Automation, Communication and Cybernetics in Science and Engineering 2009 2010 (English and German Edition)

Automation, Communication and Cybernetics in Science and Engineering 2009/2010 Sabina Jeschke · Ingrid Isenhardt · Kl...

Author: Sabina Jeschke | Ingrid Isenhardt | Klaus Henning

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Automation, Communication and Cybernetics in Science and Engineering 2009/2010

Sabina Jeschke · Ingrid Isenhardt · Klaus Henning Editors

Automation, Communication and Cybernetics in Science and Engineering 2009/2010

123

Editors Sabina Jeschke Ingrid Isenhardt Klaus Henning IMA/ZLW & IfU - RWTH Aachen University Faculty of Mechanical Engineering Dennewartstraße 27 52068 Aachen Germany [email protected] [email protected] [email protected]

ISBN 978-3-642-16207-7 e-ISBN 978-3-642-16208-4 DOI 10.1007/978-3-642-16208-4 Springer Heidelberg Dordrecht London New York Mathematics Subject Classification (2010): 68-06, 68Q55, 68T30, 68T37, 68T40 CR Subject Classification: I.2.4, H.3.4 © Springer-Verlag Berlin Heidelberg 2011 This work is subject to copyright. All rights are reserved, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilm or in any other way, and storage in data banks. Duplication of this publication or parts thereof is permitted only under the provisions of the German Copyright Law of September 9, 1965, in its current version, and permission for use must always be obtained from Springer. Violations are liable to prosecution under the German Copyright Law. The use of general descriptive names, registered names, trademarks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. Cover design: WMXDesign GmbH, Heidelberg Printed on acid-free paper Springer is part of Springer Science+Business Media (www.springer.com)

Preface

Dear reader, we are very pleased, that with this new book series of our institute cluster, we succeeded in bringing together our scientifically diverse and widespread publications. Especially for such an interdisciplinary research institution like the ZLW/IMA & IfU the wish for an “integrated presentation” is quite great, since the represented disciplinary cultures - from engineering und natural sciences over humanities, social and communicational sciences up to economics - meet very different publication cultures. It is therefore of most importance for us to unite all contributions from a specified period in one book. The idea to publish an annual book edition, which contains a comprehensive selection of publications of the institute cluster, originated from this wish. Almost all publications were peer-reviewed and published in recognized journals or conference proceedings of the various disciplinary cultures. This is the first edition of this series. In the last months the institute cluster ZLW, IMA & IfU has been reorganized. Together with the division managers we summarized our existing research fields and those introduced by Sabina Jeschke in five department-overlapping research fields. These fields run transversely to the organizational structure of the five areas of operations (departments) of the institute cluster, which are depictured in the underlying matrix. The agile and turbulence-suitable processes field summarizes our research activities on systems that are turbulent in their level of complexity. Therein the transfer of the agility principle of the software development to the process management plays an important role. Our research and application areas lie in knowledge and technical intensive organizations. To these belong e.g. the Cross Sectional Processes, which deal with efficient networking and transparency of the research processes in large, distributed and highly networked research clusters. Examples are the Cluster of Excellence “Integrative Production Technology for High-wage Countries” and “Taylor- made Fuels from Biomass” at the RWTH Aachen University. - The challenge for the research project Med-on@Aix (a telematic-supported high-performance rescue system) is the formation of organizational and logistical consistency in highly complex and non-predictable rescue scenarios. - Projects like the “value proposition of the IT”, which deal with the determination of assessments in complex environments, build the bridge to the new research focus: Dynamical IT-Outsourcing/Cloud Computing. v

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Preface

Fig. 1 Research Profile of ZLW/IMA & IfU

The research field next-generation teaching and learning concepts does not only address the demand on new ways of teaching and teaching processes for the generation grown up with the internet. It also involves the different approaches to teaching and learning along different diversity categories with the focus on age and gender and with the consideration of different mental user models. A typical example for Universities is one of the largest projects of the institute cluster, the project KISSWIN. On behalf of the Federal Ministry of Education and Research (BMBF) a nationwide platform for young scientists is built and operated. This includes also an annual convention with around 1000 participants. - To address also the younger academic generation we opened the student laboratory RoboScope in July 2010, which focuses on robotics and is sponsored by the federal state North Rhine-Westphalia. This is the first building block of the RWTH Education Labs with the prime target group being school children. - The economical side within this research field is covered for example by the EU project RELOAD. In RELOAD microteaching units are developed for employees of DIY stores, which can be used for further qualification during work time. The research field cognitive IT-supported processes covers the numerous project areas, which primarily deal with the cognition of technical systems and the development of cognitive-supported models that base on these systems. Within this research field belongs the research area “partly automated systems” which has been ongoing for about 10 years and involves electronically coupled truck convoys. - In future we will intensify our research on automated elements up to completely automated driving. - Recently the conception of cognitive, artificial intelligence-supported controls to plan flexible, adaptive assembly systems for a larger diversity of products (keyword: “Factories of the Future”) have become a greater matter of interest. - Also the interaction of heterogeneous robot teams will be considered at the ZLW/IMA & IfU as well as research on humanoid robots.

