & Diagnosis of complex systems (Heudiasyc): The guiding principle of the
       Heudiasyc group is to bring together research in control, signal and image processing
       and computer science with an emphasis on human factors.
   •    Biomechanics and biomedical engineering
   •   Enzyme and Cell Engineering: research carried out focuses on the study and the
       implementation of biocatalysts.
   •    Engineering of Industrial processes
   •   Mechanical Engineering with specialisation in the areas of acoustics and vibrations,
       materials & surfaces and numerical methods in mechanics
   •    Applied mathematics

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   •    Electro-mechanics: electric actuators and motricity systems with embedded energy
        (Design, modelling and optimization of the electric actuators / Electric supply of
        embedded systems)
   •    Knowledge, organisation and technical systems
   •    Decision-making support tools for innovation, conception and production

In the 2006 rankings of French Universities and schools of Engineering, UTC has been
ranked at:
   •    the 6th position for the turnover in contracts with industrials, the number of industrial
        partners and the number of research staff members (Industrie & Technologie, n° 881
        - September 2006)
   •                                                                  1338 23-29 March
        9th for the number of enterprises created (L’Usine Nouvelle, n°
        2006)

In recent years UTC has been involved in several national and regional initiatives linked to
Innovation: The Label Carnot and the Pôles de Compétitvité (Technology Cluster) (see below
section 3 p 7 & 8)

Distinctive features: Innovation
The University is currently re-organising itself, particularly as regards to TT issues. Three
structures compose the TT landscape at UTC. The links between them is currently being
rewritten.
The Direction for Industrial Relations (DRE) covers several activities:
   •    Dynamique Innovation (J. Orlinski): a service responsible for developing the spirit of
        entrepreneurship; training and supporting future entrepreneurs, animation of the
        business club (regrouping all entrepreneurs linked with UTC)
   •    European Team for EC R&D programmes
   •    Legal (contract law) service
   •    Taxe d’apprentissage collection: In France, enterprises have to pay a tax, called “taxe
        d’apprentissage” or training tax to aid education. The amount is fixed, but not the
        beneficiary. Therefore universities and higher education institutions have to intervene
        to persuade industry to grant them some of the money from this tax.
   •    The internship service: UTC’s students have to spend a total of 12 months in industry,
        either in France or abroad.

In addition, several private structures act next to UTC, in complementary areas:
    •   Divergent: is in the process of becoming the subsidiary of UTC, in charge of the
        management of research and consulting contracts.
   •    ILC+: a subsidiary of UTC, through which UTC takes part in the capital of its spin-outs
   •    ILC: is the subsidiary in charge of the management of the Transfer Centre (including
        the enterprise nursery of UTC), the congress centre and the International hall of
        residence.

The Direction of Industrial Relations is located in the transfer centre, where both Divergent
and ILC are located.




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International Profile
Since its foundation the UTC has been a pioneer in encouraging international experience
and exchanges for its students as an integral part of their education and training. The
possibility of recruiting staff on a contract basis also enabled foreign professors to be hired
on a short or long term contract thus increasing the possibilities of international collaboration.
Exchanges of students were initiated with many foreign universities during the first few years
which still continue today. More than fifty percent of our students have spent at least a
semester abroad either studying or gaining practical experience in a foreign university or
company.
UTC was one of the pioneers in helping to develop the ECTS system in Europe and now has
a number of double diplomas which were initiated with partners following the collaboration
started at that time. A number of exchanges at undergraduate and graduate level developed
with prestigious US, Canadian, UK and Latin-American universities as well as our many
European partners have been one of the factors attracting excellent students to apply to
study at UTC. The policy aimed at creating strong partnerships with certain universities
enables staff exchanges, joint research projects and collaboration in teaching to flourish. The
three UT's have formed a partnership with Shanghai University to found a new UT in China
permitting two way exchanges based on the UT model and other projects of this type are
planned.

Curriculum
UTC’s programmes, activities and development are very much orientated towards the needs of the
industrial sector:
   •   Two industrial internships of six months each are an integral part of the diploma
       programme.
   •   Industrial representatives are present in the university council and the departmental
       representatives who recommend and define the study programmes
   •   The University is currently re-organising the structures dealing with industrial
       partnerships for both research and consultancy services.

Profile of the region
With a total population of over 1.85 million, Picardy represents 3.2% of the French
metropolitan population and 3.1% of the French labour force. The driving force of the
regional economy is industry. Located within a major European trade thoroughfare, Picardy
is at the heart of a market of 250 million consumers.




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Regional industrial positioning:
     •   Top national positioning in frozen and canned vegetables, ready meals, beetroot,
         sugar, potato starch, metal working, ironmongery and valve fittings.
     •   2nd national positioning for glass making, cosmetics products, bar-turning, farm
         implements and wheat.
     •   3rd national positioning for rubber, plastics processing and agricultural machinery.

In this Context, UTC is a strategic regional partner, carrying out leading research and training
high level engineers in key areas for regional development and dynamism. The Regional
authorities support UTC in its actions in the areas of research, teaching, transfer, student
accommodation and international exchanges. They also get involved in common operations.
There is one other University in Picardy: The University of Picardy – Jules Verne (UPJV).
UTC and UPJV are mainly complementary universities:
     •   geographically speaking: they are located at each end (East and west) of the region
     •   training areas: UTC is dedicated to Engineering sciences, whereas UPJV offers
         degree courses in most domains except engineering (Social Sciences, Humanities,
         Languages, Pure and Applied Sciences, Law, Business, Medicine etc).
     •   recruitment: based on its specific status, UTC selects its students, whereas UPJV
         does not have this possibility. As a consequence, UPJV recruits more local students
         whereas UTC recruits national-wide.
UTC and UPJV have common actions, such as: a common laboratory: “Enzyme and Cell
Engineering”. This research lab is hosted and financed by both UTC and UPJV (as well as
CNRS: National Centre for Scientific research) (see section 1 – p 4)
     •   training seminars for Doctoral students (Doctoriales) and Teachers (Professoriales®):
         co-organised with UTT and the Regional Council.


The University’s policy towards knowledge exploitation

IPR policy
Since the new law on innovation was passed in France the government has delegated the
management policy on IP directly to the individual universities. The IP policy of each
establishment is included in the 4 year plan. The staff is informed of the policies and
encouraged to participate in such activities with regular training of its researchers.
The IP belongs to either:
The university which can award licences either to existing companies or to spin offs
Or
The university and/or an enterprise if it is the result of joint research activities.
The licence revenues are distributed in the proportions 50% to the inventors, 25% to the
research laboratory and 25% for the university. In cases where the IP is granted to a spin off
it is normally exchanged for a percentage of the capital. The research workers do not have
the right to take out a patent in their own name.

Policies towards types of research activity
Both industrial and fundamental research are encouraged at the university. With the Carnot label the
research is orientated towards industrial partnerships and the subsidies received are obligatorily
used for internal research projects to increase the competence of the laboratories.


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The University’s implementation of knowledge exploitation

Breakdown of research financing
   •   Public research grants to the budget: 11 130 224 €
   •   Contract research: 7 850 328 € of which public: 5 529 546 €, and private: 2 320 782 €
A fraction (2.5%) of the "taxe d’apprentissage" (a tax levied on companies to help finance
training - see section 1 p 4) is attributed to the DRE, where TT activities are managed. The
training taxes represented 1.7 M€ in 2005. The UTC has a financial return on research
contracts corresponding to 10% of the amount invoiced. There is also an automatic
deduction on behalf of the labs, ranging from 7 to 10% (depending on the lab) of the amounts
invoiced.

KT process description
The knowledge transfer sphere of UTC includes:
   •   a Science Park: called "Compiègne Pole technologique". UTC is a co-fonder of the
       science park, together with the local authorities. “Compiègne Pole technologique"
       was recognised as a “technopole”, by the national network of French technopoles and
       incubators (www.retis-innovation.fr). Retis is a member of both EBN (European
       Business And Innovation Network) and IASP (International Association of Science
       Parks)
   •   The UTC’s nursery for start ups was created in 1991. It hosts start-up companies
       which are linked to UTC (students, staff or alumni). In the last 20 years 30 start-ups
       were created and 28 are still in activity. The nursery is part of the Regional Incubator
       of Picardie (the region of Compiègne).
   •   The regional incubator of Picardie: in France, public incubators were created in 1999.
       They are mainly incubators without walls. Their mission ranges from the detection of
       innovative projects to the coaching of the creators in choosing his/her team and
       managing his/her company.
   •   The Label Carnot: enables the selected institutions to benefit from extra support as an
       incentive for their industrial research projects ( 0.25 € is granted for each euro
       increase in the amount of partnership contracts). The UTC, together with the UTT
       (University of Technology Troyes), was awarded the Label Carnot in 2005 for 4 years.
       This award is reviewed once every 4 years.
   •   Pôles de Compétitvité (Technology Cluster): UTC participates in two trans-regional
       technology clusters: I-Trans (on innovative surface transport technologies) and Agro-
       Industry and agro resources. UTC also participates in a regional cluster on Sport &
       Technology.
   •   In 2005, key actors of Research and Innovation were asked to submit project of
       regional (or trans-regional) technology clusters, gathering public and private
       stakeholders, as well as the educative actors, in specific areas. Those areas were
       chosen at regional or trans-regional level.

Case Examples of major and distinctive initiatives
Activities with large companies
We have set up joint labs with large companies:
   •   between Valeo and the UTC’s lab specialised in Electro Mechanic
   •   between Ondéo Services and Heudiasyc
   •   between the CETIM (The French Mechanical Industry Technical Centre), the UTC’s
       labs specialise in mechanical engineering and IT. These labs do not always have a
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          formal legal structure. In most cases, they are based on an agreement, signed for a
          4-year duration. The aim is to allow academic and private-sector researchers to work
          together to answer industrial needs. This permits a closer collaboration and cultural
          mix between these two population of researchers.

The Business Interface

In France, faculty may spend 20% of their work time practicing consultancy or external economically
viable activities. DIVERGENT hosts the consulting activities of UTC’s staff. Some of UTC’s staff thus
intervene as experts in innovation processes and technology transfer. Classical pricing policy is
applied (so that no unfair competition may result from this kind of competition).

UTC’s staff members are involved in several innovation related networks or organisations:
• The Regional Incubator of Picardie
• "Picardie Entreprendre" is an association created and financed by regional entrepreneurs whose
     aim is to support emerging business projects and young entrepreneurs (coaching & financing)
• "PFIL Oise Est Initiative" is a structure helping business creators with financial support (no
     guarantee or interest owed)
• "RETIS" is the European centre of enterprises and innovation, science parks and incubators
• "CURIE" is a network of the people in charge of “partnership, valorisation and technology
     transfer” in the French universities
• "Capintech": is an association serving as the meeting point to key actors in the creation and
     development of innovative and high-tech businesses
• "Proton" is the European network of Technology Offices linked to Public Research Organisations
     and Universities. UTC is the representative of the CURIE network in ProTon.


Business creation

•      The Committee for Strategy, tech. transfer and ethics gathers representatives from Research,
       Life long learning and tech transfer & partnership services of the UTC, as well as
       representatives of the socio-economic environment and the consulting company of the UTC. It
       proposes orientations and objectives for the policy on exploitation of research results (relations
       between UTC and its subsidiaries, consultancy company etc). For Start-ups, it is more
       specifically in charge of defining the participation that UTC’s subsidiary will take in the capital of
       each start-up. This is the place where issues regarding relations between UTC and its start-ups
       are dealt with.
•      Mentoring of business creators, coaching to develop a business plan,
•      The UTC’s Business nursery is next to the Transfer Centre of the university. The nursery is part
       of the regional Incubator, created by the French legislation of 1999.
•      Networking:
         o         the team accompanying business creators is involved in several national & European
             wide networks, (Investors & business angels networks, RETIS, ECIU, ProTon), thus giving
             access relevant and efficient contact & information.
         o         Business Club: gathers all business creators in UTC's environment, via quarterly
             meetings, allows experiences to be shared in business creation and development.
•      Financial support: UTC has created a subsidiary 1 (UTC+) for the acquisition in the capital of
       spin-outs



1
    Law 12/07/2006 on Innovation

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The UTC provides a close & individual coaching during the successive phases of business creation.
The business incubator is also be accessible to start-ups. In addition, both spin-outs and start-ups
creators have access to:
• UTC’s expertise (legal aspects, European calls for tenders…etc…),
• DIVERGENT’s services for assistance to financial and administrative management, project
   engineering.


Building an entrepreneurial culture

UTC’s Activities to encourage academic entrepreneurs

       •   A biennial seminar (Professoriales®) for faculty members, to train them for innovation
           processes (finance, IPR, building up and managing innovative projects). Seminars are
           organised by the UT network and the UPJV (the other university of the region)
       •   Entrepreneurial activities are not taken into account in the career evolution of academics.
       •   Biennial seminar (Doctoriales) for doctoral students, to train them to innovation processes
           (finance, IPR, building up and management of innovative projects). This seminar is
           organised by the UT network and the UPJV (the other university of the region).
       •   2 elective undergraduate courses are concerned with entrepreneurship
       •   GE15 gives bases necessary for the understanding of the functioning of a company and a
           role of the global management to ensure the development of new products and the
           perpetuity of the company. Any development of a product or any action aiming at maintaining
           the activity of a company should take into account marketing elements, production, human
           resources and finances. Group work is based on the development of the idea chosen by the
           group.
       •   TN15 “creation of a product or an activity”: allows the students to dedicate themselves to the
           study of the development of new products, either for their own account, or in close
           relationship with leaders of new projects or recently created companies. They will thus
           approach concretely the creation of new products and/or companies in the context of
           completing a real mission with negotiated objectives
       •   Minor IntEnT “Intensive Entrepreneur Training »2
       •   Minor Sport & Technology


Provision of incentive schemes
A business plan competition is organised at national level (by the "Oseo group") for business
creation and development. Since 1999, first edition of the competition, UTC has submitted 71
applications (31 originating directly from research activities), 27 of these were financed, (16 of them
from the research group). The total amount of funds raised so far is 2675 K€
UTC took part in the creation of a venture capital fund in 1995 (Secant SA), together with national
banks and the regional authorities. The company was sold in 2005 to a regional association, as the
main actors were negotiating an increase of capital. UTC+, subsidiary of the University invests in the
capital of the UTC’s spin-outs (see above).


Regional policy development

Businesses in the plastics processing, mechanical engineering and agri-food sectors have always
been part of regional economic fabric. These traditional activities evolve and are currently emerging
as leaders at national and European levels.
• Plastics processing, Picardie occupies the 5th position among the French regions, with 350
   companies employing nearly 20 000 people.

2
    http://www.utc.fr/intent/

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• Mechanical engineering sector employs 64 000 people spread across 1 700 firms, (i.e. 47% of
  the regional industrial labour-force). It combines the use of new technologies with a flexible and
  innovative approach.
• Agri-food industry is a cornerstone of regional economic development (Bonduelle, Saint Louis
  Sucre, McCain and Nestlé).Around 19 000 people employed, together with induced employment
  in the upstream sector (around 4000 people) and in the wholesale trade (7000 people).

Policies to date
The regional council supports research, innovation and technology transfer policy, via global grants
and targeted or project orientated financing. The Association of the 11 towns of the Compiègne
Region (ARC – "Aglomération de la region de Compiègne") and the UTC are associated in the
“Technopole”. There is also the current and emerging policies and their likely impact: e.g. “Hotel de
projet”, acquisition of buildings with obligations to host high-tech companies

The main political influence of the regional policy is seen through the Technopole (science park) and
the regional incubator, as regional representatives are members of the governing board of each
structure. Besides, any activity linked with economic creativity is encouraged by regional authorities.


Self-assessment SWOT

Strengths                                   Weaknesses

1.   Activities focused on engineering      1.   Lack of breadth in academic disciplines
2.   Strong research laboratories           2.   KT not important for career progression
3.   Close contact with industry            3.   Critical mass not attained at UTC
4.   Excellent students and alumni          4.   Centralised control of university policies
5.   International partnerships

Opportunities                               Threats

1. The new Technopole structures            1. Staff support uncertain if KT not
2. The Carnot label                            recognised
3. Extension of industrial partnerships     2. Insufficient funds national, industry, regions
                                            3. Conservatism of unions and staff




Perspectives

After many years of continuous and often pioneering development of its activities in KT the UTC has
modified and consolidated its structures enabling a better efficiency and collaboration with its
partners. Some of these changes have resulted from national programmes such as the successful
applications as partners in the creation of Technopoles and the initiation of the Carnot label. Other
modifications result from the new financial rules designed to apply analytical accounting for
universities. If these modifications are successful and the funds are available the future of the
developments in these areas is assured.




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 CHAPTER 4 UNIVERSITY OF DORTMUND, GERMANY
Profile of the University of Dortmund
The University of Dortmund was founded in 1968 with the mission to promote the economic,
academic and cultural development of the region. A focus on specific scientific fields
(engineering sciences and computer science, natural sciences and economic science), new
interdisciplinary study packages and research fields as well as innovative methods of training
and teaching have given the university a special profile.
The University of Dortmund comprises 16 departments and faculties with about 22,500
students thereof about 2,700 international students. A differentiation between undergraduate
and postgraduate students is not (yet) possible. At the university, there are positions for 314
full professors. The university also employs 1,000 researchers, some of them part-time or
temporarily. In addition, 400 researchers are employed in projects funded by external means.
All in all, the current academic staff adds up to 1,700; the non-academic staff counts 1,100
persons. The budget comprises about 200 million €, of which 35 million € are financial means
from third parties (funding organizations, industry etc).
In terms of the range of disciplines it offers, the University is rather ‘bipolar’. When the
University was founded it had the character of a technical university with a focus on natural
and Engineering Sciences. In the early 80s the teacher training college and the university
merged; through this development, the University gained educational oriented departments
and some humanities could evolve. It is the University’s mission to enhance interdisciplinary
cooperation between the natural sciences/ engineering and the cultural studies/ social
sciences. The faculty of Social and Economic Sciences forms a kind of ‘hinge’ between these
two ‘blocks’.

Research Profile
At the University of Dortmund there are four different bands that constitute the University’s
profile. Each band works interdisciplinary and the accomplished research results are
considered to be excellent according to international standards.
           • Production and Logistics
              The prospective subject-area of this integrated research and teaching
              approach is geared to the entire life cycle of products and production facilities
              – from product development to product recycling. All these phases rely on
              efficient logistics as well as on efficient production and business processes.
           • Chemical Biology und Biotechnology
              New developments in the area of life sciences highly depend on the
              understanding of molecular conjunctions of biological processes and on the
              development of new micro-technical tools. Against this background, the
              University’s main research focuses on chemical and molecular processes as
              well as on micro-technology.
            •   Modelling, Simulation and Optimization of Complex Processes and
                Systems
                Today, modelling, simulation and optimization are critical tools in the field of
                scientific engineering, which are increasingly applied in the natural as well as
                in the social sciences. They are at the core of three special fields of research
                and different DFG (German Research Society) research groups at the
                University of Dortmund. Researchers from various disciplines successfully
                work together.
            •   Education, School and Youth Research
                The education, school and youth research in Dortmund compiles empirical
                research results and designs development-concepts for elementary,

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               secondary and vocational schools at large and the design and evaluation of
               models for all-day childcare.

The Dortmund Region
The City of Dortmund is located in the federal state of North Rhine-Westphalia (NRW) in the
western part of Germany. This state is Germany’s largest with respect to population (17
million inhabitants). There are two regional levels relevant for Dortmund:

        •   The metropolitan area of the Ruhr: A region of around 4,500 km2, 53
            communes and a population of 5.2 million. Located at the eastern edge of this
            area, Dortmund is one of these communes – and with about 600,000 inhabitants
            one of the largest.

        •   The closer region Dortmund/Unna/Hamm inside the metropolitan region: It
            comprises the City of Dortmund, the City of Hamm and the Unna County with
            about 1.1 million inhabitants. Dortmund forms the dominating centre of this region
            and it is the only city with a university.




   1. Geographic location
   of Dortmund in Germany          2. Metropolitan area of the Ruhr and Dortmund Region


For a period of more than 100 years, the economy of Dortmund was based on coal mining,
the production of steel and beer industry. However, in the late 1970s, the decline of these
industrial sectors affected the economic situation of Dortmund severely. In a short while,
Dortmund suffered the loss of 80,000 jobs. The service sector started to expand but could
not compensate for the loss. Regarding the economic situation, Dortmund seems to be a city
of contradictions: On the one hand, it has to cope with serious economic problems due to the
structural losses that occurred in the past.
On the other hand, the University of Dortmund is regionally perceived as an important force
for the structural change that is in progress. The city’s and the University’s aims complement
each other in a way that creates a win-win-situation for both parties: The University aspires to
be a strong and renowned institution for research and academic qualification and the city
intends to develop into a prospering location.

Other universities in the region and cooperative structures
In the metropolitan region Ruhr there are two other universities: The Ruhr-University in
Bochum (31,000 students) in direct neighbourhood and the University Duisburg-Essen
(32,000 students). Besides the University in Dortmund exists the University of Applied
Sciences of Dortmund (Fachhochschule). After years of keen competition, the universities in
the Ruhr area are now seeking more cooperation in central matters. The universities
coordinate the development of overlapping fields of research and teaching in a way that
supports complementary instead of parallel development. The cooperation includes the
coordinated appointment of new professorships and – in the context of the ‘excellence

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initiative’ of the Federal Ministry of Education and Research – collective applications in order
to be able to compete with the big research universities. The three universities also operate
a common office in New York: “ConRuhr” USA (Consortium of the Ruhr-Universities), a non-
profit office based in New York City that was established by the Ruhr area universities to
promote the region and its universities and to enhance academic contacts between students
and researchers from the US and the Ruhr area.

