Ways to Creative Funding Workshop

Universiti Putra Malaysia, Selangar- Malaysia 10.01.2017 ADVANSE Capacity Building – Trainings for Trainers Different ways of funding

28.06.2019 Seite 2 We keep in mind…

… 10% of what we read.

… 20% of what we hear.

… 30% of what we see.

… 50% of what we see and hear.

… 70% of what we say.

… and 90% of what we do.

28.06.2019 Seite 3 World Café

creativity CAROUSEL OF IDEAS

ways IDEAS

possibilities Utopia new thinking team work

28.06.2019 Seite 4 Services Facilities

Teaching What for?

Research

Properties

28.06.2019 Seite 5 Guests

Students Stuff

Researchers Target Private persons group? Alumni Alumni Teachers

Business/companies/industry

28.06.2019 Seite 6 Examples

Leuphana University, Germany Graduate ceremony together with companies

Mannheim University, Germany Renovation of the libary with donations (10 Mio €)

Zeppelin University, Germany Crowdfunding of seating

28.06.2019 Seite 7 THREE GROUPS - THREE TABLES - THREE Rounds

Round 1 • Creating ideas

Round 2 • Rating the ideas • Work out ideas 1-3

Round 3 • Rating the ideas • Launch a campaign for idea 1

28.06.2019 Seite 8 What is the difference between fundraising and beggary?

What has the Uni- versity to offer/to sell?

Why do some people give and others don`t?

A person who gave already is more likely to give again.

What are the benefits forthosewhohavetopayfees?

An alumni starts with the enrollement of the student.

28.06.2019 Seite 9 Presentation of the campaigns

• What is your goal?

• What is your target group?

• What are your methods and instruments?

• What are your ressources?

• Who are your partners?

• What is your time frame?

How do you convince?

28.06.2019 Seite 10 Thank you very much for your cooperation. Technology Transfer at Saarland University Speaker

Jens Krück

• Saarland University

• Head Industry Cooperation

• 7 years of experience

• Profession: Marketing & Sales

• Degree in Political Science

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 2 Saarland

• Population 995.597 • Unemployment 7,2% • Universities 1 • Uni. of Applied Science 1 • Strongest Economic Sectors: – Automotive (Supply) – Engineering – Iron & Steel Industry

https://commons.wikimedia.org/wiki/File:Locator_map_Saarland_in_Germany.svg

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 3 Saarland University

Campus Saarbrücken Campus Homburg

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 4 Saarland University

Founded in 1948

7 Faculties: Law | Medicine | Humanities & Economics | Philosophical | Natural Sciences, Engineering, Informatics

5 Collaborative Research Centers (SFBs) 6 Postgraduate Colleges

17.921 registered students (winter term 2015/16) Among them 3.203 foreign students (18 %)

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 5 Research Institutes Surrounding Saarland University

Max Planck Institute for Computer Science, MPI | International Conference and Research Center for Computer Science | Leibniz Institute for New Materials, INM | Steinbeis Research Center: Material Engineering Center Saarland (MECS) | Korean Institute of Science and Technology Europe, KIST | Fraunhofer Institute for Nondestructive Testing | Fraunhofer- Institute for Biomedical Engineering | Center for Bioinformatics | Automotive Quality Saar | Helmholz-Institute for Pharmaceutical Research Saarbrücken, HIPS | Center for Integrative Physiologie and Molecular Medicine, CIPMM | Human and Molecular Biology Center | Institute for Preventive Medicine Homburg | Competence Center of Molecular Medicine | German Research Center for Artificial Intelligence | Max Planck Institute for Software Systems | Center for Mechatronics and Automation Technology (ZeMA)

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 6 Technology Transfer KWT and WuT GmbH KWT and WuT GmbH

established 1985 established 2002 CEO CEO Axel Koch Axel Koch Jens Krück (dep.) Dr. Conny Clausen

Ca. 35 employees Annual project volume / turnover > 3 Mio. €

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 8 Organisation Chart of KWT and WuT GmbH

Saarland University Executive Office of the President

Industry Cooperation KWT

Patent Marketing Career Center WuT GmbH (100% subsidiary) Agency

Entrepreneurship Start-up-Centre

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 9 Organisation Chart of KWT and WuT GmbH

KWT WuT GmbH Annual Reporting Annual Reporting

Advisory Board (8) Board of Trustees (7)

5 Professors 1 Vice President 1 Ministry of Science 2 Professors 1 Chamber of Commerce 2 Ministry of Science 1 University of Applied Science 3 Companies/private Sector

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 10 Industry Cooperation Industry Cooperation

Industry Cooperation generates benefit

for Universities • significant financial impact

for Commercial Enterprises • competitive advantage

for Society • sustainable economic growth

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 12 Strategic Objectives

Focus on local strategic partnerships

Development of regional and national long term relations based on specific topics

Customized support for professors to meet their demands

Promotion of cross-innovation concept

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 13 Main Tasks

• Actively approaching industry in order to initiate joint projects • Support and fostering of project cooperation • Lectures on practice-based research at Saarland University

04/2016 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 14 Cooperation Forms

Basic Research Research Cooperation Contract Research Theses (PhD, Master-Theses etc.) Access to Equipment and Laboratories Proof of Concept/Prototypes Consulting

04/2016 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 15 Mind the Gap

• Different Language • Business / Science • Different Aim • Develop Business / Gain Knowledge • Different Cooperation for different Professors • Xout of Y • Different Companies • SME, Large Company • R&D Department

04/2016 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 16 Technology Transfer Initiative Saar

Decentralised Technology Officers • Network within the faculty • Deep understanding of inquiries Cooperation with Partner Institution • University of Applied Science / Chamber of Commerce (Corporate Design) • Exchange of relevant data • Forwarding requests Cross Innovation • Focus on topics not on subjects/faculties • Field of competence

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 17 Kompetenzfeldmanager (Competency Management)

Manager for Engineering (2) Life Science and ICT Main Tasks Questionnaire Cross-Innovation requests Elaborate Requests Translation Machines/Equipment Information Materials constant exchange with scientists

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 18 Acquisition

Organization of Networking Events Saarland University Cooperation Cold Calls Companies with proven Research and Development activities Attending Networking Events Mainly in the Saarland Region

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 19 Initiation of Industry Cooperation

Industry Meets Science - demonstration Laborgespräche - dialogue with of possibilities and opportunities of scientists about trend-setting fields of industry cooperation cooperation • cooperation models • innovative topics to discuss • possible partnerships at UdS

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 20 Case Study

Toolmaking Company Toolmaking and fixture construction Automotive Supply Medium Sized Company First Contact Event at Saarland University Targeted Contact (Registration) Visiting the Company Meeting with CEO Structure and Business What are the main CURRENT & FUTURE challenges Company tour

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 21 Case Study

Administrative Circle Meeting Minutes & Next Steps List of Subjects Request to Professors if interested Return Visit at University Visiting potential Partner Decision and Preparation Small Project (3 Month) University Funding Program Contracting incl. IP regulation

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 22 Case Study

During the Project Success Level Next Project 2 Years National Funding Next Step Strategic Partnership

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 23 Own Funding Program

Support programs / Funding paves the way for companies

Many programs are too big and/or bureaucratic

KoWi2 • 50 % funding for cooperation projects with regional companies • very easy application process • the funding goes directly to Saarland University • Application to and approval by KWT

04/2016 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 24 Key Figures 2015

Faculty / Department Company Size

7% 16% Computer Science / mathematics Mechatronic / Physics 30% Large Companies 16% Material Science SME'S /Chemistry / Pharmacy 61% Other 70%

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 25 Key Figures 2016

Companies Visited

IT Automotive 9% 12% Services Engineering 5% 15%

Andere Chemestry / Pharmacytic Medical Engineering 65% 9% 4% Industry 26% Retail Metall‐Industry 4% Foods 8% 2% Energy Others 2% 4% 100% = 85 Companies