Preface

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With target group-adapted user models we cover a research field, which has a long tradition at the institute cluster. The aim is the development of technologies and human-machine interfaces considering the user models of the different target groups, the human “going from servant to user”. An example is the by European forwarding agents driven development of a new type of container within the project Tellibox, which is sponsored by the European Union. The development is oriented towards the loading requirements of the haulers, which is especially a challenge for the construction teams. - Another socially extremely relevant topic is “accessibility”, in particular barrier-free concepts for web services, software concepts, devices and machines using user and model centered development and multi modal user concepts. The research questions within the field semantic networks and ontologies have been addressed in more and more of our projects over the last years. Especially in complex value chains, which are close to applications, this topic is an enormous challenge for researchers. Within the Cluster of Excellence “Integrative production technology for highwage countries” the institute makes an important contribution to the semantic coupling of the differently structured simulations of applications. This enables a continuous simulation of complex production procedures. Centerpiece is the development of an ontology basis through which the different parts of the simulations can communicate. - Development of ontologies and semantic networks of the focus of the project AsIsKnown for the determination of trends that overlap several sectors in the design of carpets, curtains and upholstered furniture. The network is used now European-wide. - Within the new research focus “web services, semantic web, cloud computing” ontologies play and important role for the design and implementation, and orchestration of single services to complex process chains. The five core research fields display the structure of this book. The complete work is now lying before us of which we are happy about. Our deepest thanks goes to our personal assistant Dr. Alicia Liedtke for her tireless and thorough sighting and compilation of the articles and the coordination of this publication project, which was an unusual task for an experimental physicist. Grateful acknowledgements are also due to those who supported us with the formatting and correction of the articles. Also, we thank the Springer Verlag for publishing this volume and thus helping us to position the research activities of our institute cluster into an international frame. We hope that this series of publications is contributing to the global promotion of broad und interdisciplinary research methods. Further we would like to express our gratitude to the RWTH Aachen University for providing an open, inspiring atmosphere and a great scientific infrastructure, which make the RWTH Aachen to an extraordinary University. Finally, we thank all employees from our heart for their never ending commitment, for their creativity and that they do make the institute to something very special! Aachen, August 2010

Sabina Jeschke Ingrid Isenhardt Klaus Henning

Contents

Part I Agile and turbulence-suitable processes How to Structure and Foster Innovative Research . . . . . . . . . . . . . . . . . . . . . . Ursula Bach, Ingo Leisten

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Innovation Rules 2030 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Ursula Bach, Klaus Henning Gestaltungsansätze für ein systemisches Fakultätsmanagement . . . . . . . . . 27 Sabine Bischoff, Paul Flachskampf, Klaus Henning Prävention und Innovation - Strategische Ausrichtung, aktuelle Fragen und Ausblick . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 Klaus Henning, Ursula Bach Yes, we can! Warum Deutschland den Kopf nicht in den Sand stecken sollte . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 Klaus Henning, Frank Hees, Ursula Bach, Alan Hansen Management and Optimal Distribution of Large Student Numbers . . . . . . 71 Sabina Jeschke, Gerald Lach, Robert Luce, Olivier Pfeiffer, Erhard Zorn Spirit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85 Sabina Jeschke, Barbara Burr, Peter Göhner, Wolfram Ressel, Wolfgang Schlicht Going diverse in the two Clusters of Excellence “Integrative Production Technology for High-wage Countries” and “Tailor-Made Fuels from Biomass” at RWTH Aachen University . . . . . . . . . . . . . . . . . . . . . . . . . . 103 Claudia Jooß, René Vossen, Anja Richert, Ingrid Isenhardt ix