University of Dortmund’s policy towards knowledge exploitation
Legal situation
The allocation of intellectual property rights in German universities changed in 2002. Before
that year, the academic inventors were the legal owners of their inventions. They enjoyed the
so-called “professor’s privilege”. Changes in the employment laws caused the inventors in
academia to fall under almost the same intellectual property rights that apply to employees in
general. To promote this new system, the inventors at universities now receive a higher
profit sharing than inventors that are employed by other organizations. University
researchers receive 30 percent of the gross revenues generated by the exploitation of their
invention and their patent respectively. Statutory provisions commit scientists to invention
disclosure in front of their university. Within a two months span of time, the University has to
decide whether it wants to make a claim on the invention. If the University decides not to
exploit the invention, the inventor retains title to his/her invention.
The Federal Ministry of Education and Research and the Ministry of Science, Innovation,
Research and Technology provides funds to promote the exploitation of inventions and to
deliver information services to researchers. To enjoy these funding means that the University
has to follow a specific model:
    • Central components are the principal responsibility of PROvendis GmbH (a
        subsidiary of ZENIT GmbH, a public-private consulting company) as service-provider
        for the evaluation and exploitation of inventions
    • Decentral components are the principal responsibility of the University for motivation,
        information and qualification of its researchers
In January 2002 PROvendis took up operations as a service company for local universities in
North Rhine-Westphalia.

University of Dortmund’s implementation of knowledge exploitation
Breakdown of research financing
The current third-party funds which the University of Dortmund received through public
sponsoring add up to 25.4 million € in 2003 and 22 million € in 2004. Foundations and private
non-profit sponsors contributed 11 million € in 2003 and 9.5 million € in 2004 respectively.
The industrial economy supported the University with 4.1 and 3.8 million € respectively. The
University of Dortmund aims at increasing the proportion of third-party funds from an average
of 34.5 million € to 38 million € in 2009 – which means a percentage increase of 10 %.
Financing of KT activities
The Transfer Office receives a budget of about 235,000 € per year. About 200,000 € are
financial means for the personnel employed. The amount of 35,000 € is available for cost of
materials related to the activities. There is no income for the TT Office resulting from its direct
activities. The activities consist of services which are offered and paid for by the university.
Potential revenues from licensing and joint projects between companies and university
researchers flow into the university budget or alternatively into the budget of the
professorship involved.




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The Transfer Office acquires additional financial means through projects:

New Businesses
From 2003 to 2005 the Transfer Office of the University of Dortmund has acted as
coordinator of the project and start-up/ incubator network G DUR, funded by the Federal
Ministry of Education and Research under the EXIST-initiative. The goal of the project is to
develop the entrepreneurial potential at the University of Dortmund, the University of Applied
Sciences of Dortmund and other research institutions based in Dortmund. Services and
consultancy are offered to researchers to create an awareness of marketable research
results and to qualify prospective entrepreneurs. The total volume of financial support for this
project aggregates 1.1 million €, of which 250,000 € are at the direct disposal of the Transfer
Office. Another 1,9 million € have been acquired by projects developed and coordinated by
the Transfer Office in the year 2006. 600,000 € are at the disposal of the University of
Dortmund . The projects will start in 2007.

Patents

From 2003 to 2005, the Transfer Office received 200,000 € from the federal state of North
Rhine-Westphalia for work that is related to the new patent laws (awareness creation
amongst the researchers and information activities).

KT process description

The TT Office is a unit of the University reporting to the rector. There are three positions for
staff with academic background plus one part-time secretary. One colleague of the state-
wide patent exploitation company for the universities has an office in the unit and is there
present part-time. Additional personnel can be employed through projects.

There are three main work areas:
   •    Promotion of cooperation between researchers and companies (with focus on
        regional companies)
   •    Promotion of spin-offs and start-ups
   •    Management of the exploitation of patents
1. The Transfer Office assists professors in finding industrial partners for projects and
companies but also in finding partners inside the University. Instruments to raise interest are
events and presentations, visits at companies, meetings between the rector and professors
and regional key companies, “consultation-hours” at the Chamber of Industry and
Commerce, fair participations, mailings. The Transfer Office acts as an agent between
interested enterprises and scientists; in most cases a staff member of the Transfer Office is
present during the initial meeting. When the parties agree on concluding a contract, the
Budget und Research Affairs Department in the administration takes care of the negotiation
and signing. This working area can be regarded as cultivation of company relations
2. The Transfer Office offers support for university members by a start-up coach who acts as
a clearing point at the University. People affiliated with the University (students, scientists)
are the “customers“ of the provided services. They learn about the services via informational
events, online promotions, mailings or through the courses that are part of the curriculum. At
the Transfer Office, they can receive initial consultation, support in creating a business plan,
in the participation in contests and in finding financing opportunities.
3. The TT Office manages the awareness creation and exploitation activities. The Transfer
Office distributes information in individual or group discussions; in addition, the TT Office
offers public informational meetings on IPR. Subsequently, the TT Office is again directly
involved in questions of patenting and patent exploitation. A member of staff is part of the
commission that advises the chancellor. When an application for a patent is filed, the TT

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Office keeps in touch with the exploitation agency PROvendis which operates the
exploitation process and moderates the relation between the inventor and the exploitation
agency.

Structure of Knowledge Transfer at the University of Dortmund

                    RECTORATE                                           TT OFFICE
                                                                         Staff unit
       Rector     Chancellor       Prorectors
                      ADMINISTRATION
                                            Department
   Department 1 Department 2 Department 3
                                                 5
                                            Budget- and
                                             Research
                                              Affairs
                                                               cooperation
                                                Research
                                                 Affairs
                                                              support
                           RESEARCH
   Mathemati          Technology       Planning           Social
      cs &                 &           Science,         Sciences
    Natural           Engineering      Building,            &
Roles and Responsibilities
   Sciences            Sciences       Economics       Humanities
The Transfer Office is a relatively small unit. Therefore, the office has to cooperate strongly
with internal as well as external partners. Internally, the Transfer Office cooperates with the
Department of Budget and Research Affairs. The Transfer Office is responsible for the “soft“
tasks while the Department of Budget and Research Affair is responsible for the “hard” task
of actually concluding the contracts (licensing contracts as well as cooperative research
contracts).
Case description: Entrepreneurship Promotion SimuForm GmbH
With the help of this start-up, many elements of entrepreneurship promotion at the University
of Dortmund can be exemplified, including the G DUR network and the support instruments
on federal and state level. In this case, the respective institutions have complemented each
other very well. The business founder did a doctorate at the Institute of Conversion
Technology and Light Construction; his enterprise is concerned with the development of a
software tool for an innovative conversion procedure (high pressure sheet metal forming).
The software tool is supposed to support fabrication engineers during the production process
with the aim to enhance the efficiency of the procedure.
The business founder made use of the following services/ offers:
    • Participation in G DUR idea contest in 2004 (organized by the Transfer Office);
        receiver of the technology award
    • Thereafter, continuous mentoring though a start-up coach; distinction as TOP-TEN
        Team in the IT business foundation contest start2grow in 2004
    • Made use the Pre Incubator Centre in the Technology Centre from July to October
        2004; afterwards he became a tenant at the centre
    • Supported by the programme PFAU (an initiative of the state of North-Rhine
        Westphalia; part-time position for two years for the further development of the
        product) from 2004 - 2006
    • Nominated for the German Business Foundation Award (category: “concept”) in May
        2005
    • Foundation of SimuForm GmbH in April 2006
    • Financial support through the High-tech-Gründerfonds GmbH i.H.v.; 500,000 Euro in
        April 2006

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KT Periphery:

Technology Center Dortmund
The Technology Center Dortmund is located in close vicinity to the University on the same
campus. Since 1985 – the year of the opening of the first construction stage – the outline and
structure of Dortmund's Technology Center became a model for the German Innovation
Center. It has concentrated both on technological development and spin-off companies.
The initial non-material support and participation of the University of Dortmund has
meanwhile grown into a business participation in the management company of the
Technology Center Dortmund; since the year 1999 the University of Dortmund has been a
shareholder of the Technology Center.
Since that time the Technology Center has developed into one of the largest centres in
Germany. In six building complexes it accommodates about 60 companies with more then
1,300 employees. The Dortmund Technology Center has maintained its orientation towards
the main fields of research pursued in Dortmund, which is – among others - conducted at the
University of Dortmund, the Fraunhofer Institute for Material Flow and Logistics and the Max-
Planck-Institute for Molecular Physiology. The Technology Center Dortmund has steadily
expanded both floor space and structure since the beginning in 1985. Several competence
centers were established, e.g. in microstructure technology, bio-medicine and proteomics,
the gross floor space expanding from 6,000 sqm to over 80,000 sqm.

Technology Park Dortmund
The Technology Park was founded in the same year of 1985 as the Technology Centre. It is
located on an area of 35 ha on the joint campus of the University of Dortmund and the
Technology Centre Dortmund. The park offers young enterprises, which have hatched out of
the incubator Technology Centre, space for the construction of own premises. It is likewise
an excellent location for enterprises which seek contact to scientific institutions but have no
need for the kind of support provided in the Technology Centre. The Technology Park has
grown fast and today accommodates more than 250 companies with over 8,000 employees.

Technology Centres in the region
There are other four technology centres in the Dortmund region as cooperation partners for
the University.

Case Example of a major and distinctive initiative

The Dortmund-project
In June 2000, the Dortmund City Council voted to establish the dortmund-project under the
direct supervision of the Lord Mayor and reserved budgets of approx. 5 million € p.a. up to
the year 2010. From the very beginning the dortmund-project was supported by
ThyssenKrupp AG and the Economic and Employment Promotion Dortmund. The overall
strategy was described in six goals:
        1. To set up new anchor industries in Dortmund
        2. To strengthen companies resident in Dortmund
        3. To expand training programmes, skills upgrading schemes and R&D of an
           international standard
        4. To turn the City of Dortmund into a modern business city with a high quality of life
           and unrivalled leisure amenities
        5. To expedite planning and approvals procedures: one-stop shopping for start-up
           and/or relocating companies
        6. To substantially boost the level of employment.

The Dortmund-project constitutes a strategic instrument of urban planning in which the
university plays and integral role, especially with regard to the development and maintenance

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of business clusters (logistics, microstructure technology, biotechnology). The project
contains many entrepreneurial approaches such as the operationalisation of goals,
evaluation and transparency of structures. From a knowledge transfer perspective, the
activities in the area of business foundations and the start2grow contests have been
stimulating. These activities had a mobilising effect and created new links between the
University (contestants in the start2grow competitions, scientists as evaluators) and the City
of Dortmund. Among other things, the dortmund-project stimulated the city’s engagement in
the university’s spin-off initiative G DUR.

Interface to the business community
There are no transfer oriented institutionalized tools or interfaces. The approach to the
companies is generally more incremental. Regularly regional key companies are invited to
meetings at the Rector’s office. There the rector brings together company representatives
and professors from different departments and faculties. The aim of this first meeting is to get
to know each other and to provide a larger base for potential cooperation. The Transfer
Office coordinates these activities and accompanies the process.
Regularly (once or twice per year) the Chamber of Industry and Commerce at Dortmund
invites their member companies to “consultation-hours” at the chamber. The companies
receive a 30 minute “slot” for a talk to a Transfer Officer of one of the both Dortmund
institutes of higher education to discuss ideas or problems which could be item of a
cooperation with researchers.

Business creation
At the moment, there is no differentiation made between the support of spin-outs and start-
ups. Both groups of business founders receive support by the TT Office which offers
consultancy for students or young researchers willing to have their own company. A spin-off
coach works as a clearing centre for potential entrepreneurs support in developing the
business plan, support in financing the company foundation (participation in competitions,
funding programmes or bank loans or funds). Actually the great majority of potential founders
plans a company based on the results of the university work (diploma thesis, PhD- work).
Also the majority of support tools is directed towards knowledge based new companies. Both
business plan competitions and financial support programmes for new businesses from
universities aim at business ideas which have their base in research.
Results of the spin-off coach work are:
    • Up to now 250 primary consultations – 40 business foundations between 2003 and
       2005
    • Growing participation of University start2grow-competitions of the City of Dortmund
       participants with an increasing success (21 prizes/ 80 participants)

Building an entrepreneurial culture
Since 2002 the Transfer Office of the University of Dortmund has been coordinating the
project and network “G DUR – University spin-offs and start-ups in Dortmund and its region”.
The goal of the project is to enhance the mobilization and qualification of entrepreneurial
potential at the University of Dortmund, the University of Applied Sciences of Dortmund and
the Dortmund research institutions. Within a rich local entrepreneurship oriented
infrastructure, the University of Dortmund as well as the University of Applied Sciences were
lacking of a structured system of entrepreneurial support for students and researchers. This
project filled this gap. Besides the institutions of higher education, the members of the project
consortium are the five technology centres of the Dortmund region and the City of Dortmund
represented by the start2grow competitions in the Dortmund project. The main elements of
the project from the beginning are:
    • The integration of the university members in the start2grow competitions
    • The establishment of a study course ‘Entrepreneurship’
    • Awareness creating and qualification inside university administration,

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    • The employment of a spin-off coach as a clearing point for University members,
    • The offering of free office space for four months in the Regional Pre Incubator Center

Activities to encourage academic entrepreneurs / Activities to encourage student
entrepreneurs

Many activities are likewise aimed at researchers and advanced students. For example there
are information events concerning specific topics such as “chances of going into business in
logistics”, “business formation for engineers” or “self-employment and cultural studies”.

Provision of education and training to support entrepreneurship
The project G DUR marks the starting point for teaching entrepreneurship at the university. A
course was established at the Faculty of Social and Economic Sciences. The content of the
course grew in the years or the project. In the beginning, the head of the course started with
only one lecture. In the time of the project he gained internal (professor of service
management e.g.) and external partners (VC-manager). Within three years of project, the
coordinator of this course could establish it in the faculty and gain students from the faculty
and other disciplines (each 50 %). The good acceptance of this new curricular element led to
a still stronger support by the faculty and the university rectorate. They decided to establish a
new chair in the faculty for “Management of Innovation and Business Formation”. This
professorship was filled in October 2006.
Entrepreneurship Teaching is located in the faculty of Economic and Social Sciences. It now
has the status of a subject but from autumn 2006 it will have the status of a chair
“Management of Innovation and Business Formation”. The main curricular elements are:
    • Business Plan Development (project)
    • Management of company creation: Fundamentals of business creation (lecture)
    • Practice of start-up financing (lecture)
There are arrangements with some departments where the course programme is offered as
a mandatory course or as a minor; in the other cases participating students receive a
certificate. The number of students attending all the seminars and lectures is about 150 per
year.

Start-up competitions
Within the scope of the dortmund-project, start2grow founders’ contests have been carried
out with great success three times a year since 2001. The contests match the various needs
of the different branches:
    • One contest is directed at the whole spectrum of information technologies.
    • Another contest is concerned with the field of micro technology.
    • A third contest is open for business foundation ideas from all branches.
All start2grow founders’ contests are super-regional and are characterized by the optimal
transfer of know-how, ambitious aims and valuable prizes. The start2grow competitions have
become one the largest events of this kind nationwide. During the competition, teams from
the University of Dortmund are mentored by the spin-off coach at the Transfer Office.

Regional policy context
The German universities are federal state institutions. In the past, the states limited the
autonomy of universities considerably by imposing on them a net of detailed laws, executive
orders and procedures of control. In this context it must be stated that these circumstances
led to universities that up to now have failed to act on entrepreneurial and independent
levels.
Since 2000 the situation has been changing. Due to an amendment of the federal law
relating to inventions of employees, universities have now acquired a position of influence.
Today universities have the rights to decide on how to deal with inventions made by staff.

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The state of North Rhine-Westphalia started contract agreements on goals and objectives
between the universities and the state governments as well as the autonomy of the
universities in all affairs of budgetary policy and financial management.
At the moment the state university law is in the process of change. A first amendment has
already passed and offers the universities the opportunity to impose tuition fees (max. 500 €
per semester). This income is going to be used to improve the University‘s quality for the
students. A second amendment is in the process of being passed and will change the
management structure of the universities towards a more entrepreneurial model.
There are major opportunities in the Region for the University. The survey “Atlas for the
Future” classified Dortmund as a dynamic city cluster, one of nine “hidden star” regions in
Germany. Nevertheless, Dortmund is looked upon as a wizard crisis manager since it has
succeeded in bringing about the structural change despite declining industrial branches. At
present, about 9,000 companies (without small-scale trade) are located in the urban area of
Dortmund and the city has a GDP of 16 billion € (58,400 € per person in employment).

Self-assessment SWOT

Strengths                                     Weaknesses
    • Well integrated in an active region        • Lack of coherency in work               –
       (entrepreneurship promotion, regional         distributed   responsibilities   inside
       networks)                                     university
    • Relatively strong in acquiring funds /     • No real university strategy for transfer
       Project development                       • Small workforce in transfer but high
    • Developed      structures    in    IPR-        expectations (internal and external)
       management and entrepreneurship           • Lack of integration in university
       promotion                                     structures
                                                 • Relations management to companies
Opportunities                                 Threats
    • German universities are reforming          • Stagnation in university budgets could
       themselves – chances for transfer in          cause conflicts of allocation of
       change of organisational structures           financial means inside the university
    • “Tailwind” for transfer from politics –    • Small workforce in transfer but high
       High-Tech Initiative of the Federal           expectations (internal and external)
       Ministry of Education and Research
       will promote collaboration industry -
       university



Perspectives
The Transfer Office has three main work areas of which IPR-management and
entrepreneurship promotion are well structured and positioned inside and outside university.
The management of relations to companies – the ground on which cooperation between
university and companies grows - has to be more developed (tools and instruments) in the
direction of a proactive university corporate relations management.
The work principle networking and cooperation with partners is valid for all three areas and
will continue. An increase of the budget for transfer cannot be expected, external funding has
to be acquired for additional efforts. Two general developments will influence the transfer in
its short term future: On the one hand the politics is increasingly interested in closer
cooperation between the universities and companies and will deliver support tools or require
more exploitation efforts in its research funding, on the other hand the public money available
for the universities is stagnating at the moment and conflicts inside the university on the
allocation of the means can be expected. The position of the Transfer Office is ambivalent:
On one hand it could stronger because there is still missing a strategic position of the

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university on transfer and the office is not perfectly integrated in the university’s
administrative structure. On the other hand the Transfer Office has successfully developed
the area of project acquisition and management of projects (up to now on a national level)
and achieved support by the university management.




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    CHAPTER 5 HAMBURG UNIVERSITY OF TECHNOLOGY, GERMANY
Profile of university
Hamburg University of Technology (TUHH) was founded in 1978 making it one of the
youngest universities in Germany. The location of a technical university in the south of
Hamburg on the southern side of the Elbe in the district of Harburg (which become part of
Hamburg in 1938) was part of a regional development initiative to revitalise the economy in a
part of the city state regarded as a deprived region. The TUHH was founded on the
fundamental principles of giving priority to research, interdisciplinary studies and innovation
which at the time of its foundation was a unique approach in Germany. Research
commenced before teaching. Research programmes started in 1980 and two years later
lecturing followed.
Today around 100 professors and 1.150 members of staff (450 scientists, including
externally funded researchers) work at the TUHH. With an average of 5.000 students the
TUHH offers a uniquely high ratio of staff to students by German standards. The Leitmotiv or
mission TUHH follows in its research, teaching and technology transfer is the development of
“Technology for the benefit of mankind”.

Recent developments in the evolution of the university have been the founding of a private
university supported by resources of the TUHH and industrial backers – The Northern
Institute of Technology (NIT) – which has been followed by the founding of Hamburg School
of Logistics (HSL) supported by a generous donation by the logistics company backed
Stiftung Kühne & Nagel. HSL offers MBA programmes in logistics, a subject which is closely
associated with Hamburg’s position as an international port.

Research Profile
By primarily focussing on research, the TUHH has developed its present profile as an applied
sciences university with strong industrial links. In addition to the annual public budget of 54
million Euro, the TUHH, in cooperation with its knowledge transfer subsidiary, TuTech
Innovation GmbH, has succeeded in raising another 20 million Euro in research funds in
2005.
The TUHH provides the chairman of the German Research Council (DFG3) in a field of
research (Micromechanics of Multiphase Materials). Furthermore there is a DFG research
group (Submillimeter Wave Technology) and a two special graduate programmes (Ports for
container ships of future generations and Art and Technology) sponsored by the DFG. The
interdisciplinary organizational structure of the TUHH effectively encourages successful
collaboration between all branches of engineering.

Distinctive features
Research at TUHH is organised in six focal topics, in which institutes from different areas of
expertise collaborate in common projects. These topics are:
   • Environment and technology
   • Systems technology
   • Construction and marine technology
   • Information and communication technologies
   • Materials, engineering and production technologies
   • Process engineering and power facilities


3
 The DFG (Deutsche Forschungsgemeinschaft) is the central public funding organisation responsible for
promoting research in Germany. Chairing groups or having a DFG funded research group is a sign of an
excellent research background.

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 Institutes and working groups managed by professors are assigned to one of the focal
 research areas. The core tasks of TUHH are performed in the institutes and working areas:
 teaching and research, acquirement of scientific results, cooperation in putting these results
 into practice and the education of young researchers. In the focal research areas scientists
 of different fields work together, thereby fulfilling the demand for an interdisciplinary cross-
 linking of classic engineering disciplines.
The dynamic development of the TUHH is characterized by an open minded, intellectually
inquisitive approach, the creation of innovation and discovery of methods for applying new
technology. This has been shown by the successful foundation of its own company, TUHH
Technologie GmbH (TuTech in 1992, now TuTech Innovation GmbH. This was the first
private company to be founded by a public university in Germany for knowledge transfer
activities. Since 1992, TuTech has been responsible for technology transfer and advice, for
trade fairs and further training, as well as congresses and the initiation of projects.