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 26 Indirect Benefits

• Competitive Companies – are more likely to support Universities – hire Graduates – generates more tax revenue

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 27 Career Center Career Center

• Profit Oriented • One Full Time Employer • Part of the University Educational accreditation We won‘t • an ideal preparation for career leave our future to start chance! • early initiation of contacts between enterprises and students • securing the skilled personnel that are required by the regional industry

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 29 Benefits

Companies • Competition for talents • Employer branding

Students • Increase application success rate • Proof of interests

University • Contact to companies • Marketing

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 30 Presentation & Trainings

Trainings Interview / Application Training Assessment Center Training Salary Negotiation Training … Company Presentation Single Presentation Career Fair … General Information Contract Internship (preparation / follow up)

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 31 Key Figures

• 6.800 Internship offers since 2012

• 1.600 Job offers since 2015

• 400 Internship offers currently available

• 120 Job offers currently available

• 730 Companies have offered

• 40 Trainings and events

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 32 Web Portal

• Free of charge • 100 Offers per month • 12 Weeks available • No Bulletin boards (University Wide)

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 33 Single Company Presentation

• Two Hours • Choosen Attendees • Companies: 150€ • Students 5€

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 34 Job Fair

• Full University Job Fair • Once a Year • Booth Price $1.588,00 - $4.238,00 • 37 Attendees (Mai 2017) • Work is Fun • Event! Not an Exhibition !

01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 35 What‘s Next

Personnel Placement • War for Talents • Concept Phase • First talks with Recruiter & University

http://aotw‐pd.s3.amazonaws.com/images/queenslandad.jpg 01/2017 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 36 Funded by: Thank you for your kind attention Welcome! Technology Transfer

Patent Protection and Licensing

10/01/2017

Dr. Frank Döbrich Dipl.-Phys.

Patentverwertungsagentur der saarländischen Hochschulen (PVA) Overview

• Introduction: The Patent Marketing Agency at Saarland University

• Protection of intellectual property (IP) – commercial importance

• The patent – a technical intellectual property right (IPR)

• Patent law basics

• Access to patent protection

• Employees as inventors

• Patent application and examination procedure

• Patent documents – what information do they contain?

• Commercialization of patents by licensing

• Types of licenses

• License agreement

• Licensing conditions for startups

• Introduction: The Patent Marketing Agency at Saarland University

• Protection of intellectual property (IP) – commercial importance

• The patent – a technical intellectual property right (IPR)

• Patent law basics

• Access to patent protection

• Employees as inventors

• Patent application and examination procedure

• Patent documents – what information do they contain?

• Commercialization of patents by licensing

• Types of licenses

• License agreement

• Licensing conditions for startups

• 2002 change of the German employee inventors act formation of PVA Saarland

• Part of “Universität des Saarlandes WuT GmbH” (affiliated company)

• Fields of inventions

 Life Science Pharmaceutical Sciences, Biology, Chemistry, Medicine

 Physic and Engineering

 Computer Science and Mathematics

Campus Saarbrücken Starterzentrum | Gebäude A1 1

Core Business

• Exclusive evaluation and commercialization of all inventions made at Saarland University (UdS) and University of Applied Sciences (HTW)

• Since 2010 also: and

• Management of all disclosed inventions and supervision of the patenting process, search for licensees, negotiation of license contracts

• Draft of application documents by external patent attorneys

• More than: 640 invention disclosures / 260 patent filings / 170 license or sales agreements

• Introduction: The Patent Marketing Agency at Saarland University

• Protection of intellectual property (IP) – commercial importance

• The patent – a technical intellectual property right (IPR)

• Patent law basics

• Access to patent protection

• Employees as inventors

• Patent application and examination procedure

• Patent documents – what information do they contain?

• Commercialization of patents by licensing

• Types of licenses

• License agreement

• Licensing conditions for startups

„Intellectual property (IP) is a term referring to creations of the intellect for which a monopoly is assigned to designated owners by law.“

Source: https://en.wikipedia.org/wiki/Intellectual_property

“Intellectual property (IP) refers to creations of the mind, such as inventions; literary and artistic works; designs; and symbols, names and images used in commerce.” Quelle: http://www.wipo.int

„Intellectual Property is the oil of the 21st century.“

Mark Getty, 2000 (getty images)

Quelle: http://jetzt.sueddeutsche.de

„Intellectual Property is the oil of the 21st century.“

Mark Getty, 2000 (getty images)

Quelle: http://jetzt.sueddeutsche.de

Today’s amendment:

Source: http://www.wikipedia.de

Patent protects the technology used e.g. to manufacture the shoe

Source: http://www.wikipedia.de

Trade Mark helps to distinguish the shoe from similar products and protects the reputation of the shoe / the company

Patent protects the technology used e.g. to manufacture the shoe

Source: http://www.wikipedia.de

Trade Mark helps to distinguish the shoe from similar products and protects the reputation of the shoe / the company

Quelle:  65 965 patent applications http://www.cipoc.com DPMA 2014  15 030 patents granted

EPO  152 662 patent applications 2014  64 608 patents granted

USPTO  578 802 patent applications 2014  300 678 patents granted

Top applicants seeking protection with the EPO in 2014 SIPO  928 177 patent applications 2014  233 228 patents granted

• EPO database gives access to over 90 Mio. documents frome more than 100 countries • Over 400 billion US$ royalties from patents in 2010 worldwide

• Introduction: The Patent Marketing Agency at Saarland University

• Protection of intellectual property (IP) – commercial importance

• The patent – a technical intellectual property right (IPR)

• Patent law basics

• Access to patent protection

• Employees as inventors

• Patent application and examination procedure

• Patent documents – what information do they contain?

• Commercialization of patents by licensing

• Types of licenses

• License agreement

• Licensing conditions for startups

• protects technical inventions (process, product or apparatus) • examined right • preconditions are absolute novelty, inventiveness (inventive step) und industrial applicability • max. period of protection: 20 years (21) • patents are valid in individual countries (territorial) • patents confer the right to prevent third parties from making, using or selling the invention without their owners' consent (prohibitive right)

• European Patent Convention (EPC)

• Article 52: Patentable inventions

„European patents shall be granted for any inventions, in all fields of technology, provided that they are new, involve an inventive step and are susceptible of industrial application.“

Novelty Invention conditions under which a patent may be obtained Industrial Inventive Step applicability

conditions under which a patent may be obtained

Inventive Industrial step applicability

• „Invention“ not defined by the law

• However: Non-exhaustive catalogue within the EPC Art 52:

2) The following in particular shall not be regarded as inventions within the meaning of paragraph 1: (a) discoveries, scientific theories and mathematical methods;

(b) aesthetic creations;

(d) (re-)presentation of information.

conditions under which a patent may be obtained

Inventive Industrial step applicability

Invention vs. Discovery Source: http://www.wikipedia.de Discovery = revealing something already existent pure insight, no technical solution

The discovery enriches the knowledge, the invention adds to the skill

EPO: Invention = teaching of practical application, that can be realized and repeated and that provides a solution of a technical problem via technical means

conditions under which a patent may be obtained

Inventive Industrial Step applicability

• an invention is new if it is not anticipated by the prior art

 absolute novelty  relevant date: filing date or priority date

• state of the art

 all the knowledge that existed prior to the filing/priority date, whether it existed by way of written or oral disclosure  patent applications not published  the essence of the invention must be identifiable objectively

conditions under which a patent may be obtained

Inventive Industrial Step applicability

• an invention involves an inventive step, if it is not obvious to a person skilled in the art

• objective evaluation by a person of ordinary skill in the art

• assessment basis: publicly accessible state of the art

• but: possibility of combination- and selection invention

conditions under which a patent may be obtained

Inventive Commercial step applicability

• Comprises any business, but no liberal professions (medic, architect…)