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Strategic Transfer Communication in Prevention Research as a Contribution to the Innovative and Competive Ability of Enterprises . . . . 107 Ingo Leisten, Frank Hees A Methodology to Reduce Technical Risk in the Development of Telematic Rescue Assistance Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 Matthias Müller, Michael Protogerakis, Klaus Henning Defining a universal actor content-element model for exploring social and information networks considering the temporal dynamic . . . . . . . . . . . 123 Claudia Müller, Benedikt Meuthrath, Sabina Jeschke A Composite Calculation for Author Activity in Wikis: Accuracy Needed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 Claudia Müller-Birn, Janette Lehmann, Sabina Jeschke Experiences from an International Student and Staff Exchange Program and Some Still Unsolved Mysteries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 Olivier Pfeiffer, Sabina Jeschke, Lars Knipping, Nina Reinecke, Erhard Zorn A System Architecture for a Telematic Support System in Emergency Medical Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163 Michael Protogerakis, Arno Gramatke, Klaus Henning Designing Agile Processes in Information Management . . . . . . . . . . . . . . . . 173 Uschi Rick, René Vossen, Anja Richert, Klaus Henning Kulturveränderung oder kulturbasierte Veränderung? Eine strategische Entscheidung . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 Robert Schmitt, Thilo Münstermann, Klaus Henning, Alexandra Ottong Network Management for Clusters of Excellence - A Balanced-Scorecard Approach as a Performance Measurement Tool . . . . . . . . . . . . . . . . . . . . . . . 195 Florian Welter, René Vossen, Anja Richert, Ingrid Isenhardt Part II Next-generation teaching and learning concepts for universities and the economy Application of Remote Technology to Electrical Power System Laboratories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 Saleh Al-Jufout, Sabina Jeschke, Abdullah Y. Al-Zoubi, Jarir Nsour, Olivier Pfeiffer

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Environments for Work and Learning 2020 . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 Stefan Brall, Ursula Bach, Frank Hees Developing a PBL-based Rescue Robotics Course . . . . . . . . . . . . . . . . . . . . . 231 Frank Hees, Sabina Jeschke, Nicole Natho, Olivier Pfeiffer Networking Resources for Research and Scientific Education in BW-eLabs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 Sabina Jeschke, Eckart Hauck, Michael Krüger, Wolfgang Osten, Olivier Pfeiffer, Thomas Richter Networked Virtual and Remote Laboratories for Research Collaboration in Natural Sciences and Engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259 Sabina Jeschke, Arno Gramatke, Olivier Pfeiffer, Christian Thomsen, Thomas Richter Natural Sciences in the Information Society First Experiences . . . . . . . . . . 271 Grit Köppel, Sabina Jeschke, Nicole Natho, Lars Knipping, Grit Petschik, Christian Schröder, Erhard Zorn Bringing Problem Based Learning to Academic Engineering Education using Robotics as the Utility Vehicle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281 Nicole Natho, Sabina Jeschke, Lars Knipping, Olivier Pfeiffer, Ursula Vollmer, Marc Wilke New Media in Education and Research – a Sophomore Lecture at TU Berlin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 Nicole Natho, Sabina Jeschke, Erhard Zorn Supporting Collaboration in Professional Soft-Skill Training Courses . . . . 301 Olivier Pfeiffer, Sabina Jeschke, Lars Knipping, Nicole Natho LiLa: A European Project on Networked Experiments . . . . . . . . . . . . . . . . . 307 Thomas Richter, David Boehringer, Sabina Jeschke VIDEOEASEL - A Flexible Programmable Simulation Environment for Discrete Many Body Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319 Thomas Richter, Sabina Jeschke, Olivier Pfeiffer An Intensive Course in Mathematics for Engineers: Experiences and Prospects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329 Mike Scherfner, Sabina Jeschke, Matthias Plaue