Profile of the Hamburg region
The Free and Hanseatic City Hamburg is the second largest city in Germany. In addition, it is
a state within the Federal Republic of Germany. The character of the town is formed by trade
and merchants, shipping and services. After the opening of the borders towards the East of
Europe, Hamburg regained its hinterland and sees itself as having a strategic role in the
centre of Europe linking east with west and as a Gateway to the East i.e. as a centre for
trade with China. The metropolitan region of Hamburg forms an area of 10 697 km2. 2.27
million inhabitants live in this area. The city itself comprises of 755.3 km2 including 75 km2
port area.
                                                         Hamburg today belongs to the most
                                                         important economic centres in Europe.
                                                         The port still plays a dominant role in the
                                                         economic development, both in terms of
                                                         the goods which pass through it and also
                                                         the services associate with trade such as
                                                         insurance and logistic management. It
                                                         follows that Hamburg’s economic
                                                         structure is strongly influenced by the
                                                         service industries. Three quarters of the
     Container Terminal in the Port of Hamburg           labour force are employed in the service
                                                         sector. Trade and transport traditionally
                                                         are important areas, but now nearly 50%
                                                         of service sector employees are
employed in the media industry, in consulting, software tourism and consumer-oriented
crafts.
Covering 8.700 ha the port makes up around a tenth of the overall Hamburg area. Hamburg
is the largest German sea port. In 2004 around 114.4 million tons were moved in the port.
Hamburg is not only one of the leading universal ports in the world, but also the second
largest container port in Europe and the sixth in the world.
After Berlin, Hamburg is the German city with most inhabitants. More than 1.7 million people
live directly in the city. This makes up 2% of the total German population producing 4% of the
German GDP. Per person employed this is 49% more than the German average, per
inhabitant even 86%.
Hamburg in total has 14 universities and a number of research institutes. Overall there are
over 70,000 students, with nearly 10,000 foreign students among them and a total 5,300
professors and researchers.

Policy towards knowledge exploitation
Before a change in German national legislation in February 2002, all researchers owned the
results of their research, even if it was funded by public money. Since then the rights for


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inventions rest with the universities, who may decide about licensing, patenting and
exploitation, but has to pay the researcher a royalty of 30% on any income from a patent.
With the new legislation a department was created within TuTech Innovation, the PVA
(Patentverwertungsagentur – Patent Exploitation Agency), which performs the rights in
inventions and patenting for 5 Hamburg universities. Any researcher with a potentially
patentable result has to contact this agency, who decides if a patent should be registered or
not. In case the agency decides not to pursue an invention, the rights are given back to the
researcher who then may market it for his or her own purpose. In the other cases the
university will hold the rights and is able to actively market it.
Commercial exploitation in German’s universities traditionally has not been actively
encouraged. The researchers themselves for a long time also had no interest in “making
money” out of their research results. One of the reasons to change the law was to increase
the number of commercially exploited results from universities.
Lacking this tradition, the patent activities have their difficulties in making a true impact on
the university’ finances. Since the foundation of the PVA 88 inventions have been recorded,
22 of which in 2005. In the same year 12 inventions have been registered bringing the total
since 2002 to 32. 5 inventions could be sold to companies, so far giving a licensing income of
14.000 Euro, which may rise depending on future commercial exploitation.
What is equally important than the patents themselves: TUHH got around 1 million € worth of
research project grants because of certain processes being patented and therefore available
to the university as input to these projects, independent of any researchers.
Hamburg University of Technology strongly encourages industrial research and co-operation.
This is reflected in the high number of industrial contracts (344 in 2005), either research or
service contracts.

Implementation of knowledge exploitation
In total TUHH received 20.4 million Euro from third parties. The total number of contracts
running in 2005 amounted to 619, among which 265 were financed by public bodies
including the EU, 230 were direct industrial grants, 90 came from sources such as
foundations or research organisations and 34 were not identified.
All external contracts were handled by                        External Funding in 2005
the KT daughter company TuTech
Innovation GmbH. In exchange for its
contract services, TuTech Innovation
receives a share of the contract value                  3451
which is used to finance the KT                                                      4357
activities. Special initiatives such as the                                                  Industry

Patent Exploitation Agency or the hep                                                        NGO
                                                                                             Public
(Hamburg business founders’
programme) receive special funds from
public sources as the German federal
government or the state of Hamburg.                           3176




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TuTech Innovation GmbH offers services in most fields of knowledge transfer, in particular:
   • Brokering of cooperation between businesses and science
   • Management of R&D projects and contract research
   • Exploitation of R&D results
   • Technical consulting services
   • Management of international co-operations
   • Consulting in the area of research funding (national and European)
   • Consulting and support of technology-oriented enterprises and business founders
   • Investment in innovative start-ups as business incubator
   • Support in allocation of businesses
   • Training and qualification in new technology fields, information workshops
   • Organisation and management of fairs and congresses
Work in TuTech Innovation is organised in 3 major areas:
   • Technology and Knowledge Transfer, Consulting
   • Centre of Entrepreneurship, Patents, Fairs and Congresses, Training, Publications
   • Administrative Services and IT




                     Organisational Diagram of TuTech Innovation GmbH4
With technology and knowledge transfer the work is organised into topics rather than process
functions. There are specialists for physical technologies, social sciences, life sciences, and
interactive communications. A special function has the EU Office which serves the TUHH
and other clients in providing information and services on European funded projects. All topic
oriented departments perform relevant projects both with industrial and public partners
themselves.
The second area comprises of a competence centre for entrepreneurship which gives advice
on all questions of setting up and running businesses. It is also running a Hamburg
programme, the hep which offers seed financing for young academics wishing to found their

4
    An approved diagram in English is not yet available

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own company. The Patent Agency not only handles patents and inventions for the TUHH but
for other Hamburg universities as well. The Fairs and Congresses group provides
organisational services for any scientific or dissemination occasions, both for the TUHH and
for TuTech’s transfer activities. It also organises for the TUHH and other clients any
participation in trade fairs. A small publishing department organises printing and distribution
of journals and other publications, again both for TUHH and for TuTech itself.
The administrative services not only are responsible for TuTech itself but also handle all
matters for both industrial and research projects of the TUHH.
The IT department is responsible for all internal communications, for the TuTech web site at
www.tutech.de and for project related IT matters. TuTech maintains an extensive contact
database implemented in Lotus Notes, which is used for various general and topic oriented
newsletters, both in printed and electronic formats.
TuTech Innovation currently has 40 employees among which are just under 20 persons with
an academic background in the core area of knowledge transfer. Legally it is a GmbH (a
German equivalent of a limited company), which is owned at 51% by TUHH and 49% by the
State of Hamburg.
Only recently TuTech Innovation acquired a building which is also used on a small scale as
an incubator for young innovative companies. The incubator however is not operating
strategically as such, but on a case-by-case basis.
TUHH currently is not operating any science parks. In 1985, it initiated a technology park
now known as HIT Technology Park, mainly to present its alumni a suitable location to
establish their own companies. In 1994, this park was completely taken over by its current
owner, Wolfram Birkel, and it is now one of the largest privately owned technology parks in
Germany.

Case Examples of major and distinctive initiatives

IBN
On 29 May about 90 participants from research and industry
founded the initiative Industrial Biotechnology North (IBN), in
which the potential of the „White Biotechnology“ in Hamburg and
Schleswig Holstein is bundled. This technology already plays an
important role in the sustainable production of chemicals, food,
new materials, fuel and and other substances from natural self-
reproducing material.
This initiative was initiated by TuTech Innovation/Hamburg Innovation GmbH, Innovation
Foundation Schleswig-Holstein and the Institute for technical microbiology at the Hamburg
University of Technology. Companies and research institutes from North Germany may join
this network.
Organised by the Innovation Foundation Schleswig-Holstein and TuTech Innovation, experts
from both federal states met the first time in November 2005 in Kiel to present current
research results in white biotechnology and to discuss its future potential. In Schleswig-
Holstein and Hamburg currently about 110 companies are active in this field (biocatalysis,
enzymes, food, animal feed and cosmetics, which form the core fields of white
biotechnology. In addition there are numerous experts and working groups at the universities
of both states, giving this technollogy a huge potential in the North of Germany. White
biotechnology however suffers from a lack of visibility as very often only medical
biotechnology and medical technologies (red biotechnology) are subsumed under the term
“Life Sciences”. The white biotechnology is fairly unknown as a separate discipline. This will
be rectified by the activities of the IBN.
IBN organisationally is tied in to TuTech Innovation GmbH and is represented to the outside
world by a programme committee headed by Professor Garabed Antranikian (TUHH).
First joint projects already have been initiated. For example, since 1 June 2006 the TUHH
institutes for Technical Microbiology and Thermal Engineering work together with Stern

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Enzym GmbH (Ahrensburg/Schleswig-Holstein) in the area of production of bioethanol from
renewable primary products. The project has a total budget of 1.1 Mio. Euros and is funded
with 460.000 Euro by the Deutschen Bundesstiftung Umwelt (DBU/German Environmental
Foundation).
Even if this is a fairly young initiative, the short time between the first ideas and the current
state of IBN, has made it to a successful organisation in which the majority of all companies
and institutions in this area are represented.

5.     Interface to the business community
Apart from TuTech Innovation and other partners, who are cooperating in supporting the
knowledge transfer, the TUHH maintains good contacts to various partner companies and
institutions.
With some of these partners, such as Thyssen Krupp there are extensive cooperation
agreements. Thyssen Krupp regards TUHH as one of the 8-10 universities of excellence with
which they have a close permanent cooperation. Airbus Germany for example finances a
tenure for aircraft-related research and teaching. Airbus also accounts for about a third of the
industrial R&D funding of the TUHH.
A sponsoring programme allows companies to present themselves on the TUHH campus
and in the regular university magazine SPEKTRUM. Particular sponsors may get a name
plate in a “Hall of Fame” (a wall with name plates of sponsors).
Through TuTech Innovation, TUHH offers a number of activities which are also targeted at
SMEs. A regular workshop programme offers training in various fields of technology.
Furthermore TuTech Innovation is represented in several SME-targeted networks
TUHH and its subsidiary TuTech Innovation are active in several working groups and
networks. TuTech is an active member of Bay-to-Bio (a North-German network of actors in
the life sciences area: biological and medical technologies, bio-medicine and bio-
informatics), HansePhotonik (a North-German network of actors in optical technologies),
Wirtschaftsverein für den Hamburger Süden (an economic group promoting the development
of Hamburg’s Southern areas), Hamburg@work (a network of Hamburg actors in media,
information technologies and telecommunications), Channel Hamburg (an association for the
development of the former Harburg port area), Wachstumsinitiative Süderelbe (an initiative
for the economic growth of the Hamburg areas South of the river Elbe and neighbour areas).
Apart from these active memberships, TuTech is co-operating with numerous transfer
organisations and professional organisations at North German, national or European level.,
i.e. Norgenta (an inter-state marketing and service provider in the states of Hamburg and
Schleswig-Holstein for life science activities), Hanse Aerospace (an association of SMEs in
the aircraft industry for the German coastal states), Industrial Association Hamburg (an
association of industrial companies in Hamburg), Chamber of Commerce Hamburg,
Innovation Foundation Hamburg (a foundation funding R&D in innovative Hamburg based
SMEs), Technology Foundation Schleswig-Holstein (a foundation with the aim to increase
the potential in innovative industries in the state of Schleswig-Holstein), WTSH -
Wirtschaftsförderung und Technologietransfer -Holstein GmbH (business development and
technology transfer in the state of Schleswig-Holstein), PVA Nordverbund (North German
association of patent agencies), Technologie Allianz (a German network of patent and
technology transfer agencies), Bundesverband der mittelständischen Wirtschaft (Federal
Association of SMEs), IRC-Network (network of Innovation Relay Centres funded by DG
Enterprise of the European Commission), ScanBalt (a European project running a “network
of networks” for biotechnology in the Baltic Sea region).




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Business creation
TUHH together with TuTech Innovation, other Hamburg universities and partners from
industry and politics has founded an initiative to actively stimulate business creation from
universities. The Hamburg business creation programme – hep – has been active since May
1999.
It is addressing all students, graduates and researches wanting to start their own business.
They will get process-oriented support from hep and are accompanied during the first critical
years. Through “founders jobs” they receive financial support for up to 12 months, a business
plan competion gives them necessary skills to approach potential financiers.
Further parts of hep are regular workshops (every 2nd Wednesday a month) on relevant
topics. hep also tries to make contacts with coaches and business angels. hep has been very
successful, since the start-up in 1999, around 70-80 founders have been funded in 38
companies, 90 % of which are still operating in the market.

Building an entrepreneurial culture
At the TUHH itself there are no distinctive activities for the building of an entrepreneurial
culture. All students are offered a course in economics for technicians, which includes a
section on writing business plans and preparing for company creation.
Distinctive activities are offered by hep, the Hamburg business creation programme already
mentioned in section 3. Apart from directly providing seed capital it offers regular workshops
on topics around business creation and operation.
Hep also offers a summer school for entrepreneurs together with HIT Technology Park and
the University of Lüneburg. During one week, potential entrepreneurs are trained in topics
like planning company foundation, legal forms, financing, taxes, IPR, insurance, marketing
and entrepreneurial personality. The 2006 summer school took place in September and was
fully booked.
The EU is funding the COMMIT (Centre of Management and Innovation Training)
programme for Hamburg in the context of Regional Innovation Systems (RIS) to analyse the
current innovation situation in SMEs and to investigate promotion of innovation in this group.
In this programme TuTech organises the training of SMEs in innovation management.
In the context of the Baltic Sea Knowledge Region, a project funded by the European
Commission, TuTech and its partners organised a business plan competition for the partner
regions of Hamburg, Öresund and Helsinki. This successfully took place in January 2006 in
Copenhagen. Following this event, there are discussions to establish a “Venture Cup” for the
Hamburg regions.
Since 2005, TuTech innovation together with HIT Technology Park is running a business
plan competition for innovative young entrepreneurs.

Regional policy context
In Germany, responsibility for universities lies with the Länder, that is in the case of
Hamburg, the Hamburg government, Hamburg being both a city and a federal state. All
universities are financed out of the state budget, the federal government only financing
research projects and special research areas.
Historically, one might say that Hamburg was very trade and services oriented. This also
means that many of the driving factors for research was missing, as a large part of innovation
comes from production-oriented industries. The main research institutions in Hamburg were
either resulting from needs of the port (climate research, tropical medicine) or from trade and
politics (i.e. HWWA).
An expression of the lower priority is the number of application-oriented research institutes in
the German metropolitan regions (Fraunhofer Institutes, Max-Planck-Institutes): Munich has
16, Berlin 12, Stuttgart 11, whereas only 4 of these institutes are located in Hamburg.

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The need for an orientation towards more technological expertise and research in Hamburg
led to the foundation of the Technical University in Hamburg-Harburg in the 1970s, which
soon become a centre of excellence in engineering subjects.
This government is trying to completely reshape the structure of the Hamburg universities.
The concept is the reorganisation of many of the 13 universities into faculties, which are topic
oriented. The government hopes to avoid fragmentation in research and education by
concentrating related subjects in one faculty. An example of this policy is the imminent
foundation of a construction school concentrating all construction and architecture topics
from various schools in Hamburg into one institution.
Despite the difficult budgetary situation, Hamburg tries to increase the spending in
universities and research. In 2003, a total of 740 M€ was allocated to universities and
research institutes. Among this, 129.2 M€ were planned for investments (an increase of
2.7%), research outside universities gets 59.9 M€ (increase 1.7%). The operating budget for
the universities was increased by 1.6%, even if the non-educational areas suffered a cut of
0.9% in the budget. In addition to the state budget, funding from the federal government for
research in Hamburg amounted to 324.0 M€.
Hamburg is following a metropolitan concept towards a growing city (Hamburg – Wachsende
Stadt). One of the 4 leitmotifs in this concept is “Hamburg – Metropolis of Knowledge”
(Hamburg – Metropole des Wissens), which tries to strategically strengthen Hamburg as a
research and university location.
Among the actions in this concept are:
    • Allocation of a new internationally renowned university or research institute in
        Hamburg
    • Acquisition of international sponsors for the Hamburg universities
    • Development of an additional internationally well-known large research facility in
        Hamburg
    • Location of international scientific congresses in Hamburg




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Self-assessment SWOT
Strengths                                    Weaknesses
   • TUHH has predominantly                    • The industrial orientation has led
      employed professors and                     to a potential academic and
      researchers with good industry              scientific weaknesses in the
      connections.                                TUHH.
   • Research is conducted in an               • Considering its size, the TUHH
      interdisciplinary way which leads           should have 1 or 2 special
      to problem solving approaches.              research areas funded by DFG,
   • By putting all KT activities in a            which in Germany is a measure
      company rather than into a KT               of scientific excellence, but it
      office, TUHH is able to handle              currently has none.
      industrial contracts in a flexible       • There may be a decrease of
      and less beaurocratic manner                industrial contracts as large
   • TuTech Innovation is the second              companies choose to work with
      largest KT organisation in                  specific universities for their
      Germany, thereby being able to              scientific excellence.
      provide a wide range of services.
Opportunities                                Threats
  • TuTech operates in tandem with           TUHH is currently restructuring to
      Hamburg Innovation,                    increase its research capacities and
  • TuTech might in the future offer         excellence by giving up interdisciplinarity
      an even broader base of services       and returning to a traditional institute
      to TUHH as critical mass for           structure. Focusing on more basic
      services will increase with a          research inherently bears the danger to
      broader client base.                   put less importance into the marketing
                                             and transfer of research results which in
  • The restructuring of research at         turn might lead the TUHH to believe that
      TUHH (see threats) may lead to         it is possible to lessen its engagement in
      stronger industrial ties with the      KT.
      increasing research excellence of
      TUHH.


Perspectives
With its unique construction of running all knowledge transfer activities in a separate
company, TUHH seems well positioned to handle all contacts and transfer activities with
industry in a flexible and professional manner. By offering its services to other universities as
well, TuTech Innovation is able to provide a wider range of services to TUHH as would be
possible if it were a department within the university’s administration. Outsourcing the
operations in such a way offers a greater degree of freedom in contractual and administrative
matters in contact with industry and allows the acquisition of funds for more flexible and
improved services. The operation of TuTech Innovation in a tandem with Hamburg
Innovation sets the ground for servicing all Hamburg universities and makes TuTech
Innovation an important player within the region..
To improve these services even more, the ability to operate internationally through ECIU for
example is desirable. Furthermore a more systematic and professionalised procedure for
contacts with industry independent of current professors and research staff at the university
seems desirable. An area of improvement can also be seen in start-up and IPR services.
Additionally, German universities in general may be able to profit from Third Mission services
as they are offered in other countries.


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 CHAPTER 6 THE UNIVERSITY OF STRATHCLYDE, SCOTLAND, UK
University Profile
The evolution of the University of Strathclyde began in 1796 when John Anderson, Professor
of Natural Philosophy at Glasgow University, left in his will instructions for 'a place of useful
learning', a university open to everyone, regardless of gender or class. His vision was
realised and Anderson's University opened its first premises in High Street, Glasgow, in late
1796. By the 1890s, Anderson's University had become a major technological institution with
a wide reputation for research and learning.

During the next 50 years, the College consolidated its reputation in technical education and
research. Although it offered some courses in management, the bias was very much towards
science and engineering. It was known for producing some of the best scientists and
engineers of its time. In the late 50s and early 60s the institution broadened its activities.
The College merged with the Scottish College of Commerce, which offered a wide range of
business and arts subjects. Shortly afterwards, in 1964, the enlarged Royal College was
granted the Royal Charter and became the University of Strathclyde.

The next significant development was in 1993 when the University merged with Jordanhill
College of Education, for many years Scotland's premier teacher training college. In addition
to teacher training, the University's Faculty of Education, as it became, offers courses such
as speech and language pathology, community arts, social work, sport and outdoor
education.

Today, Strathclyde is the third largest university in Scotland. It has 67 buildings over 500
acres of land. It teaches over 20,000 students in five faculties: Arts & Social Sciences,
Education, Engineering, Science and the Strathclyde Business School.

            Mission Statement

 The University of Strathclyde was founded in Scotland as a place of useful learning, to make higher
 education available to all, and to combine excellence with relevance. In fulfilling this mission in today's
 world it will:
     •     Provide high-quality education to all of its students, regardless of background, inspiring them
           to develop to the full their abilities, and creating outstanding professional and creative people;
     •     Generate, through excellence in research and scholarship, new ideas, knowledge and skills to
           create opportunities for individuals and society;
     •     Contribute to the advancement of the knowledge society, to social cohesion and to the quality
           of life in Scotland, and in the wider national and global community;
     •     Offer the opportunities for all staff to develop their full potential, and contribute fully to the
           achievement of the University's vision.

 The University of Strathclyde aspires to be a dynamic top-ranking European University dedicated to
 excellence through its core mission of promoting useful learning.




The University currently has over 14,500 full- and part-time students. Around 11,200 of these
are undergraduates and 3,500 postgraduate. A further 34,000 people take part in continuing
education and professional development programmes, making the University one of the
largest providers of CPD and continuing education in the UK. In terms of employment the
University is one of Glasgow's top 10 employers, with over 3,200 people (around 2,845 full-
time jobs) across a range of occupations, with an emphasis on highly-skilled professional
and technical positions. With a balance of 42% academic staff to 58% support staff, the
staffing profile reflects the University's multi-faceted nature. A study into the major economic
impact of the Scottish Universities was undertaken in Spring 2004. It found that the

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Universities’ activities generated over £305m of output in Scotland in 2002/03, with around
£210m in Glasgow alone. The University’s total revenue in 2002/03 was 232M Euro.

Research Profile
The University of Strathclyde has a distinctive approach to research, derived from its mission
of useful learning. The approach combines research excellence with social and economic
relevance. Our research ethos includes the uncovering of new knowledge (fundamental
research) and the development of this knowledge to address needs in our society, often
through interdisciplinary teamwork. Where appropriate, it involves commercialisation through
consultancy, company formation, licensing and other means.
University research spans a wide range of topics, from analytical chemistry to mechanical
engineering. Our research is supported by industry, Government, Research Councils, the EU
and charitable foundations. Extensive networks of national and international collaborations
exist in all fields. In 2002 the University invested over 14M Euro in modernising and
improving research infrastructure in science and engineering. This has been essential for
Strathclyde to compete UK-wide and internationally in winning funds for major research
programmes.