• Invention has to be „useful“

• Exceptions: methods for surgical or therapeutic treatment of the human or animal body and methods of diagnostics applied directly on human or animal body are excluded from patent protection. (but not apply to products, in particular substances or compositions, i.e. drugs, pharmaceutics)

Inventor Applicant

• the one who‘s findings are the • applicant does not have to be the basis of the invention, who‘s inventor intellectual efforts made the • applicant is allowed to take developement of the theory economical advantage of the possible invention and commercialize it • does not include simple • in general, the inventor has the assistance/execution of right on the patent intstructions or just the problem statement without hint of solution • entitlement to file an application can be transferred by law or by • joint inventions are possible contract

• Following regulations according to German law, similar in most countries

• exception of the general principle: inventor has not the right to file and commercialize

• employer has the right to file an application and therefore is allowed to commercialize the patent

• condition: employee invention

• invention made by attending on one‘s duties / invention based on experiences relating to the job

A Report by the employee inventor to employer in text form

B Option of claiming the rights on the invention by employer

Obligation to file a national patent application C a reserved offer of international rights to the inventors is necessary if no further applications are filed and an the inventors have not been compensated yet

Right to an appropriate compensation D calculated according to operational benefits or license analogy, often lump-sum compensation and rights purchase – controlled by guidelines

5 Claiming or release of rights

Recommendation of PVA whether to claim 4 the rights on the invention or not Evaluation of patentability and 3 commercial/industrial applicability, market value

2 Forwarding of the disclosure to PVA

1 Disclosure of invention by scientists/employees to administration (president / vice president)

priority filing search request examination request (optional) (within 7 years for DE) filing date publication

Follow-up application e.g. PCT-application (intern.) (within priority year)

12 month deadline for entry (priority year) into national/EP phase 18 month

30 month

• Patent Cooperation Treaty = Contract for the international collaboration in the field of patent system • PCT process offers the possibility of a central application process for all contracting states of the PCT (148 countries) • PCT process is divided into an international and a national phase • international phase: international search is carried out, possibility of a preliminary examination • after 30 (31) months: nationalization, i.e. filing an application for those countries for which protection is demanded, if necessary: submission of translations • granting process proceeds in parallel in the different countries

Description Front page

Drawings

Claims

Novelty search

Technology monitoring Competitor search

Technology Legal status search search

Search for lapsed/expired patents

• free online-databases & search engines, e.g. • DEPATISnet (DPMA) dpma.de • Espacenet (EPO) worldwide.espacenet.de • DPMAregister register.dpma.de • EPO-Register register.epo.org • MyIPO Website iponline.myipo.gov.my • USPTO Website uspto.gov • Patentscope (WIPO) wipo.int/patentscope

• commercial databases

• private search services

• Introduction: The Patent Marketing Agency at Saarland University

• Protection of intellectual property (IP) – commercial importance

• The patent – a technical intellectual property right (IPR)

• Patent law basics

• Access to patent protection

• Employees as inventors

• Patent application and examination procedure

• Patent documents – what information do they contain?

• Commercialization of patents by licensing

• Types of licenses

• License agreement

• Licensing conditions for startups

• Sale of patent rights for a lump-sum • advantage: low administrative effort and risk, if well done (legal guarantees!) • disadvantage: university technologies often “early stage” • difficult to obtain a substantial payment • not favorable for universities in most cases

• Sale of patent rights under license-like conditions

•  largely equivalent to 3.

• Common licensing variants • exclusive license to one licensee • non-exclusive license  multiple licensees possible • separate licenses for specific fields of application

• Confidential Disclosure Agreement (CDA) • only if confidential information is disclosed, otherwise part of license agreement

• Term Sheet • commercial corner points of intended license agreement • no legal obligation

• Option Agreement • if licensee needs time to evaluate the technology • clear termination date of option • should at least cover patenting costs + X

• Definition and grant of the licensed rights • type and scope of license (involve patent claims in definition) • which rights are granted exactly (sell, manufacture, use)?

• License fee • upfront payment (yes/no/amount) • royalties

• percentage of product-related income vs. fixed amount per “piece”?

• minimum annual royalty vs. usage/performance obligation

• basis for royalties (whole product or part? which deductions allowed?) • milestone payments (e.g. grant of patent) • sublicense fee

• Guarantees by licensor • better no guarantees by university  no usability guarantee  no guarantee for non-infringement of third party rights • usually necessary: university guarantees that it does not know of any drawbacks or shortcomings that have not been communicated to licensor (e.g. early publication that impedes patentability)

• Obligations on licensee (e.g. obligation to use if no minimum annual royalties)

• Termination of agreement • (un-)limited time, until expiry of patent, other • who can terminate earlier (appropriate period) • exceptional termination reasons

• Miscellaneous • disclaimer • severability clause • publication regulations • place of jurisdiction • other

• Conformity • national law e.g. inventors rights • international law (if applicable)

• Final check by lawyer and/or university legal department before signature!

• Upfront payment  Past patenting costs + “service charge”

• Royalties • percentage of product-related turnover • percentage variable with turnover and/or time • no minimum license fee (but usage obligation) • current patenting/maintenance costs

• Sublicense fee

• In case of IP transfer: repurchase option for university

 minimize license load in the “death valley” phase

 adequate compensation when startup prospers

Example: Nanostructured Metal Foams

• Nanocrystalline coating for open-cell porous structures with improved mechanical properties

• Basic patent application in 2009, further development by inventors

• Difficulties with classical technology transfer: • Companies want to buy the material rather than produce it • Limitation to small part of possible applications when licensing to existing company • Inventors want to stay in scientific careers

• Solution: Find external founders!

 Recruiting and negotiations were successful

 Start-up will be founded in the next weeks

Folie 5 Fotografien des Starterzentrums (A1.1) auf dem Campus der Universität des Saarlandes © WuT Wissens- und Technologietransfer GmbH

Folie 6 Fotografien der Mitarbeiter der Patentverwertungsagentur, © WuT Wissens- und Technologietransfer GmbH

Folie 7 Firmenlogos von Pharmbiotec GmbH und ZeMA Zentrum für Mechatronik und Automatisierungstechnik gemeinnützige GmbH

Folie 9 Übersicht über verschiedene Arten von Geistigem Eigentum und Verhältnis zum Wettbewerbsrecht, von 3247 (Self-published work by 3247) [GFDL (http://www.gnu.org/copyleft/fdl.html), LGPL (http://www.gnu.org/licenses/lgpl.html) oder CC BY-SA 3.0 (http://creativecommons.org/licenses/by-sa/3.0)], via Wikimedia Commons, http://upload.wikimedia.org/wikipedia/commons/d/d1/Geistiges_Eigentum_und_Wettbewerbsrecht.png, unbearbeitet übernommen

Folie 10 Definitionen von „Geistigem Eigentum“ bzw, „intellectual property“, zitiert von Wikipedia (Stand 5.5.2014, http://de.wikipedia.org/wiki/Geistiges_Eigentum) bzw. WIPO (Stand 17.11.2014, http://www.wipo.int/about- ip/en)

Folie 12 Zitat von Mark Getty, übernommen aus einem Online-Artikel der Süddeutschen Zeitung zu finden unter http://jetzt.sueddeutsche.de/texte/anzeigen/402645/Geistiges-Eigentum-wird-das-OEl-des-21-Jahrhundert- Interview-zu-einem-Kongress-in-Berlin

Folie 13 Nike Fussballschuhe mit Stollen (Metall/Kunststoff), von Virtual Falcon (Own work) [CC BY 3.0 (http://creativecommons.org/licenses/by/3.0)], via Wikimedia Commons, http://upload.wikimedia.org/wikipedia/commons/d/df/Nike_Fussballschuhe_mit_Stollen.jpg, unbearbeitet übernommen

Folie 15 Charts aus http://www.cipoc.com/090407_WR_CDU_LOOP_web.pdf bzw. EPA, Jahresbericht 2012, http://www.epo.org, Grafiken unverändert übernommen