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Moderne Studienform: Galilea und der Bachelorstudiengang „Naturwissenschaften in der Informationsgesellschaft“ . . . . . . . . . . . . . . . . 337 Christian Schröder, Sabina Jeschke, Nicole Natho, Olivier Pfeiffer Microtraining for Workplace-Related Learning . . . . . . . . . . . . . . . . . . . . . . . 347 Anne Carina Thelen, Sascha Daniel Herr, Frank Hees, Sabina Jeschke Teachers need robotics-training, too . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359 Ursula Vollmer, Sabina Jeschke, Barbara Burr, Lars Knipping, Jörg Scheurich, Marc Wilke RELOAD - A Semantic-based Learning and Knowledge Platform for Employees of the Do-It-Yourself Industry . . . . . . . . . . . . . . . . . . . . . . . . . 365 Florian Welter, Olivier Pfeiffer, Anja Richert, Sabina Jeschke Pre-Freshmen Students Gearing up with Early Bird . . . . . . . . . . . . . . . . . . . 373 Erhard Zorn, Sabina Jeschke, Akiko Kato, Olivier Pfeiffer Part III Cognitive IT-supported processes for heterogeneous and cooperative systems Software Architecture, Knowledge Compiler and Ontology Design for Cognitive Technical Systems Suitable for Controlling Assembly Tasks . . . 383 Eckart Hauck, Daniel Ewert, Arno Gramatke, Klaus Henning Sustainable Transport - Knowledge and Innovations at RWTH Aachen University for Europe’s Systems of Tomorrow . . . . . . . . . . . . . . . . . . . . . . . . . 393 Klaus Henning, Leonie Petry, Richard Ramakers, Julie Meinhold Benefits of RFID for the Production of hybrid Micro Systems in flexible Production Networks of SMEs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407 Verena Jänen, Christian Tummel, Klaus Henning Automated Truck Platoons on Motorways – A Contribution to the Safety on Roads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415 Ralph Kunze, Max Haberstroh, Richard Ramakers, Klaus Henning, Sabina Jeschke Organization and Operation of Electronically Coupled Truck Platoons on German Motorways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427 Ralph Kunze, Richard Ramakers, Klaus Henning, Sabina Jeschke

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Electronically Coupled Truck Platoons on German Highways . . . . . . . . . . . 441 Richard Ramakers, Klaus Henning, Stefan Gies, Dirk Abel, Max Haberstroh Determination of the Order of Electronically Coupled Trucks on German Motorways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453 Christian Tummel, Ralph Kunze, Klaus Henning RENS – Enabling A Robot to Identify A Person . . . . . . . . . . . . . . . . . . . . . . . 467 Xin Yan, Sabina Jeschke, Hinrich Schütze, Amit Dubey, Marc Wilke Part IV Target group-adapted user models for innovation and technology development processes Open Innovation - Strategie der offenen Unternehmensgrenzen für KMU . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 481 Sabine Bischoff, Gergana Aleksandrova, Paul Flachskampf Criteria for Age Based Design of Active Vehicle Safety Systems . . . . . . . . . 495 Max Haberstroh, Max Klingender, Richard Ramakers, Klaus Henning Dynaxibility for Innovation – Global trends in the field of “Working, Learning, Developing Skills” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 507 Klaus Henning, Frank Hees, Alan Hansen Größere Nutzfahrzeuge - länger und schwerer? Chancen und Risiken für Europa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519 Max Klingender, Richard Ramakers, Klaus Henning In-depth Safety Impact Study on longer and/or heavier commercial vehicles in Europe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539 Max Klingender, Richard Ramakers, Klaus Henning Economic Assessment of Innovations – Application of the Value Oriented Cost-Effectiveness Estimation on Electronically Coupled Trucks . . . . . . . . 553 Ralph Kunze, Sabine Bischoff, Paul Flachskampf User Acceptance as a Key to Success for the Implementation of a Telematic Support System in German Emergency Medical Services . . . . . 563 Marie-Thérèse Schneiders, Michael Protogerakis, Ingrid Isenhardt Benutzungsorientierte Entwicklung barrierefreier Benutzungsschnittstellen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 569 Helmut Vieritz, Sabina Jeschke, Olivier Pfeiffer

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Using Web Accessibility Patterns for Web Application Development . . . . . 579 Helmut Vieritz, Sabina Jeschke, Olivier Pfeiffer Part V Semantic networks and ontologies for complex value chains and virtual environments Crystalline Ge1−x Snx Heterostructures in Lateral High-Speed Devices . . 597 Sabina Jeschke, Olivier Pfeiffer, Joerg Schulze, Marc Wilke Digitale Produktion via Enterprise Application Integration . . . . . . . . . . . . . 609 Tobias Meisen, Philipp Meisen, Daniel Schilberg, Sabina Jeschke Dynamische Gruppenarbeit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 623 Thilo Münstermann, Jens Völzke, Paul Flachskampf Knowledge Base Concepts in the KEA System Combined with Social Networking Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 635 Nicole Natho, Sabina Jeschke, Marc Wilke, Olivier Pfeiffer Enterprise Application Integration für die virtuelle Produktion . . . . . . . . . 651 Daniel Schilberg, Tobias Meisen, Philippe Cerfontaine, Sabina Jeschke Ontology Based Semantic Interconnection of Distributed Numerical Simulations for Virtual Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 661 Daniel Schilberg, Tobias Meisen, Klaus Henning Verkettung von Prozesssimulationen für die virtuelle Produktion . . . . . . . . 671 Daniel Schilberg, Arno Gramatke, Klaus Henning Monographs and Book Contributions Published at the ZLW/IMA & IfU . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 679