 Over the next four years, Strathclyde will promote six areas of research:

     advanced technologies
     fundamental research to advance human understanding of electronics, photonics, communications,
     materials science and manufacturing processes

     a healthy population
     better health promotion and new treatments for disease and disability

     making business successful
     effective business management, including corporate strategy and finance, personnel and
     information resources, and marketing

     a sustainable environment
     energy efficiency, urban design and the management of natural resources



 Distinctive features
In terms of research the University of Strathclyde has a strong research environment and
carries out basic, strategic and applied research and technology transfer. Specialist institutes
and centres extend its capabilities towards major sectors of economic activity.

Strathclyde's income from industrial sources is among the highest for UK universities. The
University's success in commercialising its research is shown by the high number of spin-out
companies, the amount of entrepreneurial training for students and staff, licensing of
university intellectual property, and consultancy work. Strathclyde maintains a high level of
investment in infrastructure, facilities and high-calibre academic staff. This pays off in
success in national competitions for funding, such as the Proof of Concept Fund which
ratings of 4 or 5. This illustrates research of national or international excellence.supports
leading-edge technologies in Scotland's academic institutions. Strathclyde has won 22 such
awards since the scheme's inception in 1999.




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The University's research strengths were highlighted by the 2001 Research Assessment
Exercise (RAE) in which over 90% of staff across 44 departments achieved the top two

     5 STAR RATED                                        •   Immunology
                                                         •   Law
     •      Accounting & Finance                         •   Mathematics
     •      Bioengineering                               •   Mechanical Engineering
     •      Bioscience                                   •   Physiology and Pharmacology
     •      Centre for the Study of Public Policy        •   Pharmaceutical Sciences
     •      Electronic and Electrical Engineering        •   Strathclyde Institute for Drug Research
     •      English
     •      Government (Politics)




Strathclyde’s links with industry range from the promotion of new small businesses through
the Strathclyde Incubator Unit and entrepreneurship initiatives to knowledge transfer
partnerships with blue chip firms. Strathclyde is home to the Fraser of Allander Institute,
Scotland's leading economic think-tank, and the Hunter Centre for Entrepreneurship at
Strathclyde, one of the UK’s first university-based entrepreneurship initiatives.

In addition a strategic alliance with the University of Glasgow called ‘Synergy’ has become
an essential element of the University’s strategy. It commits Glasgow and Strathclyde
Universities to promote partnership to their mutual benefit. Conceived in 1998 as a research
alliance, Synergy’s scope has now expanded to include collaboration in teaching. It has an
impressive record, with 22.4M Euro of joint research contract income to date. The
programme will continue to expand, with 7M Euro of new collaborative research contracts
each year.

Profile of Strathclyde / Glasgow Region
Glasgow lies at the heart of one of the UK’s principal metropolitan areas and is Scotland’s
largest city. The city is located on the River Clyde and has a population of 620,000 (12% of
the population of Scotland). Recognised worldwide for its place in the history of ship-building
‘Clyde-built’ has become a synonym for quality in engineering.
Glasgow has over the past few years changed dramatically as a place to live and work.
Prestigious new developments have enhanced its reputation as a premier location for
business and tourism. Work is underway on the 700M
Euro Glasgow Harbour development, while a 140M
Euro investment in tourism infrastructure includes the
creation of a new riverside museum and the
development of the Merchant City as a cultural
quarter.
Key sectors in Glasgow include: biosciences,
optoelectronics, contact centre management, software
development, retail, creative industries, construction
and communication technologies. In addition the
Financial and Business Services sector has continued
to grow significantly and has now become the largest
sector. It benefits from the second largest
concentration of science and research outside
London. Total employment in Glasgow has increased
to nearly 420,000, a record 25 year high. Glasgow’s jobs base has grown at nearly twice the
rate for Scotland and Britain over the past 10 years. Key employers in the region include:
National Australia Group (owners of Clydesdale Bank), British Telecom, Lloyds TSB, Scottish
Power and BBC.


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Over the past decade Glasgow’s employment rate has increased and unemployment in the
city has reduced significantly but still remains above the Scottish average with around
100,000 still economically inactive (not available for work or actively seeking employment).
The city is retaining graduates within the workforce: 35% work in Glasgow after graduation,
with a further 17% finding employment in the surrounding Metropolitan region. It is worth
noting that Glasgow has seen higher employment growth in its Knowledge Economy than
any UK city. The sector now employs more than 75,000. Glasgow has three universities, two
higher education institutions, ten further education colleges and a total student population in
excess of 150,000, second only to London in the UK. Over the past five years, over 60
technology spinouts have been created from local universities and research institutes.

University of Strathclyde’s policy toward “Knowledge Exploitation”
The University of Strathclyde owns all the intellectual property created by its staff as part of
their normal duties or as a result of duties specifically assigned to them by the University – as
set out in the Patents Act 1977 and the Copyright, Designs and Patents Act 1988.
Publication or disclosure of any novel process or idea prior to a patent application being filed,
without the necessary contractual safeguards (confidentiality agreements) in place, will
constitute disclosure and nullify any potential patentability. The University operates a royalty
sharing arrangement with the inventor(s) as set out in the University Court Minutes.
Academic staff and researchers with potential IP will consult with Research and Innovation
Department, the commercial arm of the University who create and manage the disclosure
process and draft the initial contracts. As a result only the Research and Innovation
department can enter into negotiations to exploit the Universities Intellectual Property.
Although the University’s policy primarily affects academic staff, it has a trickle-down effect
on students, particularly when students are funded by industry partners or work on university
research projects. University policy toward student IP considers the various relationships
that the student has with the university, but in most cases, as the student is not employed by
the University and is not bound by the same terms set out in staff contracts, the individual
student inventor owns their own IP. However, certain circumstances are more complex and
the University may look for the student to assign their IP and enter into a binding contract
with the university that enables the university to commercialise any IP arising from a
particular research programme.

University of Strathclyde’s implementation of “Knowledge Exploitation”
The University of Strathclyde has developed its periphery in a number of ways including the
creation of an office to managed third stream activities and outward facing knowledge
transfer projects.

Research & Innovation Department (R&I)
As the commercial arm of the University, R&I’s primary role is to support University staff in
undertaking research and attract and secure research funding for them. In addition they are
responsible for developing commercialise opportunities through licensing and spin-out. The
department administer around 500 research grants and contracts a year with a value in the
region of £40m (20% of the total University turnover). The office also maintains a large
portfolio of patents and licence agreements. Since inception, in 1984, the department has
generated in excess of £42m in royalty income for the University (making it one of the
leading UK Universities for royalty incomes) and have assisted in the creation of more than
35 spin-out companies.




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R&I is a service department in the University and was formed in 1984 by its previous director
Mr Hugh Thomson. Now under the leadership of Dr. David McBeth the department has 30
members of staff who are organised into three main sections.
         Grants and Contracts are responsible for negotiating and administering the
         contractual aspects of research grants and contracts to limit the risk to the University.
         The team manage around 500 contracts per annum (circ. £35m of which >£30m
         research) and receive around 1,000 applications each year. The Grants and
         Contracts team are responsible for managing the University’s risk and work diligently
         to protect the freedom of the academic staff at the University.
         Business Development staff provides services to academic staff in order to help
         them to obtain funding for, develop, market and manage their research activities. In
         addition they assist in the formation of Spin-out companies, licensing deals and
         collaborations. The Business Development staff are deployed in line with Faculties’
         and overall University priorities for business development in the areas of knowledge
         transfer, commercialisation and enterprise. This includes identifying and protecting
         the University’s Intellectual Property Rights arising from its research results and
         converting opportunities into successful outcomes such as collaborative research with
         industry, licensing and the formation of spin-out companies.
        Finally this section has a responsibility to ensuring that a healthy relationship is
        maintained with licensees; developing new business and ensuring licensees’
        contractual obligations are met
         Research Development Services develop and implement research strategy
         supporting university-wide initiatives and partnering with faculties and research
         leaders. Each faculty has its own Research Development Manager who work closely
         with academics to stimulate and assist with research funding applications and the
         creation of collaborative research projects with industry partners.
    In addition, the department has a specialist EU / International team who are responsible
    for the negotiation of EU contracts and consortium agreements with sponsors and
    partners. The small team provide information and insight on EU, UN, World bank funding
    opportunities and assist in funding applications.
    The department is supported by three administrative staff who play an integral part in the
    efficient running of the office.
To assist in the implementation of Strathclyde’s knowledge exploitation policy the University
has laid down an ‘Invention Disclosure Process’ (set out below). This process has been
developed to involve a Business Development Manager (BDM) and the IPR Manager at the
point of disclosure the inventor in assessing patentability, right to exploit and investigate
commercial opportunities and protection strategy. Leading ultimately to a decision on
whether to file a patent or not.




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Invention disclosure by academic to IPR team (recorded)
       BD Manager contacts inventor with disclosure questions
               Academic completes disclosure questionnaire
                      BD Manager meets with IPR team to agree filing or rejection
                            BD Manager initiates patent search & market reports
                                    BD Manager and IPR team feedback decision


                                                      No filing       Patent filed

                                      BD manager meets inventor         All parties meet Patent Agent
                                      to discuss possibilities for      Draft patent spec.
                                      taking disclosure forward         UK patent application filed



          A Case Study

Targent Inc. – a licensing deal

The University of Strathclyde recently agreed a new licensing deal with an American
pharmaceutical company. The deal has been secured for cancer drug 6S-Leucovorin -
one of the University’s most successful drug-related technologies.

After intensive negotiation, the University’s Research & Innovation department agreed to
license the drug to American pharmaceutical company Targent Inc, which hopes to
distribute it across North America. The deal could mean anything from £200,000 to £1
million in royalties for the University and comes on top of around £6 million earned from an



Major Initiatives


Case Study 1:             ‘essential’ - Strathclyde Entrepreneurial Network
In May 2005, Strathclyde launched a project entitled Strathclyde Entrepreneurial Network
(SEN). This project is designed to link research excellence, commercialisation potential and
enterprise activity within the University’s community of staff, students, alumni and friends.
                                                                                                The
  The objectives are:                                                                         proje
      •   Demonstrate and promote entrepreneurial activity taking place at the University of ct is
          Strathclyde and enhance the brand values of ‘entrepreneurship’ and ‘usefulness’    brand
                                                                                                 ed
      •   Inform the audience of ‘hot off the press’ enterprise developments
                                                                                              ‘esse
      •   Encourage entrepreneurial activity through case studies and peer review            ntial’.
      •     Portray the inter-connected enterprise initiatives at Strathclyde as one integrated
            knowledge-sharing community
      •     Provide key players within the community with valuable and interesting information
      •     Contribute to the University’s strategic objective to stimulate commercialisation and
            enterprise activity




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The ‘essential’ team is made up of four members of staff. Two Knowledge Transfer
Practitioners, a Project co-ordinator and a Project Assistant. It sits in the Research &
Innovation department and is funded by the Scottish Executives SEEKIT programme and
European Regional Development Funding (ERDF).
Within the ‘essential’ initiative there are a number of innovative programmes including:
Strathclyde 100, the ‘enterprise matters’ newspaper and the ‘Commercialisation Champions
Programme’.
Strathclyde 100 is an alumni members club for successful entrepreneurs and business
people who wish to play an active role in the creation of new business being started by
Strathclyde staff, students and alumni.        At a series of quarterly events, aspiring
entrepreneurs - staff, students or alumni, present their ideas to an experienced audience
drawn from commerce and industry. Presenters typically have a range of strategic issues
with which Strathclyde 100 can help, from providing mentoring and advice to identifying
possible sources of funding. An important part of the entrepreneurial community at
Strathclyde s100 members provide a supportive network for aspiring entrepreneurs and
provide a useful testing ground for business ideas.            For more information visit
http://www.strath.ac.uk/s100

Enterprise Matters is a new publication designed to
inform key members of Strathclyde’s entrepreneurial
community of breaking news and enterprise activity at the
University     of   Strathclyde,   ultimately    celebrating
entrepreneurial success on a University-wide basis.
Published monthly the publication has a small circulation
of around 500.
The objective of the Commercialisation Champions
Programme is to stimulate commercial activity through
the strategic matching of University IP with the talents and
expertise of members of the ‘Entrepreneurial Community
at Strathclyde’. The programme aims to attract and
engage entrepreneurial alumni (as individuals or in
teams) and make available a predetermined selection of
IP for them to select commercial opportunities which ‘best fit’ the individuals / team’s
competences. Upon engagement the individual/team will present a proposal setting out their
commercialisation strategy including routes to market, product development plans, team
skills, milestones and budgets. The champion(s) would then develop the commercialisation
plan within a given time period. Each project would be evaluated on its own merits and
(upon      commencement)       at    predetermined.          For more information     visit
http://www.essential.strath.ac.uk

Case Study 2: Technology Talent Initiative
The ‘Technology Talent Initiative’ aims to partner pre spin-out technologies with experienced
chief executives who have the skills and expertise to lead a technology based company
through the start-up process. The fund is used to recruit and pay for chief executive
designates to work alongside academic researchers for a period of six months to shape and
implement strategy whilst providing seasoned industry expertise to assist in the pre-
commercialisation phase. The £550 000 fund has been partially made up of support from
ERDF and Scottish Enterprise Glasgow, with the aim of increasing the number and the
survival rate of University spin-out companies.
PSI Electronics, a Strathclyde spin-out from the department of Electrical and Electronic
Engineering made use of the initiative to hire in a former PriceWaterhouseCoopers
consultant, who had been identified, by R&I, as having the necessary ‘skill set’ to lead PSI.
As CEO designate he brought commercial expertise to the team and used it to raise funding
required to start trading. With the CEO designate in place PSI became a professional

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efficient business and had a team focussed on meeting their immediate objectives. To date
there have been five CEO designates attached to potential spin-outs at the University of
Strathclyde under the initiative.

Interface with Business Community
The University of Strathclyde has a long tradition of interactions with the private sector,
dating back to its formation in 1796 as a technical college with the aim of providing a skilled
workforce for local businesses. Throughout its evolution in has maintained this ethos and is
therefore inherently outward-looking with an entrepreneurial culture which is deeply rooted in
the University’s faculties and departments. The University of Strathclyde engages with the
business community through a number of key networks, initiatives and projects:
Knowledge Transfer Partnerships enable the University of Strathclyde to apply its wealth
of knowledge and expertise to important business problems. Knowledge Transfer
Partnerships are Government funded and enable UK businesses to benefit from the wide
range of expertise available in the UK's 'Knowledge Base' - higher education institutions,
further education colleges, and private and public sector research organisations and
institutes. The University of Strathclyde is host to the West of Scotland KTP which has
played a major role in establishing 156 KTP projects over the last 10 years (94 at
Strathclyde). For more information visit http://www.ktp.strath.ac.uk
Connect is Scotland’s leading technology-business network. It brings together experienced
entrepreneurs and business angels, business professionals, venture capitalists, aspiring
entrepreneurs and entrepreneurial academics all passionate about building technology
businesses. Launched in 1996, Connects activities have been channelled into helping
emerging technology companies become investor-ready and facilitating the transfer of
technology      from     the      science     base    to     new     and     existing    firms.
For more information visit http://www.connectonthenet.com
The main aim of the Strathclyde University Incubator is to support young businesses and
offer help and advice where needed. By offering managed office suites the Incubator seeks
to create a supportive structure for new companies, to minimise the failure rate and
accelerate the growth of new companies in Scotland. In addition through the ‘UpStarts’
programme it has developed a means of encouragement for the transfer of technology out
into the commercial world from academic institutions. For more information visit
http://www.suiltd.com
Formed in 2003 in partnership with the University of Glasgow, the University of Strathclyde
and Scottish Enterprise, the Kelvin Institute works closely with various partners to identify
research projects on which new commercial products and technologies can be based.
University researchers collaborate with in-house experts and combine academic knowledge
with commercial development standards and processes to create products that can be
licensed to partners or support the generation of new spin-out companies.

Business Creation
Spin outs
Research and Innovation is responsible for the spin out companies at the University of
Strathclyde and have assisted in over 35 since inception including such companies as
Optosci Limited, Safety at Sea Limited, PSI Electronics Limited, Cascade Limited (see Case
Study below) and PAL Technologies Limited.
Visit http://www.strathclydetechnology.com/Spinouts/SpinoutCoIndex.htm
The University’s support for commercialisation includes the provision of professional advice
and access to early stage finance for technology development, and the transfer of knowledge
through consultancy, licensing and company formation. The University currently has a target
of five successful spin outs each year and intend to increase the University’s income through
successful commercialisation of research discoveries.


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Alumni / Students starts
In addition to academic related start ups a number of student and graduate entrepreneurs
have started their own companies. Stimulated by the entrepreneurial spirit and environment
that transcends the University students can access a comprehensive support network of
advice, funding and incubation.
Many of these individuals have been receiving advice and assistance from the ‘essential’
Strathclyde Entrepreneurial Network’s Knowledge Transfer Practitioner. The ‘essential’
project has strengthened the University’s commitment to entrepreneurship and enterprise
creation. Since its inception in April 2005 the new project has assisted alumni, staff and
students in 14 start-ups

Building an Entrepreneurial Culture
An ‘entrepreneurial’ University is one in which a culture of enterprise flourishes and
permeates throughout the organisation. At Strathclyde the University’s senior officers
encourage creativity and innovation in teaching and research, and demonstrate their
commitment to ‘entrepreneurship’ by incorporating it into the Universities strategic aims and
then commit resources to deliver it. The strategic plan highlights the University’s
commitment to “playing a leading role in developing entrepreneurial skills”, and
“places considerable importance on such factors as innovation and
entrepreneurship”.
Strathclyde has a long tradition of interactions with the private sector, dating back to its
formation in 1796 as a technical college with the aim of providing a skilled workforce for local
businesses. Throughout its evolution in has maintained this ethos and is therefore inherently
outward-looking with an entrepreneurial culture which is deeply rooted in the University’s
faculties and departments.
Strathclyde demonstrates its ‘Community of Entrepreneurship’ through the holistic wheel set
out below. This diagram has the ‘essential network’ as the hub and an internal (to the
University) ring of interfacing networks, departments and initiatives (of which each could
become the hub). Finally an outer ring of external support including banks, VCs, Scottish
Enterprise, Proof of Concept, and Chamber of Commerce completes the community.




            University of Strathclyde’s ‘Community of Entrepreneurship’



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The Hunter Centre for Entrepreneurship was created in 1996 as the Strathclyde
Entrepreneurship Initiative, they have now become a world-class player in the teaching of
entrepreneurship and continue to develop and innovate in education, research, and
outreach.
In February 2000, Sir Tom Hunter, entrepreneur and alumnus of the University, donated 7
million Euro to Strathclyde University to accelerate entrepreneurship education. In
recognition of the gift, the Strathclyde Entrepreneurship Initiative was renamed the Hunter
Centre for Entrepreneurship @ Strathclyde. The centre offers both undergraduate and post
graduate courses in technology entrepreneurship, new business creation and enterprise and
IT. Students studying non-related courses, such as design manufacturing, are encouraged
to take modular entrepreneurial electives to compliment their core programme of study.
The Hunter Centre also deliver a ‘Supercoaching’ programme This is an intensive workshop
designed for individuals involved in the practice of economic and business development and
for the professional advisory staff who work with and advise entrepreneurs, pre-investment
businesses, start-ups, early stage companies and SMEs going for second round / expansion
funding. To date, over 200 first-time entrepreneurs have been successfully coached with the
Supercoaching system in the US, Finland and Scotland. For more information visit
http://www.entrepreneur.strath.ac.uk
The Student Entrepreneurial Network (SEN) is a student run organisation, designed to
encourage students to think about and develop entrepreneurial skills. The Network is
dedicated to providing Strathclyde students with the entrepreneurial skills, resources,
knowledge and mindset needed to start-up their own business or to secure a great graduate
job. SEN organises a ‘Celebration of Entrepreneurship Day’ and are actively involved in the
promotion and delivery of the Scottish Institute for Enterprise’s ‘National Business Plan
Competition’. A local competition is open to both undergraduates and graduates and the
winners are put forward to the National Competition. For more information visit http://www.e-
sen.co.uk
Entrepreneurship education, through the work of centres throughout Scotland, like the Hunter
Centre, has gained a foothold within the academic community, with elective modules and
masters degrees being offered.        Research into ‘academic entrepreneurship’ continues to
shed light on the opportunities and problems faced by the teaching community at
Strathclyde.
It is anticipated that the award of the RSE fellowship programme will make a significant
contribution to supporting academics with their progression into commercial enterprise.

Regional Policy Development
It is worth outlining the funding landscape upon which the University of Strathclyde has
developed its strategy toward Knowledge Transfer. In Scotland, there has been a number of
recent relevant policy reviews, including a joint review by Scottish Enterprise and SHEFC on
Knowledge Transfer, and the Scottish Executive’s Higher Education Review. Policy advice
from independent organisations has included, including reports from Technology Ventures
Scotland and a report on Knowledge Transfer by the Scottish Science Advisory Committee
(SSAC).       All recognised the need for increased mutual activity by universities and
businesses, and propose a variety of actions and additional support measures.
Public support in this area has grown considerably. A “pipeline of support” which provides
targeted funding to the areas where pump-priming is needed, and increased funding through
SHEFC’s knowledge transfer grant has enabled universities to develop commercialisation
activity. The KT grant budget has increased from £9.5m (04/05) to £12.5m (05/06).
Scottish Enterprise has also established three Intermediary Technology Institutes (ITIs) with
budgets of £15 million per year each over the next 10 years. These will commission research
into market-focused technologies that can be exploited by a wide range of Scottish
businesses. Other promising initiatives include ‘interface’ a web-based databases


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showcasing areas of commercial (IP) activity by universities which may be of interest to
business.
Survey evidence of commercialisation activity by higher education institutions suggests that
these policies and funding are having a positive impact. The annual UK survey of Higher
Education-Business Interaction has shown in each of the last three surveys that Scotland’s
commercialisation activity is generally much more intensive than would be expected on the
basis of its population. Thus in 2002-03, Scottish higher education institutions filed 212 new
patent applications, 17% of the UK total; had 69 patents granted, 19% of the UK total; and
executed 131 licences, 17% of the UK total. Other studies suggest that the efficiency of the
commercialisation process in Scotland is competitive with that in the USA when the value
realised from this activity is compared with the investment made.
It is worth noting that the landscape of Scottish Higher Education funding is changing with
the Further and Higher Education Bill. The main purpose of the Further and Higher
Education (Scotland) Bill was the merger of the two funding councils - Scottish Higher
Education Funding Council (SHEFC) and the Scottish Further Education Funding Council
(SFEFC) - to create the Scottish Further and Higher Education Funding Council (SFHEFC).
The Bill created a single body in October 2005 that has a duty to provide ‘coherent strategic
decision making’ at a National level covering both sectors.