Folie 16 Verkehrsschild „Verbot einer Fahrtrichtung oder Einfahrt“, Form nach der StVO 1956 und 1970; wird bis heute in dieser Form verwendet. Quelle: Bundesgesetzblatt, Jahrgang 1953, Nr. 56, S. 355. Tag der Ausgabe: Bonn, 30. April 1956; Bundesgesetzblatt, Jahrgang 1970, Nr. 108, S. 1589. Tag der Ausgabe: Bonn, 5. Dezember 1970., Urheber: Mediatus, http://upload.wikimedia.org/wikipedia/de/4/4c/Verbot_einer_Fahrtrichtung_oder_Einfahrt.png; Medaille, http://pixabay.com/de/medaille-gewinner-golden-farbband-157974/; Geldsack, http://pixabay.com/de/geldsack-dollar-zeichen-w%C3%A4hrung-308983/; Megaphon, http://pixabay.com/de/megaphon-loudhailer-lautsprecher-308846/, alle Grafiken unverändert übernommen

Folie 19 Grafik “Top Secret”, http://pixabay.com/de/vertraulich-geheim-privat-schrift-264516/, kombinierte Marke „EBAY“ (0904352, EBAY INC.), Geschmacksmuster “Elektronische Handgeräte” (000748280-0006, APPLE INC.), Zeichnung aus Patentschrift US549160A1, Quelle: www.dpma.de, Markeneinträge kostenlos und unverbindlich gelistet auf https://www.tmdn.org/tmview

Folie 21 Kombinierte Marke „SATURN GEIZ IST GEIL!“ (6461/2002, MEDIA - SATURN BETEILIGUNGSGES.M.B.H.), Farbmarke „milka lila“ (2906959, Kraft Foods Schweiz Holding GmbH), kombinierte Marke „ALWAYS COCA COLA“ (00796701, THE COCA-COLA COMPANY, Delaware corporation), 3-D Marke “TOBLERONE” (1997/02318, Mondelez Europe GmbH), Hörmarke Telekom-Jingle (399405917, Deutsche Telekom AG)

Folie 22 kombinierte Marken „BOUNTY“ (77871836, Procter & Gamble, links) bzw. „BOUNTY“ (2096908, Mars GmbH, rechts)

Folie 23 Auszug aus einem Presseartikel bei n-tv, erschienen online am 6.3.2014, http://www.n-tv.de/wirtschaft/Haribo- und-Lindt-strapazieren-die-Gerichte-article12404786.html

Folien 24-26 Auszüge aus Presseartikeln bei www.welt.de, erschienen online am 18.12.2012 unter http://www.welt.de/regionales/koeln/article112105552/Goldbaer-siegt-gegen-verwirrenden-Lindt-Teddy.html sowie www.handelsblatt.de, erschienen online am 11.4.2014, http://www.handelsblatt.com/unternehmen/handel- dienstleister/haribo-gegen-lindt-schoko-teddy-sieht-goldbaer-nicht-zu-aehnlich/9751918.html

Folie 27 Auszug aus Presseartikel http://www.handelsblatt.com/unternehmen/handel-konsumgueter/haribo-scheitert- vor-dem-bgh-lindt-gewinnt-den-baerenstreit/12357112-all.html bzw. https://www.juris.de/jportal/portal/page/homerl.psml?nid=jnachr- JUNA150902104&cmsuri=%2Fjuris%2Fde%2Fnachrichten%2Fzeigenachricht.jsp

Folien 28-30 Auszug aus einem Presseartikel bei www.spiegel.de, erschienen online am 3.5.2014 unter http://www.spiegel.de/wirtschaft/unternehmen/iswatch-vs-iwatch-uhrenfirma-swatch-geht-weltweit-gegen- apple-vor-a-967365.html

Folien 29-30 Fotografie, Titel „Apple - Apple Watch 2“, © Chris Messina, in angegebener Quelle veröffentlicht unter der Lizenz “Attribution-NonCommercial-ShareAlike 2.0 Generic” (CC BY-NC-SA 2.0, https://creativecommons.org/licenses/by-nc-sa/2.0/), übernommen von https://www.flickr.com/photos/factoryjoe/15193009525/ und nachträglich beschnitten

Folie 32 Verschiedene Geschmacksmuster, „1, 2, 11, 12, 13, 14, 16, 17, 20) Elementer til et legetøjsbyggesæt” (MA 1994 00854-0001, LEGO A/S), “Elektronische Handgeräte” (000748280-0006, APPLE INC.), “Flaschen” (002419176- 0006, THE COCA-COLA COMPANY)

Folie 33 Auszug aus einem Presseartikel bei www.handelsblatt.de, erschienen online am 26.6.2012 unter http://www.handelsblatt.com/unternehmen/industrie/paula-vs-flecki-puddingstreit-zwischen-oetker-und-aldi- geht-weiter/6800308.html

Folie 34 Auszug aus einem Presseartikel bei www.sueddeutsche.de, erschienen online am 20.11.2012 unter http://www.sueddeutsche.de/wirtschaft/paula-vs-flecki-dr-oetker-unterliegt-in-pudding-schlacht-1.1527904

Folie 35 Titelblatt aus Patentanmeldeschrift “Road Engine” (US549160A1), Quelle: www.dpma.de

Folie 36 Titelblatt aus Gebrauchsmusteranmeldeschrift „Verbunddübel“ (DE20002016U1), Quelle: www.dpma.de

Folie 40 Fotografie eines Kompasses vom schwedischen Hersteller Silva, Peilkompass, von Tobias R. – Metoc (Own work) [CC BY-SA 2.5 (http://creativecommons.org/licenses/by-sa/2.5)], via Wikimedia Commons, http://upload.wikimedia.org/wikipedia/commons/d/d9/Silva_Kompass.jpg

Folie 42 Fotografie, Titel „Steve Jobs shows off the iPhone 4 at the 2010 Worldwide Developers Conference”, von Matthew Yohe [CC BY-SA 3.0 (http://creativecommons.org/licenses/by-sa/3.0) or GFDL (http://www.gnu.org/copyleft/fdl.html)], via Wikimedia Commons, http://upload.wikimedia.org/wikipedia/commons/b/b9/Steve_Jobs_Headshot_2010-CROP.jpg, unbearbeitet übernommen; Auszug aus einem Presseartikel bei www.sueddeutsche.de, erschienen online am 30.9.2013 unter http://www.sueddeutsche.de/digital/iphone-apple-verliert-patent-wegen-jobs-auftritt-1.1783922

Folie 57 Übersichtskarte der Mitgliedsstaaten der Europäischen Patentorganisation, http://www.epo.org/about- us/organisation/member-states_de.html

Folie 59-63 Auszüge aus der Patentschrift „Niederschlagssensor, insbesondere Hagelsensor“ (DE10330128B4), www.dpma.de

Folie 61 Asiatische Patentschrift

Folie 65-71 „Die sieben Todsünden des Erfinders“ aus dem EPO Erfinderhandbuch, http://www.epo.org/learning- events/materials/inventors-handbook/sins_de.html

Diese Präsentation wurde auf Grundlage des „Patent Teaching Kits“ des Europäischen Patentamts (EPA) erstellt, dessen Inhalte hier in abgewandelter und aufbereiteter Form auszugsweise nach bestem Wissen und Gewissen dargestellt sind. Die vorliegende Fassung ist nicht vom EPA autorisiert und es übernimmt keine Verantwortung für die Richtigkeit der dargestellten Inhalte. Auch übernimmt die WuT Wissen- und Technologietransfer GmbH keine Gewähr oder Haftung für die Richtigkeit der Inhalte sowie der verlinkten Quellen.

Diese Präsentation dient ausschließlich nicht-kommerziellen Lehrzwecken und darf nur nach Zustimmung der WuT Wissen- und Technologietransfer GmbH für den von ihr zu bestimmenden nicht-kommerziellen Zweck weitergegeben werden.