Contributors

Dirk Abel Institut für Regelungstechnik (IRT), RWTH Aachen University, Steinbachstr. 54, 52074 Aachen, Germany Gergana Aleksandrova ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Saleh Al-Jufout Electrical Engineering Department, Tafila Technical University, P.O. Box (179), Tafila (66110), Jordan Abdullah Al-Zoubi Princess Sumaya University for Technology, P.O. Box 1438, Al-Jubaiha, 11941 Jordan Ursula Bach ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Sabine Bischoff Institut für Unternehmenskybernetik e.V., Schurzelter Str. 25, 52074 Aachen, Germany David Boehringer RUS Computing Center, University of Stuttgart Allmandring 30a, 70550 Stuttgart, Germany Stefan Brall ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Barbara Burr Institute of Information Technology Services (IITS), University of Stuttgart, Allmandring 30A, 70569 Stuttgart, Germany Philippe Cerfontaine Institute for Scientific Computing, RWTH Aachen University, Seffenter Weg 23, 52056 Aachen, Germany David Cremer ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Amit Dubey Institute for Communicating and Collaborative Systems, University of Edinburgh, 10 Crichton Street, Edinburgh EH8 9AB, UK Daniel Ewert ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany xv

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Contributors

Paul Flachskampf Institut für Unternehmenskybernetik e.V., Schurzelter Str. 25, 52074 Aachen, Germany Stefan Gies Institut für Kraftfahrzeuge (ika), RWTH Aachen University, Steinbachstr. 7, 52074 Aachen Peter Göhner Institut für Automatisierungs- und Softwaretechnik, University of Stuttgart, Pfaffenwaldring 47, 70550 Stuttgart, Germany Wojtek Gora MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Arno Gramatke ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Max Haberstroh ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Jens U. Hahn Department of Information and Communication, Stuttgart Media University, Nobelstr. 322, 70191 Stuttgart, Germany Alan Hansen ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Eckart Hauck ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Frank Hees ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Leni Helmes Fachinformationszentrum Karlsruhe (FIZ Karlsruhe), Hermann-vonHelmholtz-Platz 1, 76344 Eggenstein-Leopoldshafen, Germany Klaus Henning IMA/ZLW & IfU - RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Sascha Daniel Herr ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Ingrid Isenhardt IMA/ZLW & IfU - RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Verena Jänen ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Sabina Jeschke IMA/ZLW & IfU - RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Claudia Jooß ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Akiko Kato Institut für Theoretische Physik, Berlin University of Technology, Hardenbergstr. 36, 10623 Berlin, Germany

Contributors

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Max Klingender ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Lars Knipping MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Grit Köppel MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Walter Kriha Institute of Information Technology Services (IITS), University of Stuttgart, Allmandring 30A, 70569 Stuttgart, Germany Michael Krüger Freiburg Materials Research Centre (FMF), University of Freiburg, Stefan Meier Strasse 21, 79104 Freiburg, Germany Ralph Kunze ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Gerald Lach MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Mirjana Lach MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Janette Lehmann Institut für Informatik, Universität Potsdam, August-Bebel-Str. 89, 14482 Potsdam, Germany Ingo Leisten ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Andreas W. Liehr Freiburg Materials Research Centre (FMF), University of Freiburg, Stefan Meier Strasse 21, 79104 Freiburg, Germany Robert Luce MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Jan Lübbe MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Julie Meinhold ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Philipp Meisen Inform GmbH, Pascalstr. 23, 52076 Aachen, Germany Tobias Meisen ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Benedikt Meuthrath Institute of Computer Science, Freie Universität Berlin, Königin-Luise-Str. 24/26, 14195 Berlin, Germany Claudia Müller-Birn (formerly Müller) Institute for Software Research, Carnegie Mellon School of Computer Science, 5000 Forbes Avenue, Pittsburgh, PA 15213, USA