SWOT Analysis – Research and Innovation

 Strengths                                     Weaknesses
            Quality staff with expertise,               Profile : internal and external
            experience and commitment                   IT systems
            Healthy relations with                      Marketing, including packages for
            academics and business                      commercialisation opportunities
            community
            Department structure meets
            current and future needs of
            stakeholders


 Opportunities
                                              Threats
            Raise profile / reputation with
                                                    Reduced stream of future royalties
            key stakeholders
                                                    Over reliance on large single funding
            Increase in third-stream
                                                    sources
            activities, including knowledge
            transfer
            Access to finance (Investment
            community)



Perspectives
Research & Innovation at the University of Strathclyde faces a number of challenges which it
must meet to ensure its continued competitiveness in the global economy in research and
knowledge transfer. The University is currently coming to the end of its five year strategic
plan 2003 – 2007, and is developing a new strategic plan to build upon the strengths of its
research performance, its entrepreneurial culture and its knowledge transfer activity.
With the next UK-wide Research Assessment Exercise (RAE) expected to take place in
2007, the University is working hard to ensure that every area of research being submitted to


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the RAE will have attained the equivalent of a rating of 5 or above on the previous (2001)
RAE scale.
To complement the cutting edge research coming out of the University the knowledge
transfer activity continues to grow and develop, with a number of innovative projects created
to stimulate commercial engagement. This third steam activity has become an integral part
of the university’s strategy and senior management are committed to exploring innovative
ways of exploiting university knowledge whilst raising the profile of the Universities research.




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 CHAPTER 7 POLITECNICO DI TORINO, ITALY
Profile of the University
"Politecnico di Torino" is a Technical University based in Piedmont region, in North West of
Italy. With the historical name of "Regio Politecnico di Torino" (Royal Turin Polytechnic) it
was founded in 1906 (on the ground of the School of Application for Engineers founded in
1859 at the Valentino’s Castle in Torino). The main site of Corso Duca degli Abruzzi in Torino
was opened in 1958.
In the last ten years new teaching campuses were opened: Alessandria, Aosta, Biella, Ivrea,
Mondovi' and Vercelli.




Vercelli is the location of the 2nd School of Engineering. 1st, 3rd (Information Technologies)
and 4th (Management and Industrial Engineering) Schools of Engineering and the Graduate
School are based in the main site of Torino.
"Engineers" and "Architects" are the professional figures at the "Politecnico di Torino". The
range of studies spans: information technology, electronics, telecommunications, electrical
engineering, automation, energy, environment and land, space and aeronautics, physics,
mathematics, mechanics, chemistry, science of materials, architecture and building,
industrial design, transportation, production systems and enterprise economy.
"Politecnico di Torino" is the historical "school of engineers" in Italy and its ranking is among
the highest in Italy (4th, according to the 2006 Report of CENSIS on Schools of Engineering
in Italy: Politecnico of Milano=99, Genova=98.6, Pavia=98.4, Politecnico of Torino=97.6) and
one of the most important Technical Universities in Europe.
The "Politecnico di Torino" has 26000 students studying on 120 courses: 39 at 1st level (3
years); 35 at 2nd level (5 years); 30 Doctorates and 18 specialisation courses. In the
academic year 2004/2005 the Politecnico had around 4000 new students in the first year; in
2004 over 2000 students graduated with a Bachelor’s Degree (3 years) and over 2300 with a
Master of Science (5 years). Each year, between lectures, laboratories and practical
exercises there are 170000 hours of teaching.
There is a staff of over 890 lecturers and researchers, and around 800 administration staff.
There are 6 Schools, 1 Graduate School, 18 Departments and 7 Interdepartmental Centres.
In 2005 the annual budget was 223 Million Euro (118 Million Euro coming from National
Government).


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The (published) mission statement of "Politecnico di Torino" can be summarized: "… is a
public University independent from any religious, ideological and political orientation … at the
foundation of its activities are: production, attraction and diffusion of knowledge; its goals are:
high education and scientific-technological research … in particular supports the creation of
new qualified jobs … also by means of experimental new entrepreneurship in high-tech
market sectors; promotes basic and applied research and related technology/knowledge
transfer. … 'Politecnico di Torino' coordinates and develops excellence projects at national
and international level."

Research Profile
"Politecnico di Torino" is a "research university" with a balanced attention to basic and
applied research. It has 18 Departments and 2 centers of the National Research Council
(CNR) on dynamic of fluids and in ICT (CSDF - Centro Studi sulla Dinamica dei Fluidi, IEIIT -
Istituto di Elettronica e di Ingegneria dell'Informazione e delle Telecomunicazioni).
Key subject areas of research are: Computer Science and Automation, Electronics, Electrical
Engineering, Energy, Aeronautic and Aerospace Engineering, Town and Housing, Material
Science, Chemical Engineering, Physics, Territory Engineering, Environment Engineering,
Geotechnologies, Mathematics, Mechanics, Urban Sciences and technique, Architectural
Design, Industrial Design, Construction Engineering, Structural Engineering, Hydraulic,
Transportation and Infrastructures, Production Systems and School of Management.
"Politecnico di Torino" is also a member of several research institutions and consortia:
- CINECA (Interuniversity Consortium, made up of 28 Italian universities, the National
Research Council, and the Ministry of University and Research. It is the largest Italian
computing centre, one of the most important worldwide)
- ISMB - Istituto Superiore "Mario Boella" (Center of Excellence for Research in ICT)
- Si.T.I. - Istituto Superiore sui Sistemi Territoriali per l'Innovazione (Center of Excellence for
Research on local systems as competitive factors in innovative enterprises)
- COREP - Consorzio per la Ricerca e l'Educazione Permanente (Consortium with a twofold
mission: lifelong education and technology transfer - innovation).

Distinctive features
"Politecnico di Torino" has a long tradition on the automotive and industrial design based on
many years of historical relationship with the car manufacturing (e.g. FIAT's headquarters are
in Torino). "Politecnico di Torino" has a strong programme about internazionalization and is a
member of ECIU (European Consortium of Innovative Universities). This consortium was set
up in 1997 to form a new continent-wide network, to share and build on their successes as
entrepreneurial institutions.
"Politecnico di Torino" has a strong reputation in the capability of building good relationships
with industry. This "distinctiveness" has been demonstrated by several initiatives:
•        "Cittadella Politecnica" the extended campus of the university where several
companies has installed their research & development departments (e.g. Motorola, General
Motors)
•       ILO (Industry Liaison Office, a joint project with University of Torino and University of
Piemonte Orientale)
•       I3P (Politecnico di Torino’s Innovative Enterprise Incubator)
•       Torino Wireless (a Foundation which mission is to create and support the
technological cluster favouring the synergy between public and private players in research,
entrepreneurship and finance).




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Policy towards Knowledge Exploitation
The typical process for protecting research results at Politecnico di Torino is:
Every innovation / result arising from the research of University personnel (professors,
researchers, doctoral students) is owned by the University (for 1 year, in case inventors
leave the University):
    • The "inventor" submits a "disclosure" to the academic "patent commission" that is in
        charge for any decision regarding patents.
    • The "patent commission" is composed by 4 members: they are recognized experts in
        the field of Intellectual property management; 2 of them are from the University, 2 are
        external experts selected by the Dean (or President)
    • The "patent commission" agrees to the patent application (if not the "inventor" has the
        option to pursue a patent personally)
    • the "inventor" is always recognized as the author of the patent
    • the revenues arising from commercialization are split: 50% to University
(10% to Department, 40% to central administration) and 50% to "inventor(s)".
For spin-offs, there is another dedicated Commission that decides about setting up and
participating in new high-tech companies, with or without a University patent.

Implementation of Knowledge Exploitation
The Piedmont University system is undergoing a profound transformation that will overcome
the classical dilemma: "open science" vs "commercial exploitation of research". This old
dilemma was also based on a deep separation between
• Universities concentrating on developing "talents", publications as research outcome,
exclusive mission of basic research
• Companies concentrating on developing technologies, patents and products as research
outcome of applied research.
The "new university" will be based on industry liaison programs, research contracts, lifelong
education, consortia participating at EU research programs, co-patenting and patents
management, technology transfer programs, spin-off, incubators. We call this a "spanning
university".
In order to establish a streamlined process from academic research to the "market", a
technology transfer process has been defined at "Politecnico di Torino" and its
implementation is addressed through a strategic project via the ILO (Industry Liaison Office).
The main steps of this process are:
    • Collection and promotion of all academic research activities
             o setting up of a database (updated every 6 months, at least) containing a
               description of all research groups activities
             o publication on the Internet of the non-confidential part of the database
             o continuous update and maintenance of the database
    • Promotion of Intellectual Property Management culture
             o customized seminars for researchers and academic personnel
    • Patenting support
             o support researchers in Prior-Art searches
             o coordinated management of patents portfolio
             o commercialization of patents, market monitoring
    • Spin-off creation support
             o scouting of ideas and technologies
             o tutoring and mentoring of new companies
             o incubation
    • Spin-off support in dealing with seed / venture capital
             o financial strategy definition for new high-tech companies

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    •   Entrepreneurship Education
           o courses and collaboration about required skills for startups
           o university masters in entrepreneurship
    •   Promotion of university tech transfer and innovation capabilities
           o Web site management
           o newsletter
           o commercial contacts with external companies
           o technology brokering of research results and competencies
    •   Support in participating to Calls for research funding (national and EU)
           o diffusion of information about national and EU programs
           o identification of source of financing
           o support in preparing / negotiating projects
           o partners search
           o workshops and courses organization
           o support of potential international partners
    •   Innovation support to companies
           o integration with the Italian chamber of commerce system
           o stages and selective insertion of young PhDs into companies in need of
               innovation
           o innovation projects
           o funding search support
    •   Technology transfer education
           o negotiation tools for technology transfer
           o technology transfer in EU programs
           o commercialization / promotion of technologies
           o knowledge management.

Case Studies and Distinctive Initiatives
The Incubator
In the area of technology transfer the main distinctive initiative inside the campus is the
Incubator: I3P (Innovative Enterprise Incubator of the "Politecnico di Torino"). It is a non-
profit company, created by the "Politecnico di Torino", the Province of Torino, the Chamber
of Commerce of Torino, Finpiemonte, Torino Wireless Foundation and Turin Municipality in
order to promote the creation of new enterprises by taking advantage of the creative potential
developed in the research centres on the territory.
I3P consists of equipped premises able to host new enterprises during their initial take-off, for
a maximum of 3 years. I3P provides essential, centralised services, management
consultancy, visibility in the external world and on the market, and a culturally stimulating
environment, all at a convenient price.
Access to I3P is reserved for newly-established companies which have existed for less than
1 year. To enter the Incubator, the enterprises must demonstrate that they are able to
develop knowledge-based projects, on an entrepreneurial basis and which are deemed
interesting for the market.
I3P's activities can be placed within a global strategy for the Piedmont territory aimed at
sustaining new entrepreneurship, and which includes
• the MIP project (Starting your own business) of the Province of Torino,
• the "Create a Business" service of the Chamber of Commerce and
• the activities of the incubators of the Science and Technology Parks and the University of
    Torino.
The mission of I3P is to encourage and give support to the creation of new enterprises to
students, young graduates and the staff of the "Politecnico di Torino", the University and the
various research centres in Piedmont, by offering assistance in their start-up years.


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The motivating hypothesis at the basis of I3P is the will to generate new knowledge-based
entrepreneurship which can draw benefit from the close relationship held with the
"Politecnico di Torino" and the ability of the Incubator to catalyse, stimulate and assist cutting
edge project initiatives. The main results of I3P can be summarized as:
- 73 hosted enterprises
- 32 successful enterprises that have completed their incubation period
- 16 new enterprises are going to be incubated by the end of 2006
- more than 350 employees have worked, to date, for I3P's hosted enterprises
- 350 aspiring entrepreneurs have attended the pre-incubation courses.
There are also many good "case examples" of interactions between "Politecnico di Torino"
and external companies:
• the Research Centers of General Motors (General Motors Powertrain Europe) and the
    Motorola one, both based into the university campus ("Cittadella Politecnica")
• Istituto Superiore "Mario Boella" (ISMB) one of the largest research centers in Italy,
    concentrated on Information and Communication Technologies, founded in 2000 by
    "Politecnico di Torino", with financial support of "Compagnia di San Paolo", with
    participation of Motorola, SKF, STMicroelettronics, Telecom Italia.
    ISMB has 240 researchers in the fields of fotonics, wired/wireless communications,
    electromagnetic compatibility, e-Security, satellite applications to mobility,
    nanotechnologies and microelectronics. Shared labs are active with companies like:
    Accent. Alcatel Alenia Space, Sendia (Los Angeles), STMicroelectronics. International
    cooperations are ongoing with University of Illinois Chicago, Berkeley University,
    Anderson School of Management - University of California, Universidad Politecnica de
    Catalunia, Ecole Polytechnique Losanna.
ISMB strongly support entrepreneurship and new high tech startups together with partners in
innovation like: Torino Wireless Foundation, I3P (Incubatore Imprese Innovative del
Politecnico di Torino), ITP (Investimenti Torino Piemonte).
At the time of this report (November 2006), there is also an agreement about a possible
establishment of a Microsoft research center at "Politecnico di Torino".

Interface to the business community
"Politecnico di Torino" has a long tradition of dealing with industry at national and
international level. In 2005 more that 700 research contracts has been signed with extrernal
partners. One of the main institutions dealing with external companies and the business
community is COREP: it is responsible for the deployment of project DIADI (Diffusion of
Innovation in Area of Industrial Decline) that, by monthly workshops, supports SMEs in the
area of Innovation.
One of the most recognized event at national level is the "StartCup" competition that every
year take place in Torino in order to present to the business community the best ideas and
technologies that can be at the base of new innovative enterprises.

Business creation

The "Enteprise" subsystem in the Torino Area has been determined by the interaction
between 2 main tendencies: internationalisation and growth of tertiary sector. The first is
linked to the exports in sectors like: mechanical, chemical, foodstuffs and car industry. The
second is the key to the economic boom of the area at the time when the agricultural and
manufacturing sectors are being rationalised. Tertiary sector growth was concentrated mainly
in the areas of finance and business services to the detriment of traditional sectors like: car
industry (the FIAT "ecosystem"), transport and distribution. In this transformation, businesses
are increasingly supporting the technological development of the Torino Area. This is based
on public/private research centers, funding for research and development in innovation.


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In total, nearly 5200 businesses work in the ICT sector and more that 30% of exports are
high-tech.
The players contribute in different degrees to the development stages of the Enterprise
Creation Process:
- Orientation (higher education institutes)
- Scouting (research institutes)
- Business Planning (pre-incubators)
- Early Stages (incubators)
- Development (accelerators, tech-science parks)
- Consolidation (industrial areas).
In the preliminary stages, public institutions interested in economic and industrial growth
predominate, whilst in the final stages private players are increasingly more active.
Several actors are involved in the main stream of this process:
- I3P (Politecnico di Torino's Innovative Enterprise Incubator)
- Torino Wireless Foundation
- Science and Technology Parks.
In the Piedmont Region there are 5 ST Parks:
        - 3 located in the Torino Area
                - "Environment Park",
                - "Virtual Reality & MultiMedia Park",
                - "BioIndustry Park"
        - 1 near Lake Maggiore
                - "Technology Park of Lago Maggiore" and
        - 1 in Scrivia Valley
                - "Science, Technology and Communications Park of Valle Scrivia".

Building an entrepreneurial culture
A truly "Entrepreneurial University" should properly implement the "Third Mission" by creating
new enterprises (in addition to the research and education missions). In this "Third Mission"
entrepreneurship should be the core competence transmitted to the students.
An "Entrepreneurial University" develops a specific curricula for research and didactic
activities in order to provide the basic knowledge and skills (legal, business, market) to young
potential entrepreneurs. Also it should provide the right opportunities to exercise
"entrepreneurship" in real-life new companies to students at with particular talents.
Given this definition, "Politecnico di Torino" probably is still seen as a "technical" University
where "entrepreneurship" is introduced as an add-on track alongside the other main
technical tracks. Significant actions address this transformation: specific structures have
been (COREP, I3P, ILO, etc.) and a multi-year Strategic Development Plan has been
designed:
1. COREP (Consortium for Research and Lifelong Education) operates as a tool to carry out
initiatives for the collaboration between universities, the world of production and services and
local public institutions in two prevailing areas of intervention: technology transfer and
innovation, high level specialist training. COREP is also in charge of COSMIS: a Master’s
degree for managers of social enterprises / cooperatives that, in 800 hours of lessons,
covers all the topics related to "entrepreneurship".
2. I3P (Politecnico di Torino’s Innovative Enterprise Incubator), its aim is to promote the
creation and development of innovative knowledge-based enterprises connected with
"Politecnico di Torino" and delivers many pre-incubation courses to potential entrepreneurs.
3. ILO (Industry Liaison Office) is a new dedicated structure of the 3 Piedmont Universities
with the goal of reinforcing the connections with industry and services by offering to
researchers/professors: patenting support, marketing of research results, promotion of joint
and commissioned research, spin-off creation.

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To support the teaching of entrepreneurship, the 4th School of Engineering was founded in
2002. It stemmed from the experience gained in the University’s "Vilfredo Pareto" School of
Economics and Management.
Like the school from which it originated, the objective of the 4th School is to prepare
professionals for Management Engineering. There is a teaching staff of 55 which includes
engineers, economists and specialists in management who are of high standing in the
scientific community and have a strong teaching background. The School offers around 76
courses attended by 2,100 students.
The Management Engineer is a professional whose competence in the fields of technology,
economics and management puts him or her in a position to fully understand the complexity
of the factors which determine competition between companies and to contribute to their
growth.
The follow-up study on the careers of Management Engineering graduates from the
"Politecnico di Torino" found that 30% had found work in management consultancy, 37% in
industry, 15% in ICT and media, 5% in research, 5% in banking and insurance, and the
remaining 8% in other sectors.
This area has a growing success among students and interest by the external market /
enterprises thank to a strong integration between technology areas and management /
economy areas. The faculty collects also suggestions from external enterprise by means of a
Consulting Committee where major companies are represented.The 4th School also
introduced several "entrepreneurship" modules in courses of the other faculty / technical
degrees and, in collaboration with I3P Incubator, a formal pre-incubation course in
"entrepreneurship" was defined for the new companies / spin-off that are going to be installed
in the incubator.

Regional context
Profile of the Piedmont region and Torino
Piedmont Region is one of the most developed areas of Italy producing about 106 Billions
Euro (8,5% of national GDP).
There are about 407.000 active companies in several sectors:
Services                      44,0%
Industry                      25,7%
Commerce & Tourism            23,0%
Construction                  5,4%
Agriculture                   1,9%
Areas of excellence are: automotive, textile, food.
The export balance is positive with more than 30 billion Euro and a strong projection toward
international markets (67% of export is in Europe and most in France and Germany). One
area of excellence that is recognized all around the world is the wine production at maximum
quality level (DOCG) with more that 180 Million of litres per year. In the last 20 years there
has been a change from industry to services in all areas of Piedmont region (with exception
of Biella town area). Unemployment is at 5,3% (Italy is 8%). There is also a change in the
kind of employment and contracts type towards more flexible contracts and with a growing
presence of workers from East Europe. Piedmont territory is equally divided in mountains,
hills and plans and contains 1206 towns ("comuni") (Italy total "comuni" are 8101), but more
than 600 of them has less than 1000 residents people.




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Piedmont population (in thousands)




Total population is about 4,2 Million of people and is growing thanks to immigration from
abroad. Average age is higher than Italian national average.
Piedmont Region strategy on Innovation
Piedmont Region’s government has developed a strong action program in Innovation by
assigning a dedicated budget (240 Million Euro in 3 years: 2006-07-08) and by establishing a
ministry/council-member dedicated to Innovation Policies, University and Research. This
budget is now funding the regional law on research based on three parallel actions on
Piedmont Universities:
• pre-competitive research,
• technology-transfer (research-contracts, licensing and spin-off) and
• high-education.
"Politecnico di Torino" and COREP (Consortium for Research and Continuing Education) are
at the core of the Torino Area in Piedmont Region, and are among the main actors in the
deployment of these regional strategies.
The innovative approach of our region is also demonstrated by the fact that Torino Area,
together with Alpes Maritimes (France), City of Berlin (Germany), Helsinki Region (Finland),
Southern Sweden (Sweden), is inside the network Highest (a group of regions sharing a
specialization in ICT sector). Highest is one of the 5 networks grouping 22 Areas of
Excellence selected as Innovative Regions by the pilot action Paxis of the European
Commission in the frame of Innovation and SMEs Programme.
I3P (Politecnico of Torino’s Innovative Enterprise Incubator) is the coordinator of the network
Highest.
In the Torino Area, for the creation of new enterprises, 3 subsystems are involved: Higher
Education, Research, Enterprise.
• The "Higher Education" subsystem concerns the capacity of the area to produce
    adequate human resources
• The "Research" subsystem is an indicator of innovative capacity
• The "Enterprise" subsystem concerns the cultural tradition of entrepreneurship.