• Before 2002: most German universities did not file any patent applications and transferred inventions coming from industry cooperation to the partner for free • Change of the German Employee Invention Act in 2002 • Abolition of the so-called professors’ privilege • New § 42 ArbNErfG • Establishment of regional Patent Marketing Agencies (PVA) jklh • Subsidized by the federal and the regional government kjhj hkj h

04/2016 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 49 Patent Marketing Agency of Saarland Universities

• Founded in 2002 • PVA and patenting costs are co-financed • by national and federal governments. • With currently 5 employees (FTE) and 2 student assistants • Responsible exclusively for the evaluation and commercialisation of all inventions created at Saarland Universities • Patent applications are made through external patent attorneys • More than 640 invention disclosures • More than 260 patent filings • More than 170 licence or sales agreements

04/2016 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 50 Key figures

2013 56 invention disclosures 15 + 17 patent applications 13 licence or sales agreements

2014 62 invention disclosures 15 + 44 patent applications 20 licence or sales agreements

2015 57 invention disclosures 15 + 21 patent applications 42 licence or sales agreements

04/2016 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 51 Strategy for IP based Start-ups

• Transfer of IP rights to the start-up • Relatively low down payment based on patent costs • No minimum licence fee but obligation to exercise the licence • Royalty payments are compulsory • If one of the inventors is involved in the spin-off, he/she has to waive the inventors’ bonus

04/2016 | © KWT – Kontaktstelle für Wissens- und Technologietransfer | Universität des Saarlandes 52 Utility model

• also protects technical inventions (but no processes!) • only formal examination (no process!?) • max. period of protection: 10 years • requirements for passing the infringement lawsuit: • relative novelty, • inventive step and • susceptibilty of industrial application (cf. patent) • grace period: 6 month

• a European patent (EP) is a set of national patents • EPs are granted for several or all contracting states of the European Patent Convention (EPC) • an EP that has been validated in a contracting state has the same effect and is subject to the same rules as a national patent granted in this particular state • several member states demand a translation of the patent document into their official language prior to validation

Source: http://www.epo.org

maintenance

grant objection nullity action formal substantial examination examination revocation

rejection appeal

request for examination within 7 years

filing / priority date expires after 20 (21) years (max.)

Universiti Putra Malaysia, Selangar- Malaysia 10.01.2017 ADVANSE Capacity Building – Trainings for Trainers What is it?

It`s a noun: „Change management is key to the project.“

It`s a verb: „We really need to change manage that process.“

It`s an adjective: „My change management skills are improving.“

It`s an expletive: „Change management!“

28.06.2019 Seite 2 What is the meaning?

A structured approach for ensuring that changes are thoroughly and smoothly implemented, and that the lasting benefits of change are achieved.

What is the goal?

Increase in efficiency and effectiveness

28.06.2019 Seite 3 Reasons for change

Changes in the economy: e.g. globalisation

Changes in society: e.g. demographic change

Changes in technology: e.g. innovation

Changes in politics: e.g. alliances, crises

Changes in the environment: e.g. pollution, global warming

Actually we have a permanent change in all areas of life.

„The only constant in universe is change.“, Heraklit of Ephesus (ca. 540-480 B.C.)

28.06.2019 Seite 4 Approaches to managing change vary widely

Burke-Litwin Change Model A complex model to work through the effects of change between 12 elements of organisational design.

McKinsey 7S Framework Somewhat similar to the Burke-Litwin Model, this tool helps you to understand the realtionship between seven hard and soft aspects of organisations.

Lewin`s Change Management Model This describes how you generally have to „break up“ the current state of things in order to make improvements, using the concept of „unfreeze – change - refreeze“.

Beckhard and Harris`s Change Model The model describes how change initiatives require the pre-requisites of real dissatisfaction with the current state, a vision of why the new state will be better, and a clear first steps towards getting there, to be successful.

28.06.2019 Seite 5 Challenges

Managers almost exclusively focus on the structural and technical components of change.

One of the major factors which hinders the change management process is people's natural tendency for inertia. People are resistant to change in organisations because it can be uncomfortable. The notion of doing things this way, because 'this is the way we have always done them', can be particularly hard to overcome. Furthermore, in cases where a company has seen declining fortunes, for a manager or executive to view themselves as a key part of the problem can be very humbling. This issue can be exacerbated in countries where "saving face" plays a large role in inter-personal relations.

28.06.2019 Seite 6 Another meaning is…

The focus on people and on how individuals and teams move from the current situation to a new one.

Personal impact on the people affected and their journey towards working and behaving in new ways to support the change.

28.06.2019 Seite 7 Manager`s view

28.06.2019 Seite 8 Staff view

28.06.2019 Seite 9 That`s how it`s gonna be!

28.06.2019 Seite 10 5 fears of change

What kind of habituality, competence and responsibility do I have to give up?

Will I be able to effect the performances and be successful in the future?

Will the relationships change? With whom will I have to work together?

Will I loose my livelihood?

How does the change affect my identity? Do I have to reinvent myself? And how?

28.06.2019 Seite 11 Change is stress

To master ones life people have different resources that have to be in balance.

• Physical resources and personal resources like empathy and self-efficacy

• Objective resources like posession

• Cultural resources like family status, security of employment

• Energy resources like knowledge, time, money, health

28.06.2019 Seite 12 Charactaristics

Is theNo situation No threatening?

y No e s

Is the thread No controllable?

y e s

defense, curiosity, stress, fear resistance chances

28.06.2019 Seite 13 Process of emotional and intellecutal acceptance

2. Denial, positioning 7. Integration, consolidation

0. Strategic planning 6. Awareness

5. Trial

1. Astonishment

4. Emotional acceptance

3. Rational acceptance

28.06.2019 Seite 14 0. Strategic planning: „We have to do something.“

1. Astonishment: „I can`t believe that!“ Uncertainty and high emotions.

2. Denial and positioning: „That`s not true.“ Opponents and supporters concerning their own future.

3. Rational acceptance: „It´s terrible, but…“ Necessity of the change is getting obvious.

4. Emotional acceptance: „In fact it`s true.“ Optimism, new plans.

5. Trial: „Let`s give it a try.“ Take steps.

6. Awareness: „This could be the way.“

7. Integration, consolidation: „That`s understood.“

28.06.2019 Seite 15 28.06.2019 Seite 16 Approaches to managing change vary widely

John Kotter's 8-Step Process

• Establish a Sense of Urgency • Create the Guiding Coalition • Develop a Vision and Strategy • Communicate the Change Vision • Empower Employees for Broad-Based Action • Generate Short-Term Wins • Consolidate Gains and Produce More Change • Anchor New Approaches in the Culture Dr. John Kotter (born 1947) is a well-known thought leader in the fields of business, leadership, and change.

The Plan-Do-Check-Act Cycle, created by W. Edwards Deming

• Plan – establish objectives and processes • Do – implement the plan, execute the process, make the product • Check – study actual results and compare against the expected results • Act – enact new standards William Edwards Deming (1900–1993) was an American engineer, statistician, professor, author, lecturer, and management consultant.

28.06.2019 Seite 17 Thank you for your kind attention. © This project has been funded with support from the European Commission. This publication reflects the views only of the author, and the Commission cannot be held responsible for any use which may be made of the information contained therein. Project number: 561905-ePP-1-2015-1-AT-EPPKA2-CBHE-JP HR Management @ Universities

Doris Kiendl FH JOANNEUM University of Applied Sciences

• Globalization – HR with a global mindset • Networks beyond the university – HR capable to create and maintain links to strategic partners • Necessity of change – HR willing and capable to act as agents of change

1) Strategic Partner of the university management 2) Administrative Expert 3) Involvement of Employees 4) Becoming a Change Agent

Recommended Literature: Ulrich, D. (1997), Human Resource Champions. The next agenda for adding value and delivering results (Harvard Business School Press).

HR management helps to accomplish the goals determined in the university strategy by Turning Strategy into action – implementing the university strategy

Building the university architecture to achieve the university goals by – Common Values – Competences and Skills of faculty and staff – Structure and Processes of the organization – Governance system – Leadership

Improving the efficiency of the work staff and faculty perform.

Mastering of two phases of reengineering: 1. Improving processes 2. Rethinking value creation and reframing organizational thinking.

Capabilities: Which qualifications are required by staff and faculty?

Value creation: On which level (central/decentral) can the recruitment process be done most effectively?

Duration of work contracts: Tenure track?

Obligations of faculty: Teaching, Research and Administration (?)

Remuneration: Salary, Bonuses, other (non-monetary) gratifications .....

Key question: Which incentives will have the strongest impact on HR performance in universities?

In other words: Which components are most likely to have an effect on the efforts of faculty and staff?

Any change within the organization, the processes, the management and the tasks may – Trigger resistance of faculty and staff and – Create fears of faculty and staff.

potentialThis project hasfor been funded improvement with support from the European Commission. This? publication reflects the views only of the author, and the Commission cannot be held responsible for any use which may be made of the information contained therein. Project number: 561905-ePP-1-2015-1-AT-EPPKA2-CBHE-JP HR Development: Talent Management The significance and meaning of HR development @ universities:  Growing and having the chance of promotion is a key need of university employees. Therefore, HR development is central to each university. It requires to create a learning culture for faculy and staff. This project has been funded with support from the European Commission. This publication reflects the views only of the author, and the Commission cannot be held responsible for any use which may be made of the information contained therein. Project number: 561905-ePP-1-2015-1-AT-EPPKA2-CBHE-JP HOW to set up HR Development measures: Three steps

Step 1: Measurement of HR performance

Step 2: Identification and implementation of HR development measures

Step 3: Evaluation of these measures

HOW to measure HR performance?

- Appraisal interviews (yearly or more often?) - Student evaluations - Peer reviews - Self evaluation - Others ......

Identification of development measures: Individual learning strategy (based on organizational learning strategy)

Implementation of development measures: Individual learning plan (based on individual learning capabilities)

Did the measures achieve the goals intended? If no, why not? In which way could the goal be achieved in a better way? Identification of new measures (quality lifecycle starts anew)

UNIVERSIDAD DE ALICANTE

UNIVERSITÄT DES SAARLANDES

Thank you! NARESUAN UNIVERSITY

KASETSART UNIVERSITY

UNIVERSITI PUTRA MALAYSIA

doris.kiendl@ UNIVERSITI TEKNOLOGI MARA fh‐joanneum.at UNIVERSITAS SUMATERA UTARA

GADJAH MADA UNIVERSITY

This project has been funded with support from the European Commission. This publication reflects the views only of the author, and the Commission cannot be held responsible for any use which may be made of the information contained therein. Project number: 561905-ePP-1-2015-1-AT-EPPKA2-CBHE-JP This project has been funded with support from the European Commission. This publication reflects the views only of the author, and the Commission cannot be held responsible for any use which may be made of the information contained therein. Project number: 561905-ePP-1-2015-1-AT-EPPKA2-CBHE-JP This project has been funded with support from the European Commission. This publication reflects the views only of the author, and the Commission cannot be held responsible for any use which may be made of the information contained therein. Project number: 561905-ePP-1-2015-1-AT-EPPKA2-CBHE-JP Intellectual Capital Reporting

FH JOANNEUM Doris Kiendl

Rationale and Benefits for Higher Education Institutions (HEIs) to get involved with Intellectual Capital Reporting (ICR) Basics of knowledge‐based items Introduction to ICR Strategic Management of Higher Education Institutions & ICR Case “The Austrian ICR model”: Implementation & Experiences Conclusions and Recommendations for other countries

RATIONALE AND BENEFITS FOR HIGHER EDUCATION INSTITUTIONS (HEIS) TO GET INVOLVED WITH INTELLECTUAL CAPITAL REPORTING

(ICR) Project LEGEND (2013-1-SK1-LEO05-06361) This project has been funded with support from the European Commission. This presentation reflects the views only of the author, and the Commission cannot be 4held responsible for any use which may be made of the information contained therein.

1. Why to get involved with Intellectual Capital Reporting? 2. Challenges and implications for university management 3. Importance of Intellectual Capital Reporting in this context 4. Benefits of Intellectual Capital Reporting for universities

Project LEGEND (2013-1-SK1-LEO05-06361) This project has been funded with support from the European Commission. This presentation reflects the views only of the author, and the Commission cannot be held responsible for any use which may be made of the information contained therein.

Importance of “knowledge economy” increases (World Bank, OECD, European Commission)

Intangible Assets or Intellectual Capital are resources for the knowledge economy (identified 1997 by Edvinsson and Malone, Stewart and Sveiby)

Since these early efforts, ICR gained increasing attention in almost all business functions (private, public, for profit and not-for-profit)

increasing competition for students, budgets and research funds decreasing birth rates in some parts of Europe new emerging markets of students in BRIC countries new digital forms of learning and teaching styles more transparency and accountability required (…)

This results in new challenges also for the management of universities and imply adaptations in planning, organizing and profiling.

Adaptations in planning, organizing and profiling Higher Education Institutions (HEI) became necessary awareness for reforms in HE sector already in the 1990ies: “New Public Management” approaches to strengthen a decentralized freedom of action and the implementation of performance- based steering instruments at universities New forms of organization and legal structures evolved, multi-fold indicators were implemented due to the increased autonomy level of HEIs

> The significance of Strategic management at higher educational institutions increases

For the acceptance of overall strategies and for further organizational development, it is necessary to establish a common understanding and university-business- model-oriented language of all (comparable & reliable), also towards external stakeholders to build up a sustainable competitive base within a region.

The IC approach serves this purpose and can also be transferred to and between the different actors within an innovation system.

Non-profit environment of HEIs: ICR helps to adapt their university management focus to the needs of this environment

helps HEIs to open themselves to the broader public and to get rid of the old “ivory tower” image

Especially for HEIs, Human Resource Management is an important success factor (human & relational capital) > to support creativity of staff and students ICR also addresses organizational factors by assessing the structural capital.

Source: Leitner et al. (2013, p. 9, p. 41)

Defines/updates the mission statement identifies priorities in research & teaching communicates strategy throughout organization & starts discussion on intangible value drivers and success factors allows the alignment of individual goals with institutional objectives links strategic objectives to long-term targets and annual budgets promotes an internal process of learning about the institution's structure and performance monitors the achievement of goals and assesses the organisation's performance over the course of time Source: Leitner et al. (2013, p. 9, p. 41)

Source: Leitner et al. (2013, p. 42)

Project LEGEND (2013-1-SK1-LEO05-06361) This project has been funded with support from the European Commission. This presentation reflects the views only of the author, and the Commission cannot be held 14 responsible for any use which may be made of the information contained therein.

1.General Overview 2.Definitions and Concepts 3.Structure of Intangible Assets and Intellectual Capital 4.Implications for Management 5.Group Work I

(Childs 2001)

In 1978: intangible assets were only 5% of all assets Today, they become 78% of all assets 50-90% of the value created by a firm is estimated to come from the management of the firm’s intellectual capital rather than from the use and production of material goods (Guthrie & Yongvanich, 2004).

Source: Chareonsuk and Chansa-ngavej (2008)

Higher Education Institutions (HEIs) are more depended from alternative forms of income, specifically the "third money stream" (where funds are earned from other sources than students and government)

HEIs are required to exploit their intellectual capital & property rights to a far higher level than in the past.