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These are closely tied to the political and socio-economic system which inevitably affects
each of the 3 subsystems:




The "Higher Education" subsystem includes: "Politecnico di Torino", University of Torino
and University of East-Piedmont, Business Administration School, FIAT Training Center
(ISVOR), International Labour Office (ILO) International Training Center (for the training of
UN officials), European Training Foundation.
The "Research" subsystem includes: Politecnico di Torino's Laboratories and University
Laboratories, FIAT Research Center, Istituto Superiore "Mario Boella" (ISMB, Research on
ICT), Research Institutes of CNR (National Research Council), "Giovanni Agnelli" Foundation
(Research in the fields of human-social sciences), Telecom Italia Laboratories (TILAB)
(Innovation in ICT), CSP (Center for Innovative Information and Networking Technologies),
RAI Research Center (Laboratories of National Television company), ENEA Energy
Research Center (Research into alternative energies),Istituto Elettrotecnico Nazionale
“Galileo Ferraris” (electronic and technical research), RTM Institute (Research in mechanical
technologies).




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Self-Assessment SWOT

Strengths                                    Weaknesses

        •   strong tradition of research         •
                                                only a few years of experience in
        •   open to external companies          knowledge transfer
        •   over 100000 young students       • not yet defined coordination
            in the Torino area                  structures      dedicated       to
                                                Knowledge Transfer
                                             • not well defined national legal
                                                context for IP
                                             • missing      tax  incentives    for
                                                business angels
Opportunities                             Threats
                                                • too many actors not willing to
      • investments at regional level               cooperate
      • focus on R&D in automotive,             • separation between political
         ICT                                        level and operational level in
      • good research results coming                the area of research and
         out of universities                        innovation
      • Industry Liaison Office as a
         good opportunity for triggering
         a "network effect" among all
         entities involved in KT
      • very powerful environment full
         of skilled persons with many
         years      of   experience    in
         international companies



Perspectives
The main conclusions from this short report and from the SWOT analysis with regard to
"Politecnico di Torino" (PdT) are:
• PdT is one node of a complex regional network with regard to KT
• KT functions are embedded inside each University
• PdT (and COREP) is one of the main actors for implementing the regional policies in KT
    and is playing a key role in the ILO (Industry Liaison Office) project (scientific
    coordination
• Knowledge Transfer is one of the top issues in all Universities' agenda
• PdT has strong partners like COREP, I3P Incubator and Torino Wireless Foundation that
    could help in supporting the PdT's KTO and in general as business accelerators
• PdT now has put "entrepreneurship" on the top of the agenda in education
• PdT participates in I3P Incubator and in all Tech Parks of the region
• The ILO project could be the enabler for "triggering" the "network effect" among all actors
    involved in KT at regional level.
Indeed one of the first step toward this "network effect", that is, the new kind of collaboration
in KT among all "nodes", will be to design a "process" that, while maintaining the autonomy
of each node (e.g. the KTO in each University), will activate useful synergies and fruitful
cooperation. This is set out below:


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Here the starting step will be to collect all "Research Activities" in a common repository (Data
collection: first step). This will give the opportunity of presenting a "single" window about the
"Research in Piedmont region" to the public and also a single pick-up point for the second
step: the Evaluation. Here a pool of experts will provide to the KTOs useful reports ("Prior
Art" search, technology and market potential, etc. The reports prepared by the pool of
experts will enable much better informed decisions in the third step: the Decision. Here the
official bodies (Patent commissions, Spin-off commissions, etc.) will take the proper actions
for bringing innovations to the market.
The chart giving an "outlook" into the future could be as the following:




Where the above mentioned "network effect" is in place.




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 CHAPTER 8 UNIVERSITY OF TWENTE, THE NETHERLANDS
Profile of the University
The University of Twente (UT) was founded in 1961 and is the only
campus university in the country. The campus offers an                     In 2005 the UT
environment in which the academic and personal development as                  offers:
well as the entrepreneurial senses of the UT-students are actively
stimulated and facilitated. Organised under the all-encompassing         •      19
Student Union students themselves are responsible for the                   Bachelor’s
management and governance of all the campus facilities. Founded
                                                                            programmes
in 1999 and being the only organisation of its kind in the
Netherlands. Currently some 7700 students and almost 100 student organisations are
affiliated. The Student Union is also actively involved in the stimulation of student
entrepreneurship (see www.use.utwente.nl).
The figures show that almost 2.000 first-year students arrived in 2005. The total staff number
sums up to 2388 FTE, of which 1400 FTE scientific personnel. Not included in this number
are 732 PhD students, active in various research areas. The UT is profiling itself5 as an
entrepreneurial research university with a focus on technological developments in the
knowledge society. Mindful of the responsiveness this knowledge society requires from an
university and the UT’s special responsibility for designing and implementing a sufficiently
broad knowledge potential in the science and technology sectors, the UT aspires to establish
a single Federation of Technical Universities (3TU) in The Netherlands by 2010.
The 3TU must be able to operate powerfully and decisively at the national and international
level. Within the 3TU, the UT focuses on education of excellent quality, on research of a
recognised international level – resulting in top-level research in several areas – and on
the derived valorisation activities that encourage the economic and social development of
the UT’s environment, particularly the north-eastern Netherlands, Twente and the Euregion.
Based on the interrelationship of social and technological innovation, the UT’s special
character manifests itself in strategic public-private networks and in a campus where
academic training takes place.

Research profile
Research at the UT is of a recognised – leading – international level and
• Contributes to fundamental technological and
   social innovation by its unique combination of        The UT concentrates its research in six
   experimental and design-oriented technical            so-called Spearhead Institutes:
   research and research in social and behavioural
   science focusing on the implications of               • MESA+, Institute for
   technological innovation and the development of           Nanotechnology;
   the knowledge society
                                                         • BMTI, Institute for Biomedical
• Is multidisciplinary, rooted in disciplinary
   knowledge domains                                         Technology;
• Is organised in a limited number of powerful,          • CTIT, Centre for Telematics and
   internationally oriented research institutes
                                                             Information Technology;
• Is performed in close interaction with public and
   private players in society                            • IMPACT, Institute of Mechanics,
• Offers opportunities for the development of new            Processes and Control Twente;
   and potentially promising fields.
                                                           •   IGS, Institute for Governance
Distinctive features                                           Studies;
Knowledge valorisation and the stimulation of              •   IBR, Institute for Behavioural
academic entrepreneurship are important features of

See the UT Institute Plan 2005-2010 (p. 3)

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the UT policy. The UT’s structure for Knowledge Transfer and knowledge valorisation is
illustrated below.

    UT’s external                                          University of Twente
   interface for KT
                                   KT                         Executive board
                                                            Professional support
      Knowledge park
        (incl. Business &                                      Innovation Lab
          Science park)                                          Legal advice
                                                               Financial advice

       BTC Twente                              Faculties                          Research institutes




                                                                          MESA+


                                                                                   BMTI


                                                                                           CTIT


                                                                                                  IMPACT


                                                                                                           IGS


                                                                                                                 IBR
                                  CTW    EWI    GW    TNW     BBT



         Oost N.V.

                                                              NIKOS
                                                                         Business accelerators


                                                                KT       KT       KT      KT      KT       KT    KT


Figure 1. The UT’s structure for Knowledge Transfer (KT) and knowledge valorisation
          (the size of the KT square does not refer to the contents or extent of the KT activities)

  The       UT     is       organised   in   five
  faculties:
  •     BBT, faculty of Business,
        Public Administration and
        Technology
  •     CTW, faculty of Engineering
        Technology
  •     EWI, faculty of Electrical
        Engineering, Mathematics and
        Computer Sciences
  •     GW, faculty of Behavioural
        Sciences

On central level, one of the members of the Executive Board is responsible for the
knowledge valorisation portfolio.
Legal and financial advisors can be consulted for all KT related activities.
The purpose of the Innovation Lab is to observe, monitor and manage the activties
happening at the decentralised level. This is expected to provide more structured and
systemized approach towards knowledge transfer..
The faculties and the research institutes are in practice intertwined in a matrix structure.
Knowledge valorisation and technology transfer at the UT are decentrally organised. Each
research institute has it’s own KV and TT structure for, and has an interface for dealing with,
these matters.
While the Innovation Lab monitors these KT activities centrally, three research institutes have
their own (i.e. decentral) business accelerator. Business accelerators are persons who fulfill,
for a certain (technological) domain, scouting and screening activities, patent strategy,
preparing business start ups, fund raising and similar activities. The UT research institutes

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set up Business Accelerators to put new products on the market at the accelerated pace by
means of specific support of entrepreneurial employees or by finding companies that will
market technological innovations. Matchmaking and specific business support are key
activities.

University of Twente’s policy towards knowledge exploitation
                                             6
Ownership of intellectual property
In 1996, the Dutch ownership of intellectual property Act was changed with respect to
inventions made by researchers in higher education institutions. Before 1996, the owner was
the inventor; since 1996 ownership has been with the higher education institutions.
The consequence of this is that only the UT can enter into arrangements to exploit the
Intellectual Property (IP) generated in the institutions. Further, the UT itself allowed to set
framework conditions regarding the ownership of IP; in general terms, there are three
different modes:
• IP generated via UT-financed research: in this case the UT owns all the rights
• IP generated in the framework of a (research) contract for a particular (large or small)
     company: UT can enter into a contract specifying who owns what and which party owns
     the right to exploit the IP generated from this contract. Often the company registers for
     the patent.
• IP generated in a research consortium: a research consortium formed to carry out a
     project under a European Framework Programme – the terms for exploitation are written
     down in a Consortium Agreement among the partners and at the end of the project the
     partners have to submit an exploitation plan. Most often, the results are co-owned by all
     partners, although exceptions are possible.
• In 2005 31 patents were registered.

Implementation of knowledge exploitation

KT process description
Scouting of ideas and screening of potential business opportunities represent the first stage
of the entrepreneurial process (see figure 5). Scouting and screening at the UT are fully
decentralized processes, executed at the level of research institutes. Business Accelerators
are established in three of them to provide structural commercialization. Scouting and
screening are the responsibility of a business developer. Coordination of these activities, as
well as of other aspects of knowledge valorisation from the centralized level, is executed by
the Innovation Lab.
KT processes occur both at individual level and institutional level. While business developers
focus on ideas with high potential on the research institution level, on inidividual level it is a
matter of self selection. Nikos supports ideas from individuals, both of high and low potential,
but of sufficient quality (e.g. via the TOP-programme (chapter 4)).


          (1) Opportunity               (2) Opportunity              (3) Opportunity
            Recognition                   Preparation                  Exploitation
           Scouting    Screening


Figure 5. The entrepreneurial process (with scouting and screening in the first stage)




6
    This paragraph is adopted from the OECD Self-Evaluation Report of Twente 2005 (par. 3.3.1)

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Nikos (Dutch Institute for Knowledge Intensive Entrepreneurship) is an expertise centre on
entrepreneurship that closely works together with the research institutes and the Innovation
Lab. The core activities of Nikos are:
• Researching entrepreneurship in networks
• Teaching entrepreneurship at the undergraduate and graduate level; supervising PhD
    students at the UT and foreign universities
• Consultancy services and training in the field of entrepreneurship to - primarily - high-tech
    firms
• Implementing business development support projects focusing specifically on knowledge-
    intensive entrepreneurship in new or established companies, universities and regions.
    Business development, e.g. via TOP (see chapter 4), KEB (Kansrijk Eigen Baas – Be
    successfully your own boss) and the activities together with the Innovation Lab. Also
    activities outside the UT are developed.
The UT participates in the Knowledge Park (see chapter 3). BTC Twente is an incubator,
located at the Knowledge park, offering office space and related facilities. BTC focuses on
knowledge intensive and high tech service companies.

Breakdown of research financing
Total university budget (in M€)                                   253,3          256,6   265,1
Ministry of Education grant (in M€)                               164,1          160,5   162,9
Tuition fees (in M€)                                              11,5           11,9    12,2
External funding (in M€):
        from secondary flow of funds (national)                   19,6           22,6    25,8
        from secondary flow of funds (international)              8,1            6,6     7,9
        from tertiary flow of funds (private)                     28,0           35,6    30,1
Sundries                                                          22,0           19,4    26,2

Knowledge transfer periphery7
Recent research commissioned by the Ministry of Economic Affairs and carried out by
TopSpin shows that the UT has realised the most spin-off of all Dutch universities. The
number two in the list has generated only half the spin-offs. The UT intends to intensify its
valorisation policy in the coming period to set itself apart as the most entrepreneurial
university in Europe. European and Dutch policy appeals to universities to promote
innovation and high-quality employment. Based on its mission and profile, the UT will
establish a three-track policy comprising the conversion of knowledge into business, the
encouragement of entrepreneurship among staff and students, and the establishment of a
Knowledge Park. This three-track policy clearly demonstrates that in the UT’s vision,
knowledge valorisation is much more than realising spin-offs.

Converting knowledge into business
The UT established a UT Innovation Lab for the conversion of knowledge in business.
Combining knowledge and experiences in the areas of intellectual property and knowledge
exploitation, the Innovation Lab is supported by the commercial branches of the UT institutes
and by the expertise available at central level. It also co-ordinates the two key tools that are
to contribute to the conversion of knowledge in business: encouraging entrepreneurship in
staff and students, and setting up the Knowledge Park. With the UT Innovation Lab, the
structure has been created to efficiently support the content-related activities ensuing from
the Technology Valley and to enable upscaling of successful practices to the national level.
The UT involves its partners in research wherever possible. The partners, in turn, will offer
UT the use of their facilities. An example is the T-Xchange Cell set up with Thales for co-



7
    This paragraph is adopted from the UT Institute Plan 2005-2010 (pp. 25-26)

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operation at various levels and in various core areas, including the exchange of staff. The UT
intends to set up several of these T-Xchange Cells in the period up to 2010.
Example of an innovation and development process accelerator
T-Xchange
Innovating the innovation process itself, the T-Xchange method enables industry,
government, the business community and research institutes to expedite and further explore
the innovation and development process.
T-Xchange approaches innovation and development processes in a unique way, challenging
the designer for out-of-the-box thinking processes. This approach involves the use of
scenario-based design, which means that no product or service exists yet, only a description
of a situation requiring a solution. By visualising these descriptions, as well as potential
solutions, you can start gaming to find the best solution.
VR technologies such as a semi-circular projection screen for 3D visualisations and desks
with tablet PCs are available in the new lab. The players’ moves are registered so that the
process can be monitored and adjusted where necessary.

Case examples of major and distinctive initiatives8

Case example 1: TOP – Temporary entrepreneurial positions
The University of Twente started the TOP-programme in 1984 to help graduates, university
staff and people from trade and business to start their own companies. In the period 1984-
2003 330 persons used the programme; they have established about 270 companies.
Someone who wants to use the TOP-programme must fulfil the following criteria:
• have a concrete idea of a knowledge-intensive or technology oriented company that can
     be linked to the fields of expertise of the university;
• be available for a minimum of 40 hours a week;
• have a business plan that meets a number of set requirements.
As a rule, the future entrepreneur makes contact with one of the coordinators of the TOP-
programme. In a first meeting, they check whether the business idea fits within the TOP-
programme. An important criterion is the link of the company with the expertise of the
university. If this is the case, it is time for a concrete business plan. This plan should be
limited to the fundamentals; first it is discussed with the TOP-coordinator, thereafter with the
TOP-committee. This body determines whether someone will be admitted to the programme.
The committee also evaluates the progress during the year the entrepreneur takes part in the
programme.
After admission the entrepreneur is expected to work full-time on the company. After 6
months there is a mid-term evaluation by the TOP committee and after 1 year the support via
the TOP programme ceases; the TOP committee has one more meeting with the
entrepreneur to discuss the future development of the company. During the one-year support
the TOP entrepreneur receives office space and facilities, access to networks, a scientific
and a business manager, and an interest- free loan (€ 14,500). The loan has to be repaid in
4 years starting in the year after leaving the TOP programme.
The TOP programme is open to all members of the academic community and to all others
who meet the requirements.




8
    Both case examples are adopted from the OECD Self-Evaluation Report of Twente (app.G3,G20)

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About 20 persons participate in the TOP programme annually. Since 1984 some 370
individuals have received support and some 320 companies have been created. The survival
rate of the companies: first-year survival rate is 99%, the 5- year survival rate is about 89%,
and the survival rate of all companies since 1984 is 76% (data from 2000). On average TOP
companies grow to 5 or 6 employees and on a regional level they are responsible for some
150 new jobs annually.

Case example 2: Small business growth programme
The “Small Business Growth Programme” is an entrepreneurship / business administration
course for directors, business unit managers and (family) successors in the SME sector. The
business of the participant is central. Focus lies on business disciplines and/or personal
management skills in reference to day-today problems: strategy, marketing, finance,
innovation, personnel – and organisational theories.
Participants are asked to write and implement a business plan. Every participant is being
assisted in this by an (experienced and technically-oriented) business administration student
of the University or University of Professional Education. For example, the student would
help and/or execute individual projects such as customer analyses, research of competitive
market, financial queries, HRM regulations etc.
There is a beneficial interaction between participant and student: the participant uses the
theoretical knowledge of the student (access to knowledge of University) and the student
obtains practical access to the SME (SME fieldwork). The programme is offered by TSM
Business School twice a year. The group size varies from 14-16 participants, consists of 5
two-day seminars over a period of 6 months. Group 34 recently started.
Participants have at least a few years’ managerial experience and are mostly from the
Twente region. The programme stimulates access to and use of the local network.
Participants regard this (spin-off) aspect of the programme as very important and they
actively invest in this local network, even long after the programme has finished.
Lecturers in this programme show a broad entrepreneurial experience. The assisting
students in turn get a chance to work in the SME field. Practical assignments are mostly
carried out in large firms. This programme offers an excellent chance for students to access
SMEs.




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Business creation and interaction with the business community

                 Patents            & Interaction         with      Business Creation
                 Licenses             Industry
UT               UT     owns      few With large companies &        Institutional spin-offs
Research         patents, but     are clusters                      / research spin-offs
Institutes       “inventors”          • Facility sharing            based on UT IP
                                      • Joint R&D ventures
                                      • Joint research
                                      • Contract research
                                      • Consultancy
                                      • CPD
Nikos                                 Matching SME with             Individual  spin-offs
                                      students & research           based on “non-UT” IP
                                      institutes
                                      • Zone                of
                                            opportunities
Student                                                             University   Student
Union                                                               Entrepreneurs

As reported in the earlier sections, the University of Twente does not have a knowledge
transfer office as such, but it does have many knowledge transfer and valorisation functions.
The task of knowledge transfer and exploitation is a task of the research institutes
themselves. The tasks of the institutes are in three different domains:
• Patents and licenses: The UT owns very few patents and licenses at this moment. Most
    patents are developed in the framework of contract research and according to the
    contract underlying the research, the rights to patent and commercialise goes to the
    contractor. Although, via recent developments, such as the Innovation Lab, the university
    will develop and apply for (more) patents (see also section 2 Intellectual Property the
    remarks on Scouting and Screening).
• Interaction with (large) Industry: There are different routes or mechanisms for university –
    industry interaction and all of the activities are part of the tasks of the research institutes:
• Exploitation of “embedded” knowledge: there is a lot of knowledge embedded in the
    university equipment and facilities; these university facilities are (most of the time) rather
    state-of-the-art and could be put at the disposal of companies (facility sharing).
• Joint R&D ventures with industry or clusters of companies: one of the core tasks of a
    university is doing research and the built-up expertise could be used to team up with
    industry (one company or a group of companies) to work on more industrial oriented
    research leading to the development of new products; such a joint venture will be a new
    legal entity in which the university receives equity e.g. in return for knowledge (expertise
    and patents/licenses) and the use of university facilities (equipment, building).
• Joint research with industry: The University carries out research together with (large)
    companies and R&D institutes, e.g. the cooperation with Cores.
• Contract research for industry: although contract research is a traditional way of
    commercializing knowledge, it is also a way of producing new knowledge under
    commission of and together with a third party. Especially this last aspect (“together”)
    should be emphasized in the case of a university: contract research should not only bring
    in money, but also (new) knowledge (and technology.
• Consultancy: Via consultancy knowledge and technology can be transferred via a
    personal involvement of a staff member to industry.



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•   Continuous Professional Development (CPD): Via CPD the knowledge and the
    technological developments are transferred to industry via training programmes and
    workshops.
• Interaction with SMEs: The interaction with small and medium sized enterprises is an
    activity that needs a more centralized approach at the University. Nikos runs a project
    (granted by the Dutch Ministry for Economic Affairs) called “Zone of Opportunities”. Via
    this project SME, who do not have existing contacts with the University but are in need of
    support that can be supplied, are brought into contact with research institutes and/or
    students. There is a database with opportunities for students as well as for SMEs.
• Business Creation: Two types of business creation (spin-offs) are distinguished – (1)
    spin-offs based on university IP, and spin-offs based on the entrepreneur’s own IP or
    public domain knowledge.
    o Spin-offs based on university IP: The companies that spin-off from research in e.g.
        the research institutes as MESA+, CTIT and BMTI go through the institutes
        “accelerators” and are supported by experienced business developers. The
        coordination of this activity lies with the Innovation Lab.
    o Spin-offs based on non-university IP: The companies that created by graduates and
        staff members with no explicit UT-IP involved can be supported under the TOP
        programme of the UT (see Section 4).
    The university also supports the entrepreneurial activities of students and facilitates via
    the Student Union and its taskforce USE (University Student Entrepreneurs) student-
    entrepreneurs.
Example of a joint R&D venture
Roessingh Rehabilitation Center and UT’s Institute for Biomedical Technology (BMTI)
Started in the early 70-ies. Both organisations contributed on average with 5 – 10 FTE’s in
research capacity. In 1993 a formal cooperation agreement was signed between the two
partners in which research objectives, organisational planning and sharing of infrastructure
were described (CeRT). The mission of the group was to obtain a formal recognition as
academic research centre for technical rehabilitation medicine, which was obtained in 2002.
Nowadays the joint capacity of the two groups is more 50 FTE.
The benefits for the UT are:
Cooperation with (para) medical staff
Availability of infrastructure and facilities for incorporation of patients in R&D projects, patient
related procedures like Medical Ethical Cie, Insurances, safety instructions
Increased funding options at Health Care organizations
Improved possibilities for accurate Demand/Problem definition for research projects.
The benefits for the Roessingh Rehabilitation Center are:
Academic status of own research organisation
increased attractiveness for recruitment of senior staff
Unique position at the forefront of technological developments.
Each partner retains ownership and control of background and foreground know how. This
was and is possible because of the clear difference between the two competences involved
(technological vs (para)medical). No contract research occurred (i.e. no money flow from one
partner to the other).