Source: Kok (2007)

Source: Chareonsuk and Chansan-gavej (2008)

Intellectual capital can operationally defined as „intellectual material that has been formalised, captured and leveraged to produce a higher valued asset“ (Klein and Prusak, 1994)

There are subtle differences between the meanings of „intangible asset" and "intellectual capital“

Source: Kok (2007)

1.Partial Excludability (not fully controllable assets)

2.Nonmarketability (Imperfect (intransparent) or non existing markets; problems with valorisation in existing markets)

3.Interdependence between different intangible items (i.e. R&D expenditure and employee competences or brand value )

Source: Lev (2005)

Source: Chareonsuk and Chansa-ngavej (2008)

Based on the presented early concepts it is a common, well introduced and approved standard to use the following three categories of Intellectual Capital [See for example AKWB, 2008 - Leitfaden 2.0 Arbeitskreis Wissensbilanz]

Human Capital: skills and competencies of staff, as well as their motivation and learning ability Structural Capital: assesses the environment that employees need to work productively Relational Capital: shows the extent, to which the institution is interlinked with external partners and perceived by interested parties

Source: Ramirez et al (2007); illustration adapted from Bueno et al. (2003)

Valuation problems – Uncertain future concerning potential revenues from IC implementation – Risky and uncertain future development of IC

Measurement problems

So which is the appropriate category/single item of IC we should primarily invest in, in order to obtain our strategic goals?

Source: Lev (2005)

The management of HEI institutions have to implement Measures to develop, protect, safeguard and market the Intellectual Capital produced by staff and students

National/ regional governments have to develop Policies to ensure these endeavors are supported in an optimal manner and in balance with other stakeholders interests in the same time.

Source: Kok (2007)

Form small groups of 3 persons, ideally from different universities or departments to get a comprehensive view. Identify in your team through brainstorming and discussion the most important intellectual capital in your research institution Note the intellectual capital on post-its and stick them on a piece of flipchart paper Try to cluster your intellectual capital according to the structure presented (Human, Structural and Relational capital)

The overall timeframe is 20 minutes When finished, put your poster up on a wall – We will go through 2-3 posters to identify the common findings

INTRODUCTION TO INTELLECTUAL CAPITAL REPORTING – A MEASUREMENT & REPORTING TOOL

Research and higher educational institutions are more than most types of organizations reliant on their resources of knowledge.

They strive for an adequate management of these resources and are eager to collect good and applicable practices for organizational improvement’

1999: Austrian Research Centers Seibersdorf published an ICR, based on the original concept of “Intellectual Capital” (Edvinsson & Malone, 1997) based on an integrated process-oriented model reflects the cycle of knowledge within the institution and helps to visualize the development of intangible assets (e.g. non-financial results related to economic, research or society) while integrating tangible results as well.

ARCS (Austrian Research Center Seibersdorf) Intellectual Capital Report Model

Source: Koch et al (2000)

ICR Method is without major adoptions applicable to different economic systems (not limited to research facilities and universities)

2004: AKWB (Arbeitskreis Wissensbilanz) Consortium used prior knowledge and experience on IC-Reporting and developed a new and more economical methodological framework for SMEs

Arbeitskreis Wissensbilanz Germany (AKWB) Model

Source: Arbeitskreis Wissensbilanz Germany

Initiative to establish IC reporting for universities on a European level: RICARDIS Report (2006): Expert group to promote ICR for SMEs; also covered the role of universities and research institutions to support R&D intensive SMEs. Inter alia, highly recommended to promote the implementation of IC Reporting in universities and research centres Report available at: http://ec.europa.eu/invest-in- research/pdf/download_en/2006-2977_web1.pdf with an appendix (G. Guidelines, Cases and Tools) that provides Case Studies from Denmark, Germany (AKWB), Austria (ARCS), Spain, Sweden, Belgium, France and the European MERITUM project.

2008 through the EU-funded project InCaS – Intellectual Capital Statements (ICS) for Europe (EC, 2008) European ICS Guideline (http://www.psych.lse.ac.uk/incas/page114/files/page114_1.pdf) was produced by academic institutes (such as London School of Economics, Fraunhofer and Universitat Politécnica de Catalunya), SME associations in five countries collaborating with 25 SMEs and supported by an international expert group (Bornemann, Edvinsson, Kivikas, Leber, Leitner) to systematically activate European businesses´ Intellectual Capital, to establish the ICS as a management tool and to integrate national approaches on ICS in Europe.

1. Enterprises: part of mainstream management literature and education; implemented in more than 1.000 SMEs 2. Multinational companies: such as Energy Baden Württemberg AG (Schmidt, 2013), Volkswagen, ZF Sachs, Kraftwerksschule E.V. 3. Application to regional innovation systems and clusters: IC also for larger systems, e.g.: regional innovation systems and machinery and metalware industries, firm-research networks and clusters such as automotive Baden Württemberg, Cadic Project, Israel as a nation, an German Ortenau as a smallish region, MAKCi project

4. Current projects focus on the application of ICR to the management of value chain: e.g. in education, but also to transfer ICR to other countries (LEGEND) 5. Application to the health care sector: Local government of Bavaria is testing ICR since 2013 6. Status quo and future perspectives: - Association of IC consultants founded 2012 (“Bundesverband Wissensbilanz”) - Initiative by all major auditing companies and more than 300 large enterprises from all over the world to integrate Intellectual Capital into the Integrated Reporting structures

November 2013 - October 2015

Besides FH JOANNEUM, partners from Germany (AKWB Wissensbilanz) & Slovakia (Centire s.r.l. – coordinators from Bratislava & IT-Valley Kosice > IT cluster in Eastern Slovakia)

Implements Intellectual Capital Reporting in the Slovakian region of Kosice for SMEs and partners of SMEs (Universities and research institutions)

VISION

GOALS & POLICIES

MEASURES

IMPLEMENTATION

Vision

Goals & Policies Mgmt. Proc. Mgmt. Intellect- ual Capital Teaching Graduates

Continuing Education

Research and Development IP Core Processes Tangible Capital Support Proc. Support

Vision

Goals & Mgmt. Policies Processes Intellectual Capital IP Production / R&D

Desk Prototype Testing Research Development Adaptation Ide IPR & a Innovation Core Processes IP IP IP Valuation Protection Exploitation Tangible Capital Support Processes

Personal Incentives

Promotion & Institutional Recognition Incentives

Work IC Corporate Climate Creation Culture

Physical Institutional Capital Support

Human Resources

1.The Austrian Intellectual Capital Act 2.Model overview 3.Narrative & quantitative part of the report 4.Examples of Indicators & data collection 5.Implementation of the model 6.Group work I: Case studies

Different types of universities: 22 public universities, 21 universities of applied sciences, 12 private universities and 9 pedagogical higher education institutions

Reforms within the University sector 2002/03: a.o. required assessment of the performance of HEIs in a regular, structured and transparent manner

since 2006: “Wissensbilanzverordnung” (Intellectual Capital Act): HEIs legally obliged to submit an annual ICR

Only for public universities

20% of the government funding given to universities is dependent on the successful development of their intellectual capital

Model of IC Reporting in the universities

Source: Leitner, 2004

The report itself consists of two parts (narrative & quantitative part) 1. Narrative part with 14 sectors a) Scope of activities, strategic goals, profiling b) Organization c) Quality assurance and quality management d) Staff development and promotion of young researchers e) Research and development/development and improvement of arts f) Studies and continuing education g) Societal objectives h) Internationality and mobility i) Cooperation j) Libraries and specific departments k) Buildings/infrastructure l) Clinical areas/tasks in public health area (for Medical universities) m) Awards n) Summary and prospect

Source: Austrian Federal Ministry of Science and Research, 2010

2. Quantitative part

• (classical) key figures partitioned by several indicators • related to the processes of the IC reporting model • same indicators for all universities (!) for better comparision • classification of the branches of science and research according to Statistic Austria > does not necessarily fit to the faculties allocation/scientific structure of the universities. Therefore, a supporting publication, how to gather and measure special key figures, is provided.

Examples of indicators of the Austrian Universities Intellectual Capital Report:

Key figures Indicator

Performance processes “teaching” number of students/field of study

Performance processes “research” number of research projects

Output “teaching” number of alumni/field of study

Output “research” granted licenses/field of research

Output “others” activities of the library

Output "teaching” starting salary of alumni

… …

Source: Austrian Federal Ministry of Science and Research, 2010

2 types of key figures distinguished (depending on their source):

Originary key figures (compiled and calculated by the universities themselves) & non-originary key figures (calculated by the Federal Ministry based on data submitted by the universities)

Non-originary key figure available through the data warehouse “uni:data”: http://www.bmwf.gv.at/unidata

> Certain key figures can be integrated into the narrative part of the report > Since 2010, universities are allowed to implement additional key figures, that would support them in using the ICR as a monitoring and steering tool

Source: Austrian Federal Ministry of Science and Research, 2010

Implementation of annual, highly standardized ICR: Originally, more than 100 indicators discussed, 56 remained for the first implementation, in 2010 revision and down-scaling to 42 indicators

1 single standardized system for all Austrian public universities

Process-orientated model similar to the ARCS model

First prototypic examples of such ICR implementation:

partial model at a department of the Mining University of Leoben (Biedermann and Graggober, 2005)

Donau University Krems (Koch and Pirker, 2005)

Other universities soon implemented their ICR system according to the legal requirements

Nowadays, meetings are held on a regular basis by Austrian public universities for exchange between university staff in charge of implementing the ICR

Source: Austrian Federal Ministry of Science and Research, 2010

Case study 1: IC Reporting at University of Graz Case study 2: IC Reporting at Graz University of Technology

Covers of ICR University of Graz & Graz University of Technology

Read through the two cases carefully (10 min) – Intellectual Capital Reporting at the University of Graz – Intellectual Capital Reporting at the Technical University of Graz

Form groups of approx. 5 persons and discuss the following questions (10 min) – What is the difference between the implementation of ICR at those universities? What are differences between the universities? – What are the benefits and potential drawbacks of a structured intellectual capital reporting system for universities? – What are most interesting findings in the reports that you could use within your institution?

Take some time (10 min) to summarize your findings on a piece of flipchart paper and post it to the wall

Read IC Report of FH JOANNEUM 2010/11 – pdf link: http://www.fhjoanneum.at/global/show_document.asp?id=aaaaaaaaaaguzpc&downlo ad=1

Analyse – Which indicators used for measuring IC are relevant for your university to capture? – What indicators are missing for your university that you think are important or relevant? – Is data on these indicators available, so are the indicators verifiable? – Summarize your findings and share it on the e-learning platform with other participants

Download: http://www.fhjoanneum.at/global/show_document.asp?id=aaaaaaaaaaguzpc&download=1 p. 52 - p. 73 E-Brochure: http://issuu.com/fhjoanneum/docs/gbwb1011_e?e=2662445/2943217, p. 52 - p. 73

Latest report 2012/13 (German only): http://www.fhjoanneum.at/global/show_document.asp?id=aaaaaaaaaaje wut&download=1

Universities in Austria legally obliged since 2006 to submit an annual Intellectual Capital Report („ICR“) For Universities of Applied Sciences ICR is optional However: ICR no longer limited to research facilities and universities > businesses are using ICRs as strategy planning instrument and for corporate policy development

Source: FH JOANNEUM Intellectual Capital Report (2007/2008)

1.Strategic framework for an assessment must be defined 2.Processes must be clearly defined 3.Intellectual capital report model must be developed/defined 4.Indicators can be defined 5.Data sources and data availability for indicators must be given

The legal environment, strategies and knowledge goals of FHJ are the framework conditions essential in creating and developing intellectual capital.

The intellectual capital is divided into three areas:  Human Capital  Structural Capital  Relational Capital

Source: FH JOANNEUM Intellectual Capital Report (2007/2008)

Source: FH JOANNEUM Intellectual Capital Report (2010/2011)

The core processes are divided into 3 areas:  Teaching  Research & development  Continuing education

The benefit of all these core processes is reflected in their output and impact.

The success of the processes is measured by their impact on the relevant stakeholders, such as graduates or funding partners.

Source: FH JOANNEUM Intellectual Capital Report (2007/2008)

Human Capital FH JOANNEUM staff have a high standard of professional expertise, scientific qualification and didactic experience. FH JOANNEUM aims at promoting equal opportunities for men and women in all corporate sectors and welcomes students and lecturers from any ethnic or religious background.

Structural Capital The professional and scientific qualification of students is ensured by a limited number of student places, by degree programmes based on a European university model and by applied research knowledge generated in research units and centres for research & development. Learner-centred work in small groups, university infrastructure (libraries, laboratories, communication and information technology) and the integration of e-learning scenarios provide an optimal learning environment.

Relational Capital International cooperation as well as student and lecturer exchange with partner universities consolidate the international position of FH JOANNEUM. Close networks with partner companies and training models together with industry (project assignments, work placements and co-operative education) ensure the quality and practical focus of the courses.

Source: FH JOANNEUM Intellectual Capital Report (2007/2008)

Human Capital FH JOANNEUM staff are active in a wide range of multifaceted projects of application-oriented research, continuously generating knowledge for the university, industry and society. The expertise gained from research & development (R&D) provides the basis for research-based teaching.

Structural Capital The flexible structures of FH JOANNEUM form an effective basis for implementing sophisticated research tasks. State of the art laboratory and IT infrastructure and libraries support the centres of research and development and the research units in their projects.

Relational Capital Partnerships with business enterprises and high quality standards are key success factors in solving challenging and innovative tasks in a joint effort. In this way, FH JOANNEUM actively contributes to strengthening the competitive capacity of Styria as a business location and centre of research. Partnerships with universities and universities of applied sciences both in the region and at the national and international level ensure exchange and advancement of research results.

Source: FH JOANNEUM Intellectual Capital Report (2007/2008)

Human Capital FH JOANNEUM staff offer their broad knowledge gained in teaching and application-oriented research projects to a wider public in the form of continuing education. FH JOANNEUM is a reliable partner in lifelong learning.

Structural Capital FH JOANNEUM provides effective structures for targeted continuing education by organising regular lecture series, postgraduate courses, symposia, the SUMMER BUSINESS SCHOOL, and e- learning courses.

Relational Capital The continuing education programme of FH JOANNEUM enables industry, the universities and society as well as its own graduates and employees to acquire knowledge on a regular basis and thus strengthen their competence.

Source: FH JOANNEUM Intellectual Capital Report (2007/2008)

Data collection  The roughly 145 indicators for the FHJ ICR were determined on three different levels.  Most of the figures are routinely gathered by central departments and were thus drawn from existing statistical data sources.  A smaller proportion of the data was collected by the degree programmes, institutes and departments, while  in a few cases, the data had to be gathered by every single employee of FHJ.

Data assesment and interpretation  An ICR team assesses and interpretes the results of the annual data collection concerning the single core processes and indicators

Setting the new annual knowledge objectives Approval by the CEOs and publication

Source: FH JOANNEUM Intellectual Capital Report (2010/2011)

ICR@FHJ contains a time series of ten years of experience by now ICR@FHJ serves primarily as measurement and reporting tool concering the annual IC status of the organisation. It is and has been an integrated part of the published Annual Business Report following an integrated reporting approach (since 2009). It is an excellent source for statistical information, reporting for stakeholders and benchmarking with others. It also serves as a management and steering tool for a „soft“ knowledge strategy and corresponding organisational development. It is especially useful for the description and measurement of RDI acitivities. Its usage as a strategic management tool @ FHJ is not fully deployed yet. This finding is also true for most of the universities.

IC Reporting in HEIs in Austria is well embedded (by law), but also quite widespread among universities that are not covered by the ICR law (such as FH JOANNEUM) There is still room for improving the ICR processes (top- down and bottom-up approaches) ICR gets more connected to overall steering instruments for university governance