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Building an entrepreneurial culture

Encouraging entrepreneurship
Encouraging entrepreneurship in students and staff is not just one of the key instruments
used to convert knowledge into business, it is also a de facto manner of putting a key part of
the UT’s profile into practice. Policy is aimed at further developing any elements already
present in this respect, such as education and research in entrepreneurship by way of the
minor in entrepreneurship, i.e. elective subjects in business development to stimulate an
enterprising nature among students and graduates. The Student Union will also be
developing activities in this area, while an important role is to be played by Nikos (see
section 1, distinctive features).

Knowledge park
Converting knowledge into business by boosting entrepreneurship in students and staff is
ultimately put into effect as part of the Knowledge Park, a collaboration of the province of
Overijssel, the cities Enschede and Hengelo and the UT, supported by the
Ontwikkelingsmaatschappij Oost NV. Set up to create high-quality employment, Knowledge
Park is the conclusion of a growth process set in motion through the entrepreneurial
university concept.
Further, entrepreneurship is widely stimulated on Campus via regular meetings in the Faculty
Club: entrepreneurs and research meet on a once per month basis to discuss mutually
interesting topics. Researchers and research institutes are also members of entrepreneurs
associations, such as the Industrial Circle Twente (www.ikt.org) and the Technology Circle
Twente (www.tkt.org). As mentioned before, the TOP programme (managed by Nikos)
matches every entrepreneur with a mentor from science. Over the years every research
group has had at least one entrepreneur to mentor and “live” in the research group – all
research groups have been “exposed” to starting entrepreneurs.
The stimulation of entrepreneurship is a task of the Student Union’s taskforce USE
(University Student Enterprises. Entrepreneurship is supported in two manners:
• Student Business Centre on the Entrepreneurship Plaza of the Building Bastille:
    (registered UT) students can rent at below market-rates office space;
• Network activities: regular meetings between student-entrepreneurs;
• Training of entrepreneurial skills:
        o Organisation of workshops (e.g. on “elevator pitches”).
        o Skills programme: A new initiative started in October 2006, is a course in the
            framework of the Skill Certificate programme of the Student Union called “Spirit of
            Entrepreneurship”. This course is extracurricular and taught in the early evening
            and emphasizes more than the curricular programme the entrepreneurial skills.

Education and training to support entrepreneurship
At the University of Twente there are entrepreneurship programmes for aspiring students
since the mid 80s. Since the end of the 1990s there also is a so-called Minor programme in
Entrepreneurship (executed by Nikos). This is a programme primarily for non-business
(engineering) students, but also for business students.
It is a 20 ECTS credit programme and consists of the following courses for non-business
students:
• Market-oriented entrepreneurship
• Financial management
• Business law
• Become your own boss (writing a business plan for your own company), or
• Managing an SME (support writing a business plan for an existing company)

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Further Nikos has a one year track within the M.Sc. in Business Administration programme.
Via connections with Aalborg University in Denmark it is possible to also do the two-year
programme which recognises all courses taken at the University of Twente.

Regional policy context

Profile of the Twente region
                           9
The region of Twente , in of the Province of Overijssel, is located on the eastern border with
Germany and is part of the Euregio, a transregional cooperation between bordering areas in
Germany and the Netherlands. The size of Twente is 143,000 hectare; there are about
600,000 inhabitants, who live in 14 municipalities; half of
them live in one of the three cities Enschede, Hengelo or Almelo. These three cities have a
function towards the neighbouring towns for medical care, industrial estates and (large)
companies.




       Figure 2. Geographical map of Twente in           Figure 3. Geographical map of Twente
       relation to the Netherlands

Higher Education Institutions (HEIs) are concentrated in the largest city of Twente,
Enschede: the University of Twente (UT), Saxion University of Professional Education
(Saxion), AKI Visual arts and design academy, ITC (International Institute for Geo-
information Science and Earth Observation), Telematics Institute, TSM Business School,
SWOT (business school).
The eastern Netherlands boasts a strong concentration of knowledge and high-quality
business in health care, food and technology. A smart combination and application of this
knowledge can contribute substantially to Dutch innovation potential and help to take full
commercial advantage of the knowledge available. The provinces of Gelderland and
Overijssel, the business community and leading knowledge institutes in the region have
combined their strengths in TRIANGLE, focusing on ‘healthy humans’. The partners in this
collaboration look for solutions to the issue of ‘staying healthy, becoming healthy and efficient
health care’ – a theme that can be addressed at a regional level but is of national and global
significance.


9
    This paragraph is adopted from the OECD Self-Evaluation Report of Twente 2005 (par. 1.1)



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           Government
    Municipalities of Enschede,
     Hengelo, Almelo, others,                                                  Regional Industry

    Region Twente Provincial                                               Regional large companies,

  Government, National Ministries                                             Regional SME’s, IKT,

  of Education, Economic affairs,                                                VMO, spin-offs

    Lobby organisations, VSNU


                                                        h
                                                     rc




                                                               Te
                                                ea




                                                                 ac
                                              es




                                                                   h
                                                      University




                                                                   in
                                          R




                                                                     g
                                                          of
                                                       Twente



        Institutes of the region                                               Regional intermediary

     Educational institutes, Health                                                organisations

     care, nursing and home care                                            Regional Innovation Platform,
  Institutions (MST, ZGT, Roessingh,                                      Chamber of Commerce, Regional
   Livio, Carint, Research institutes                                    development agency (OOST N.V.),
   (Telematics Institute), Cultural and                                  Regional innovation centre (Syntens)

    sports organisations, job service
             Organisations)


Figure 4. University of Twente and its regional stakeholders

Twente figures as one of the five Dutch regions that have been designated as R&D-Hot
Spots. The designation of Twente as an R&D-Hot Spot is an important recognition; it shows
that the Dutch government sees Twente as a region with opportunities rather than a place
with problems. The Triangle is a project of Oost NV, the joint regional development
corporation for Overijssel and Gelderland, promoting closer research cooperation between
the UT (Technology Valley), Nijmegen (Health Valley) and Wageningen (Food Valley). With
the help of all these partly overlapping policies Twente should develop into a Top Technology
Region with a focus on innovation in clusters like materials and health technology. A similar
goal has been formulated in the Region’s Regional Economic Development Plan for Twente
(REOP), although in this strategy also recreation and tourism receive a great deal of
attention. At the moment, ES, Saxion and UT investigate the possibilities for the
establishment of a Twente Instituut voor Lerarenopleidingen (Twente Institute of Teaching).
This institute should help to attract more students for a job at primary and secondary schools.
In this way, it is hoped to give in to the shortage of teachers and managers in primary and
secondary education that is threatening the region of Twente.




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Self-assessment SWOT

Strenghts                                  Weaknesses

6. UT embeddedness in regional 5. Access to knowledge infrastructure
   activities                              (not an 1-stop shop)
7. Supply of state-of-the-art knowledge 6. Location (in the eastern part of the
   and technology                          country)
8. Extensive knowledge infrastructure   7. Access to finance (business angels
9. Decentralised organisation of KT        and venture capitalists)

Opportunities                              Threats

4. Innovation Lab as 1-stop shop 4.            Stable government policy
5. Cooperation with other higher 5.            Other    universities   (the  global
   education institutions                      challenge)
6. 3TU and ECIU networks         6.            Innovation       Barometer     (The
                                               Netherlands is ‘losing momentum’)


Perspectives
From this report and the SWOT analysis some conclusions with regard to the UT can be
drawn:
    • The UT is decentrally organised.
    • Technology transfer functions embedded in different departments of the UT.
    • Knowledge exploitation and valorisation is one of the three main topics within the UT
        policy (next to education and research).
    • The UT has three on campus incubators (i.e. business accelerators)
    • The UT actively stimulates entrepreneurship.
    • The UT participates in an incubator and in the knowledge park (located off campus).
    • Interaction with industry and business creation are the most occurring activities
        concerning knowledge valorisation.
    • The UT is well embedded in the regional context.
The perspective the UT has on knowledge valorization is to optimize its procedures, increase
its involvement in (research) spin-offs, in order to better improve the uptake of (new)
research and technology in the society.




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 CHAPTER 9 THE UNIVERSITY OF WARWICK, ENGLAND, UK
University profile
The University of Warwick is one of the leading universities in the United Kingdom. A campus
university, it was established in 1965 as part of government attempts to expand access to
higher education and is located 5 km (3 miles) southwest of the city of Coventry, and not in
Warwick, as its name suggests. Warwick has quickly grown to become one of the highest-
ranked universities in the UK, consistently in the top 10. In the last Research Assessment
Exercise the University was the 5th highest-ranked research institution in the UK.
In the 1960s and 1970s, Warwick had a national reputation as a politically radical institution.
More recently, the University has been seen as a favoured institution of the British New
Labour government. Warwick was one of the first UK universities to develop close links with
the business community, and has been successful in the commercialisation of research. This
commercial approach has resulted in it being nicknamed "Warwick PLC". Warwick is a
member of both the Russell Group and the 1994 Group.
Together with Birmingham University, Warwick is one of two leading universities of the West
Midlands Region in the centre of England. It makes a major economic contribution to the
Region, both in knowledge transfer and as the fourth largest employer in the
Coventry/Warwickshire sub-region and contributes around £1 billion annually to the local and
regional economy

Status as a Leading University
In the two attempts at producing World University Rankings, Warwick lies at joint 77th place
in the world according to The Times Higher Education Supplement in 2005, and in the
Shanghai Jiao Tong University 2005 ranking (which places Universities in equal groups of
approximately one hundred after the first hundred individually ranked Universities), Warwick
is placed in the 203-300th rank. Warwick is consistently well placed in rankings of UK
universities such as the The Sunday Times University Guide (6th place overall in 2005), The
Times Good University Guide (8th), and The Guardian University Guide (8th place overall in
2006). Warwick, Oxford, Cambridge, LSE and Imperial College London are the only UK
universities which have never been out of the Top 10 in the British league tables. In terms of
its size, number of undergraduates, post-graduates, academic staff, other staff, Warwick is
middle-sized, with 16,175 students, 4,871 staff, 30 Academic departments and 50 Research
centres.
Its commitment to being an innovative and enterprising university, working closely with
business, is enshrined in points 5 and 7 of its Mission Statement:

    1. To build an institution widely recognised, at a regional, national and international
       level, as a world leader in research and teaching.
    2. To conduct research across all academic departments which makes a significant
       contribution to the extension of human knowledge and understanding.
    3. Through our teaching and research programmes to equip our graduates with the
       necessary education and skills to make a significant contribution to the economy and
       to society as a whole.
    4. To recruit students and staff with outstanding potential and to provide the best
       support and facilities to foster teaching, learning and research of the highest quality.
    5. To serve our local and regional communities through the provision of excellent and
       innovative teaching, research, training, cultural, enterprise and employment
       opportunities.
    6. To exploit opportunities for collaboration and partnership with other HEIs, educational
       institutions and commercial partners.
    7. To strengthen and diversify our activities in the fields of industrial and business
       liaison, innovation, exploitation and entrepreneurialism, thereby supporting economic
       growth and regeneration.
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    8. To continue our tradition of making a high quality and challenging University
       education available to those who are capable of benefiting from it.

Warwick is a national and international player. At the national level, it has key stakeholders,
such as the National Health Service, the largest single employer in Europe. For this reason,
250 million Euro were invested in campus development over the last decade for Warwick to
implement its strategic development and become a key academic partner in the development
of the National Health Service, expand the campus by purchasing adjacent buildings to
create University House (formerly National Grid House) to relocate University administration
and create a new Student Resource Centre – The Learning Grid, and also create Warwick
HRI, following integration of the University with Horticulture Research International (HRI)
Wellesbourne (191 hectare site in Warwickshire) and HRI Kirton (50 hectare site in
Lincolnshire). The University’s decision to create its own medical school six years ago also
led to the Opening of Clinical Sciences Building at the Walsgrave Hospital site, Coventry,
where much of Warwick’s medical research is now situated since May 2004.
Warwick’s place as an enterprising university is evident in its diversification of income with
less dependency on traditional sources of funding from the English funding agency, HEFCE,
which manages the government’s financing of English Higher Education. For example, in
2002-2003 Warwick’s annual income was £212.78 million (circa 300 million Euro). This
comprised: teaching fees (27%) £57.71 million; full-time international student fees (7%);
HEFCE Grant Teaching (15% - £31.06 million); Research (9%) £20.03 million; research
grants and contracts (14% - £30.36 million); other operating income (33% - £69.17 million),
including income from residences, catering, conferences and management training centres;
and other grants (2%) - £4.45 million. The other operating income has risen since then,
underlining Warwick’s strategy of developing new non-governmental income sources.




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Place in the Region
Located in the centre of England, Warwick is south of Birmingham in the regional centre of
England, the West Midlands. The West Midlands Region comprises the counties of
Herefordshire, Worcestershire, Shropshire, Staffordshire and Warwickshire and the major
cities of Birmingham (the UK’s second city), Coventry and Wolverhampton. The population of
the West Midlands Region is 5,266,308 - 9% of the total UK population. Birmingham itself
has a population of almost 1 million people. The West Midlands Region has a population of
5.3M people and a headline Gross Value Added (GVA) figure of £77,343 million (8.1% of the
UK total). This equates to a GVA per head of £14,538. [Source: ONS, Region in Figures].
The population for the West Midlands is 5,266,308, of which 51% female (Source: Census
2001, ONS)

Policy towards Knowledge exploitation
Warwick already has a very significant level of interaction with business and the community.
For example:
•   Warwick is fourth highest in the UK for the proportion of its research income which comes
    from industry and commerce
•   The Warwick Manufacturing Group is internationally famous for its work with
    manufacturing industry
•   The University of Warwick Science Park is one of the largest in the UK, housing 124
    companies with over 2000 staff in total.
The University of Warwick is committed to maximising the commercial application of its
research to benefit the regional and national economy. More than a dozen companies are
already trading and the University has an excellent portfolio of more than 50 patents and
patent applications, many or which are licensed to companies in the UK, Europe and the US.
However, Knowledge Transfer is not the same as Income generation: Warwick derives its
major income from fees from self-financing courses and profits from management centres.
Warwick Ventures was created in April 2000 to build on the research successes of the
University of Warwick. Its full-time development staff complement currently comprises: 1
Executive Director, 4 Business Development Mangers, 3 Business Development
Consultants, 1 Finance Director and 1 Marketing Manager.
Its role has been to ensure that the intellectual property that is the result of the University's
research spend - currently around £86 million p.a. - is properly protected and commercialised
for the benefit of the researchers, the University, the region and, indeed, the nation. The
University has a number of very high quality research Departments in applied areas including
Biology, Computing, Economics, Engineering, Chemistry and Physics. It also has the world-
renowned Warwick Manufacturing Group, which works closely with manufacturing
companies to implement innovative engineering techniques and technologies. For example,
the Premier Group R&D Centre, based at the Warwick Manufacturing Group, is a £70 million
project, co funded by Ford and Advantage West Midlands and designed to help
manufacturing companies in the UK's premium automotive sector improve product
development through skills training and research and development.
Warwick Business School is the University’s 5* international Business School (one of only
three with the top rating in Britain) which houses the Executive Development Programme and
the MBA, among many other business-oriented offerings, which are wholly focused on
improving high level management capability. Its specialist research and teaching centre, the
Centre for Small and Medium-sized Enterprises (CSME), supports SMEs and, through
research, the SME sector to enable it to be better understood and become more successful.


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Implementation of Knowledge Exploitation
Warwick meets its commitment to Knowledge exploitation through a series of Knowledge
Transfer activities, and specifically the work of Warwick Ventures and a number of key
established university programmes:
   •    Continuing Professional Education (short courses and training for business and
        the pulic sector)
    •   IP Disclosures and Protection managed by Warwick Ventures
   •    Creation of Spin-off Firms stimulated by the collaborative Spinner and Medici
        projects.
   •    Regional Interaction for knowledge exchange and transfer has been enhanced
        by Connect Midlands and leadership of three collaborative programmes (Spinner,
        Medici and Mercia Institute of Enterprise).
   •    Collaborative research
   •    Student Placement Schemes (e.g. Knowledge Transfer Partnerships, or KTPs)
   •    Consultancy
The University transfers knowledge in many varied ways, ranging from its com mercialisation
of IPR, based on research outcomes, to CPD (e.g. management training) and Science Park
activity. Warwick Ventures – creates and nurtures spin-off companies based on University
research. On the Warwick University Science Park 17 companies are operational; 134 high
tech companies on four different sites across the region, employing over 2,000 staff.
Continuing Professional Development (CPD) programmes are one of the highest
sources of external income to the University and are currently being offered by a range of
departments and centres within the University. The largest providers are Warwick
Manufacturing Group, Warwick Business School (Executive Programme), Biological
Sciences, Health and Social Studies, the Medical School (notably Warwick Diabetes Care),
the Institute of Education and the Centre for English Language Teaching.
Ownership of University IPR is dealt with through UK statute and common law. In the UK,
employees are subject to the provisions of the Copyright Designs and Patents Act 1988 and
the Patents Act 1977. The basic principle is that the employer will normally own the
intellectual property rights to any work generated by the employee in the normal course of
their employment. To clarify the situation within the University the policy relating to
intellectual property rights stated in the University's Financial Regulations:
Regulation 29:
        Inventions made by all grades of academic staff and research staff, in the course of
        University duties or when using University premises are deemed to be relevant
        inventions
        Registered students working on research projects are included in these provisions
        University owns relevant inventions
        Staff must disclose to the University and participate in applications for protection
        University takes responsibility and pays for protection, development and exploitation
        Income generated as a result is then shared between the inventor(s) and the
        University.




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Major Programmes of Knowledge Exploitation

   •    Spinner : www.spinner.org.uk
        Spinner was designed to provide comprehensive support to the exploitation of
        research from all eight of the Spinner consortium universities. Warwick, together with
        Birmingham, created this scheme, which has proven to be an extremely valuable in
        identifying, protecting and exploiting intellectual property. It has led to a significant
        additional amount of technology transfer, and the creation of 33 new spin-off
        companies from the 8 participating universities in the first two years. Spinner is
        funded by the Regional Development Agency, Advantage West Midlands, in
        conjunction with HEFCE, the funding agency, which provided a total fund of £5.8
        million (8 million Euro) for the region.

    •   Student Start-up Case Study
        Adam Arnold - Smarter Housing Limited
        A bad experience with finding housing while studying at Warwick inspired Adam to
        break into the student housing business. Using existing technology Smarter Housing
        has developed a web based letting service that uses virtual tours and google mapping
        to make it easier for students in their annual search for accommodation. Smarter
        Housing had a turnover of 30K from September 1st 2006 generated from the letting of
        over 60 houses just eight months after its launch. It is also predicted that Smarter
        Housing will be employing four full time staff by the end of August 2007. The
        Enterprise Fellowship Scheme (EFS) helped Adam to develop a wide range of
        contacts from its networking opportunities along with the access to finance and office
        space required by such a young business.

    •   Mercia Institute of Enterprise (MIE) www.merciainstitute.com
        Warwick led this collaborative partnership to implement three particular region-wide
        activities: the regional Bizcom business plan competition for all students, the regional
        programme of Enterprisefest innovation events and the development of associated
        training and e-materials and training, for which regional coordination and knowledge
        transfer between HEIs is essential.

    •   Connect Midlands www.connectmidlands.org
        By connecting entrepreneurs with the resources they need to succeed, and linking
        business service providers with new technologies and business opportunities,
        Connect acts as a catalyst for the success of early stage technology industries. The
        mission is to nurture the development and growth of technology related enterprise
        through a variety of activities and events including an annual investment conference,
        two 'Springboard' conferences and various workshops and seminars. Connect
        Midlands delivers 14 events a year.          Seven of these events allow about 70
        companies to present their investment propositions, with the audience at each event
        averaging 100 to 200 investors, business angels and professional intermediaries.
        These investment events have been very successful, with over £13 million raised by
        the presenting companies to date.

    • InvoRed www.invored.org
      InvoRed is an innovative and practical Investment Readiness programme from
      Connect Midlands which helps a wide range of Science, Engineering and Technology
      businesses in preparing to approach financiers. It helps companies to understand
      their finance and strategic options, prepare a winning Investment Proposal and then
      choose the right investment partners. The InvoRed programme is being delivered by
      Connect Midlands on behalf of the Regional Development Agencies of East and West
      Midlands.



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    • Medici
      Warwick was one of the five founding universities which initiated this project, under
      the leadership of Birmingham University, This consortium sets up 14 Technology and
      Creative Fellowships in universities to support knowledge exploitation in their
      respective fields.
   Case Examples and Distinctive Initiatives
   Regional Collaboration Case Study: The Mercia Institute of Enterprise (MIE) (2001-
   6)
   Enterprise Centres can be more effective when managed on a regional basis. Mercia
   Institute of Enterprise (MIE) was launched in January 2001 under the Science Enterprise
   Challenge (SEC) as a vehicle for active partnership between the region’s universities.
   The mission has been dedicated to initialising and enhancing the enterprise culture and
   spirit within the regional universities by means of new courses, programmes, new
   systems of tech transfer and innovative promotional activities. MIE introduced new and
   innovative programmes in enterprise and entrepreneurship across higher education in the
   West Midlands Region. Over 10,000 students at West Midlands universities have now
   participated in enterprise education, or training, wholly, or partly, funded by MIE.
   In brief, the overall partnership has succeeded with significant achievement, notably in
   the number of registrations at EnterpriseFests, student entries in the Business Plan
   Competitions (Bizcom) and the number of students trained in enterprise skills in
   workshops and associated courses. Taken together, almost double the target number of
   individuals were trained in Enterprise skills associated with the Festival programmes than
   was planned over the two year period (2164 against a target of 1220). The number of
   Business Ideas competition (Bizcom) entries exceeded the target of 282 by 336 (total:
   618 in Year 2 ). Twice as many students registered for skills workshops and courses
   associated with the Bizcom programme (870 against 372) than expected.
   Working in close association with the Centre for Small and Medium-sized business
   (CSME) at Warwick Business School, a series of highly popular modules and courses
   programmes is were delivered to undergraduates and postgraduates across the
   University. Against a target of 483, MIE has recorded 1084 student registrations at
   Warwick. All undergraduates studying Engineering at Warwick and a high proportion of
   those studying Science now take a module in Enterprise as an integral part of their
   degree.

   Case Study 2: A successful Spin-Out

   Case Study: Warwick Plant Genomic Libraries Limited (WPGL)
   WPGL manufactures and distributes DNA resources from a wide range of plants for he
   international research community. The products supply a global market in plant research
   for academic institutions and for the agricultural and pharmaceutical industries.
   Warwick Plant Genomic Libraries Limited is a recent spin-out company based at Warwick
   HRI, a new Horticultural Department of the University of Warwick. The Warwick Plant
   Genomic Libraries are dedicated to supplying high quality plant genomic libraries to the
   international research community. These powerful resources are of particular benefit to
   academic researchers, scientists working in agriculture and horticulture and also to
   pharmaceutical research teams interested in the medicinal properties of plants.
   The Directors and founders of the Company, Ken Manning and Professor Graham
   Seymour had worked together in Plant Biotechnology for many years and had a clear
   understanding of the benefits of having the highest quality genomic resources. Their own
   research led to the successful cloning of a gene for an important transcription factor
   regulating the ripening process in the tomato. A key step in the chromosome walk leading
   to the identification of this gene was the production of a cosmid library with the widest

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   possible genomic coverage. The expertise and technical know-how gained in this work
   now forms the foundation of a growing range of products made with a state-of-the-art
   fosmid vector ensuring they are as representative as possible. Through their own
   experience the researchers at Warwick Plant Genomic Libraries know how important high
   quality and representative libraries are to their customers.
Interface to Business Community
The University of Warwick is internationally recognised as an innovative and entrepreneurial
centre of knowledge and technology transfer to business and the public sector. Warwick
works in partnership with a wide range of companies and organisations from the largest
multi-nationals to the smallest new businesses. The University offers a range of services to
business, from training and professional development to support for research and
development. The University campus has a wide range of conference (including three
conference or training hotels), hospitality and other facilities available.
CPD is Warwick’s major academic activity at the business interface and comprises a wide
range of 600 specialist short courses, as well as postgraduate programmes, which are
tailored to meet employers needs. A new short postgraduate award has been introduced to
make quality accredited CPD more accessible to business. Most subjects are available, e.g.
professionally recognised programmes in management, engineering, medicine and health
care, social work, education, and languages at levels from an MBA to one to one language
tuition, social work to SixSigma, CADCAM to virology.
Major providers at Warwick:

Warwick Manufacturing Group is one of Europe’s leading ademic manufacturing groups
and is involved in publicly and privately funded research on innovation in products and in
manufacturing processes, with a focus on research, development and application of new
approaches for a wide range of industrial sectors. In its activities WMG adopts a partnership
approach, involving industry closely in the delivery of its extensive research, technology
transfer and training programmes. WMG works with a range of UK original equipment
manufacturers (OEMs) and regional, small and medium enterprises (SMEs), both innovative
start-up companies and the supplier base. The Group has pioneered an international model
for working with industry, with teaching and research centres. WMG has formed five Centres,
with a physical base at Warwick University, to provide a focus for its collaborative research
and development (R&D). The Centres comprise state-of-the-art equipment coupled with
research teams formed from staff with both traditional academic and industrial backgrounds.

Targets and Outputs for a CPD subsidy from government produced the following results of
business support:

CPD Achievement against targets (Higher Education Innovation Fund 2):

Number of new and re-designed CPD courses funded         16

Number of CPD feasibility studies funded    12

Income from directly funded courses £2,197,891

Company assists      121

Business Creation
In 2004-5 Warwick Ventures recorded 54 invention disclosures, with 12 patent filings. The
degree of support given to technology transfer by Warwick Ventures has produced good
returns for the University of Warwick since it was set up some six years ago. All innovative
and exploitable ideas are recorded and assessed according to a scoring system by Warwick
Ventures, and then progressed to various degrees as to their entrepreneurial significance

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and importance. Three specific company projects at Warwick have led to third party funding
and exploitation offers of £332,000, just short of the target of £560,000 (though only Warwick
has reported on this output), which included two Smart awards for Incentec and Warwick
Insect; and a firm commitment of £224,000 for the Smelting project. Warwick’s royalty
income of £263,000 has now greatly overtaken its original target of £150,000 for the year.
The actuals are 17 business creations and 128 employees. However, Warwick reported two
start-ups and 8 spin-outs. The figure for start-ups is undoubtedly an underestimate as the
total of undeclared start-ups by students is much greater. In a recent straw-poll of 100
students attending a Warwick lecture on enterprise, for example, 10% were already running
businesses, mostly IT-related! The level of external start-up funding accessed has
significantly exceeded target (£1.95 million) with Warwick’s spin-outs achieving £2.89 million.
Warwick’s most successful spin-outs attracting most investment are Warwick Effect
Polymers, Neurodiscovery, Digiprint and Incentec.
However, one of the most important regional programmes has been the Enterprise
Fellowship Scheme (EFS), which is the source of many of Warwick’s and other universities’
student start-ups.
Enterprise Fellowship Scheme
Over period 30.01.02 to 31.12.05 Overall Output:
    • Number of business start-ups: 60
    • Enterprise Fellows and Enterprise Associates appointed 138
    • Business mentors appointed for the EFS 154
    • EFS and Warwick contribution to cumulative growth in employment (spin-outs and
        start-ups) 240.5 people.
Building entrepreneurial Culture
The University of Warwick is internationally recognised as an innovative and entrepreneurial
centre of knowledge and technology transfer to business and the public sector. There is a
culture of enterprise in Warwick since the late 70s when the government decided to cut
Warwick’s budget and Warwick responded by increasing its external income significantly
over a 20 year period.
Warwick remains committed to a centralised management structure. While decentralising
some aspects of financial management, the head of every major cost centre is a member of
the University 's Steering Committee and is thus involved in all aspects of university decision-
making and planning on a weekly basis. Every cost centre is expected to adhere to a profit-
making five year plan reviewed on an annual basis. Commercial organizations within the
University are monitored by the Commercially Related Activities Group (CRAG), similarly
academic centres have to justify any losses and can risk being closed down.
The University of Warwick maintains strong links with business on its own campus. As well
as developing the Warwick Manufacturing Group and Warwick Business School, where
people from business mix freely with university researchers and staff, the university has a
number of departments working to facilitate these relationships. Informal contacts are also
built through board-level appointments of university personnel to industry bodies and
companies, and vice versa.
This enterprising approach also focuses on the student body: the Senate in 2001 set the
medium-term target that the University should provide enterprise teaching to 20% of
undergraduates, with an emphasis on Science and Engineering, in line with the original
objectives of the Science Enterprise Challenge. This has had the following benefits:


   •    Building on the legacy of Mercia Institute of Enterprise, the University is continuing to
        develop a strong cadre of enterprising staff and students with business experience,
        who can contribute to many of the activities. By 2004/5 the numbers taught by the
        Enterprise Group at Warwick Business School had risen to 776 students. This reflects


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        increased numbers on existing course and modules, plus three new modules. In
        2005/6 the new course ‘Starting and Running a Business’ is compulsory for all
        second year Engineering students. The progress will continue in future years and one
        particularly successful development has been the proposal for all Warwick Business
        School students to undertake a module in Enterprise.
   •    Some of the projects are feeders for others. For example, an enterprise course may
        stimulate a student to undertake a placement project with an SME, which in turn may
        lead to the company requesting a placement (KTP) or to the student becoming an
        Enterprise Fellow. Protecting intellectual property may lead to a spin-off company
        which then finds venture capital through Connect Midlands.
Regional Policy Context

Warwick and its Region
Warwick was established when the West Midlands was the industrial heartland and
automotive centre of England. Today, car manufacturing has declined, but it still has many
diverse large corporates: Jaguar (Coventry); Land Rover (Solihull); JCB (Uttoxeter); Bass
(Burton-upon-Trent); Muller Yoghurts (Market Drayton); Tarmac (Wolverhampton); the
Caudwell Group (Stoke-on-Trent); Cadbury and Peugeot (Coventry) (Birmingham); the Royal
Shakespeare Company (Stratford-upon-Avon); and Lea and Perrins (Worcester). The region
is responsible for over a quarter of all UK exports and more than half of the new patents
registered in the UK come from the West Midlands.




There are five key challenges for the Region and for its universities which have been given
the highest priority for improvement: Enterprise, Manufacturing, Skills, Transport and
Economic Inclusion. The relationship between Warwick and its Region is focused on
Enterprise (including innovation) and improving higher level skills (i.e. training and
development). In addition, Warwick provides regional leadership and expertise in support of
these objectives.
The West Midlands Region has a buoyant high technology base and a great emphasis has
been placed on allowing its technology community to retain its international edge. Warwick
has a leading role in the development of one of the three regional "technology corridors",


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established to build on and nurture the existing regional technology strengths in targeted key
industries.
The Coventry, Solihull, Warwickshire Triangle
    •   The triangle has specialisms across the areas of ICT, motorsport, product
        engineering and design and medical technologies.
    •   Design support is available to assist design based companies to access the high level
        skills in the two Universities.
    •   Early stage risk finance and professional support is available to accelerate good ICT
        start up businesses.

Self-assessment (SWOT)
If we assess Warwick by using a classic SWOT Table:


Strengths:                                      Weaknesses:
   •    High external income streams               •   Small for a 21st century university
    •   Quality of University in research          •   Considered ‘new’ (only 40 years
        and teaching                                   old) and can lack institutional
                                                       confidence
    •   Well established reputation with
        many applications from students            •   No financial endowments, or
                                                       reserves, lives off current account
    •   High profile network of external
        stakeholders                               •   Can lose good research staff to
                                                       ‘richer’ universities
    •   Strong departments: WMG, WBS,
        Medical School                             •   Location:     Coventry,    not   well
                                                       regarded
    •   High quality staff


Opportunities:                                  Threats:
   •    International links and alliances          •   Competition
    •   Potential    to      acquire   other       •   Acquisition by another (bigger)
        universities                                   university
    •   Potential   to       expand      into      •   Competition for all grants from
        surrounding land                               other universities
    •   Can expand CPD                             •   Government may not support if
                                                       Warwick considered ‘rich’ or too
    •   Potential for more start-ups
                                                       capable of finding own funds



Perspectives
The Government's Lambert Review of Business-University Collaboration published
December 2003 praised the University of Warwick for its close and effective work with
business and industry describing the University of Warwick as "one of the most
entrepreneurial universities in the country".
Warwick is a succesful enterprising university, which has initiated and led on a number of
well-known and successful enterprise initiatives including Research TV, Connect Midlands,
the Mercia Institute of Enterprise, Mercia Biotech, the Enterprise Fellowship Scheme and the
Spinner project.     It has already shown itself able to win support and funds for these

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initiatives from a variety of private as well as public sources over a 20 year period, to manage
the involvement of seven or more HEIs in consortia, to rapidly start and effectively deliver the
projects and to meet all the relevant targets. Having this number of successful initiatives
together on one campus has also built many synergies, and to influence the Knowledge
Transfer activities of other universities in other parts of the world. The University faces new
challenges: due to its size, location and direction, For example, should the University expand
and diversify more than at present? And, if so, would it be in this country or abroad through
strategic alliances, which could be with corporate partners, or other universities? As other
universities catch up and adopt its enterprising culture, so Warwick will need to consider how
innovative it should become.




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 ANNEX: QUANTATIVE DATA

Aalborg University


Aalborg University Stats.                             2003        2004      2005             Total
No. of invention disclosures (“pre-patents” filed)      28          38        53              119
No. of patents filed                                    12           6        14               32
No. of patents granted                                   0           0         1                1
Licensing income €                                       -           -     35000           35000
No. of licenses assigned                                 2           2         1                5
No. of spin outs                                         1           1         1                3
No. of student/ staff start-ups                          -           -         -         Unknown
University financial investment in spin-outs                                          Not allowed
                                                          0          0            0
€ (in cash)                                                                           in Denmark
Third party investment in spin-outs
                                                           -          -           -       670000
€ (external investors)
No. of industrial contracts
                                                           -          -           -            60
(incl. training and similar)
No. science parks (substantial university share)
                                                          0          0            0             0
and size DEFINE
No. of incubators                                          -          -           -            10




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DIFUSE Deliverable D4: Report on Consortium Members Knowledge Transfer Practice


Université de Technologie de Compiègne




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DIFUSE Deliverable D4: Report on Consortium Members Knowledge Transfer Practice


Universität Dortmund



                      2003                     2004                    2005
General university
data (all fulltime
equivalent)
No. of students up to 24,800                   25,600                  21,600
Masters or equivalent                                                  This year, fees
(3-5 year courses)                                                     for       long-run
                                                                       students     were
                                                                       introduced.
                                                                       Many of them
                                                                       left the university
                                                                       (Exmatrikulation)
No. of completed              236              225                     200
doctorates
No. teaching and              -                1,443                   1,554
research staff
No. of technical and          -                1,147                   1,107
administrative staff
KT staff
No. Of        KT staff        5                5                       5
(fulltime equivalent)
Stats (p.a.)
University budget (in         196.1 mio        199.3 mio               200,8 mio
total) €
Contract R&D budget           35.1 mio         30,2 mio                38,5
€ (public and private)
No.      of   invention       17               26                      16
disclosures         (“pre-
patents” filed)
No. of patents filed          3                8                       6
No.       of      patents     0                0                       1
granted)
Licensing income €            0                0                       1,500
No.      of     licences      0                0                       1
assigned
No. of spin outs
No. of student/staff          7/3              9/6                     10/5
start-ups
third party investment
in      spin-outs        €
(external investors)
No. of        industrial                                               Estimated 100
contracts            (incl.
training and similar)
No. science parks             0                0                       0
(substantial university
share) and size
No. of incubators             0                0                       0




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DIFUSE Deliverable D4: Report on Consortium Members Knowledge Transfer Practice


Technische Universität Hamburg-Harburg

                                   2003                    2004                 2005
General university data (all
fulltime equivalent)
No. of students                                  4,869                  4,590              4,289
No. of completed doctorates                         73                     79                 82
No. teaching and research                       502,16                 515,66             519,60
staff
No. of technical and                            626,17                 646,33             643,87
administrative staff
KT staff
No. Of KT staff (fulltime                              -                    -                 40
equivalent)10
Stats (p.a.)
Total university budget €                 73,333,000              72,658,000           73,107,000
Contract R&D budget €                     13,580,000              13,715,000           13,520,000
(public and private)
No. of invention disclosures                         14                   34                  22
(“pre-patents” filed)11
No. of patents filed12                               32                   n/a                 43
No. of patents granted)13                             0                     4                  2
Licensing income €                                    0                 4,600             70,000
No. of licences assigned                              -                     -                  -
No. of spin outs                                      -                     -                  -
No. of student/staff start-ups                        -                     -                  -
third party investment in                             -                     -                  -
spin-outs € (external
investors)
No. of industrial contracts                        220                   186                 230
(incl. training and similar)
No. science parks                                     0                    0                   0
(substantial university share)
and size

No. of incubators                                     0                    0                   0




10
   Only 2005 due to noncomparable figures in previous years (merger)
11
   Only those filed through TuTech
12
   Total TUHH
13
   Only those handled by TuTech




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DIFUSE Deliverable D4: Report on Consortium Members Knowledge Transfer Practice


University of Strathclyde


                                       2002/3                2003/4                2004/5
General university data (all
fulltime equivalent)
No. of students                                   15 181                  15 137             15 546
No. of completed doctorates                            -                       -                  -
No. staff                                           3527                    3512               3456

KT staff
No. Of KT staff (fulltime                               12                   12                 16
equivalent)14
Stats (p.a.)
Total university budget                          £166 m                  £170 m             £179 m
Research Grants and                              £23.5 m                 £24.8 m            £26.3 m
contract income (public and
private)
No. of invention disclosures                            51                   45                 32
(“pre-patents” filed)
No. of patents filed                                  19                      17                 13
No. of patents granted                                12                       9                 10
Licensing income                                 £1.17 m                  £0.9 m              £1.79
No. of licences assigned                              14                       9                  7
No. of spin outs                                                               5                  0
No. of student/staff start-ups                                                 4                  2
university investment in spin-                                           £20,000                 £0
outs
third party investment in spin-                                          £1.62m                 £0
outs (external investors)
No. of industrial contracts                   Not known                     609                888
(incl. training and similar)
No. science parks                                        1                    1                  1
(substantial university share)
and size
No. of incubators                                        2                    2                  2




14
     Only 2005 due to noncomparable figures in previous years (merger)

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DIFUSE Deliverable D4: Report on Consortium Members Knowledge Transfer Practice


Politecnico di Torino

TOTAL STUDENTS No. of students up to Masters or equivalent (3-5 year courses)

                                                                  26000

2270 undergraduates (graduated with a bachelor, 3 years degree, in 2005)
2730 postgraduates (graduated with a MS degree, 5 years degree, in 2005)

No. of completed doctorates =
                                                                 2004 = 137
                                                                 2005 = 160
                                                                 2006 = 177

No. teaching and research staff =                                884
No. of technical and administrative staff =                      809

KT staff
No. Of KT staff (fulltime equivalent) =                          2+5
2 x ("Politecnico di Torino")
5 x (COREP)

Statistics (p.a.)
University budget (in total) € =                                 209 MEuro
Contract R&D budget € (public and private) =                     33 MEuro
        20 MEuro Public
        13 MEuro private
No. of invention disclosures ("pre-patents" filed) =             40
No. of patents filed =                                           34
No. of patents granted =                                         1
Licensing income € =                                             7000Euro
 (2004=5000 Euro, 2003=43000)
No. of licences assigned =                                        9
No. of spin outs =                                               13
No. of student/staff start-ups =
        Student = n.a.
        Staff = 4 (with personnel, know-how and shares),         4
                9 (with personnel, know-how, no shares)          9
University financial investment in spin-outs €
= (but with substantial know-how from University)                5000 Euro
Third party investment in spin-outs (external investors) =       149000 Euro
No. of industrial contracts (incl. training and similar) =       495
No. science parks (substantial university share) and size =            5
(3 in Torino, 2 in Piedmont region)
No. of incubators =                                              1




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DIFUSE Deliverable D4: Report on Consortium Members Knowledge Transfer Practice


Universiteit Twente


                                                                  2003          2004         2005

Total number of students                                            7058          7357         7673
Number of completed doctorates                                       144           136          166
Number of teaching and research staff (fte’s)                       1352          1390         1412
Number of technical and administrative staff (fte’s)                1020          1002          976

Number of knowledge transfer staff (fte’s)                               6             8            11
(estimated)

Total university budget (in M€)                                     253,3        256,6        265,1
External funding (in M€):
       from secondary flow of funds (national)                       19,6         22,6             25,8
       from secondary flow of funds (international)                   8,1          6,6              7,9
       from tertiary flow of funds (private)                         28,0         35,6             30,1

Number of invention disclosures (“pre-patents” filed)                 n.a.         n.a.            n.a.
Number of patents filed                                               n.a.         n.a.            n.a.
Number of patents granted                                              46           26              31
Licensing income in €                                                 n.a.         n.a.            n.a.
Number of licences assigned                                           n.a.         n.a.            n.a.
Number of spin outs                                                    16           26              30
Number of student/staff start-ups (in TOP-                               9          11              15
programme)
University financial investment in spin-outs in €                     n.a.         n.a.            n.a.
Third party investment in spin-outs in €                              n.a.         n.a.            n.a.
Number of industrial contracts                                        n.a.         n.a.            n.a.
Number of science parks                                                  1            1               1
Number of incubators                                                     4            4               4
(3 business accelerators in research institutes on
campus; 1 off campus: BTC Twente)
1
  This paragraph is adopted from the mission statement in the UT Institute Plan 2005-2010 (p. 3)
1
  This paragraph is adopted from the OECD Self-Evaluation Report of Twente 2005 (par. 3.3.1)
1
  Both case examples are adopted from the OECD Self-Evaluation Report of Twente (app.G3,G20)
1
  This paragraph is adopted from the OECD Self-Evaluation Report of Twente 2005 (par. 1.1)




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DIFUSE Deliverable D4: Report on Consortium Members Knowledge Transfer Practice


The University of Warwick

1.1.1      General university data (approximate) (2004-5)
No. of students up to Masters or equivalent (3-5 year courses)   15 536
No. teaching and research staff:                                 1552
No. of technical and administrative staff                        3319
KT staff and Activity
No. Of KT staff (fulltime equivalent):                           12
Annual University budget (in total) €                            330 MEURO
Contract R&D budget € (public and private)                       42M EURO
Other Research                                                   28M EURO
No. of invention disclosures (“pre-patents” filed):              58
No. of patents filed:                                            17
No. of patents granted:                                          4
Licensing income       (royalties)                               248 000 EURO

No. of licences assigned:                                        8
No. of spin outs:                                                3
No. of student/staff start-ups                                   2
University financial investment in spin-outs € (in cash)         20 000 EURO (Third party
R&D funding)
Third party investment in spin-outs                              3,94 M EURO
(external start-up finance accessed)
No. science parks (substantial university share) and size        4

NB University of Warwick part share-holding with local councils, e.g. ca 38% holding: 134
high tech companies on four different sites across the region, employing over 2,000 staff
No. of incubators                                          1 (Biofusion - proposed)
Data and Statistics over a 3 year period (Approximate) (2003-2006)
No. of invention disclosures (“pre-patents” filed):        170 innovations identified
No. of patents filed:                                      59
No. of patents granted:                                    11
Licensing income                                            € 1,01 million
No. of licences assigned:                                  19
No. of spin outs:                                          21
No. of student/staff start-ups                             60
University financial investment in spin-outs € (in cash)   44 000 Euro
Third party investment in spin-outs                        € 13,9m Euro




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