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Matthias Müller ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Thilo Münstermann Institut für Unternehmenskybernetik e.V., Schurzelter Str. 25, 52074 Aachen, Germany Nicole Natho MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Jarir Nsour Princess Sumaya University for Technology, P.O. Box 1438, Al-Jubaiha, 11941 Jordan Wolfgang Osten Institute of Technical Optics, University of Stuttgart, Pfaffenwaldring 9, 70569 Stuttgart, Germany Alexandra Ottong Fraunhofer-Institut für Produktionstechnologie IPT, Steinbachstr. 17, 52074 Aachen, Germany Leonie Petry ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Grit Petschik MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Olivier Pfeiffer MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Matthias Plaue School for Mathematics and Natural Sciences, TU Berlin, Straße des 17. Juni 136, 10623 Berlin, Germany Michael Protogerakis ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Richard Ramakers ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Nina Reinecke MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Wolfram Ressel Lehrstuhl für Straßenplanung und Straßenbau, University of Stuttgart, Pfaffenwaldring 7, 70569 Stuttgart, Germany Anja Richert ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Thomas Richter RUS Computing Center, University of Stuttgart Allmandring 30a, 70550 Stuttgart, Germany Uschi Rick ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Mike Scherfner Institute of Mathematics, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany

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Jörg Scheurich Institute of Information Technology Services (IITS), University of Stuttgart, Allmandring 30A, 70569 Stuttgart, Germany Daniel Schilberg ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Wolfgang Schlicht Institut für Sport- und Bewegungswissenschaft, University of Stuttgart, Allmandring 28, 70569 Stuttgart, Germany Robert Schmitt Fraunhofer-Institut für Produktionstechnologie (IPT), Steinbachstr. 17, 52074 Aachen, Germany Gerhard Schneider Computing Center, Albert-Ludwigs-Universität, HermannHerder-Strasse 10, 79085 Freiburg, Germany Marie-Thérèse Schneiders ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Christian Schröder MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Hinrich Schütze Institut für Maschinelle Sprachverarbeitung, University of Stuttgart, Azenbergstr. 12, 70174 Stuttgart, Germany Jörg Schulze Institut für Halbleitertechnik, University of Stuttgart, Pfaffenwaldring 47, 70569 Stuttgart, Germany Werner Stephan Universitätsbibliothek Stuttgart (UBS), University of Stuttgart, Holzgartenstr. 16, 70174 Stuttgart, Germany Anne Carina Thelen ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Christian Thomsen MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany Christian Tummel ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Helmut Vieritz ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Ursula Vollmer Institute of Information Technology Services (IITS), University of Stuttgart, Allmandring 30A, 70569 Stuttgart, Germany Jens Völzke Institut für Unternehmenskybernetik e.V., Schurzelter Str. 25, 52074 Aachen, Germany René Vossen ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Karl-Heinz Weber Fachinformationszentrum Karlsruhe (FIZ Karlsruhe), Hermann-von-Helmholtz-Platz 1, 76344 Eggenstein-Leopoldshafen, Germany

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Florian Welter ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany Marc Wilke Institute of Information Technology Services (IITS), University of Stuttgart, Allmandring 30A, 70569 Stuttgart, Germany Xin Yan Institute of Information Technology Services (IITS), University of Stuttgart, Allmandring 30A, 70569 Stuttgart, Germany Erhard Zorn MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany

Part I

Agile and turbulence-suitable processes

How to Structure and Foster Innovative Research Ursula Bach, Ingo Leisten

Abstract Innovative research structures provide the possibility to address new stakeholders on the topic Preventive Occupational Health and Safety. Therefore the stakeholder to the Preventive Occupational Health and Safety can be appealed, as for example health insurance schemes, chambers of commerce or ministries. This means, visibility of the research community can be raised at the network and society level ([HLBH09]:26). To reach the aim “better visibility of the research community”, “improving integration of the partners in the research groups” and the “avoidance of the "fragmenting" of a research community”, different network management methods were applied in the founding priority Preventive Occupational Health and Safety ([Hue03]:119). The choice of the methods of the network management bases on the needs of a research network in three specific network phases: phase of initiation, phase of stabilisation and finally the phase of increasing steadiness. Every phase puts different challenges to the network management. Keywords Innovation · research · structure · network management · methodical support

1 Once Upon a Time. . . . . . not all that long ago, Heine v. Alemann [vA84] described research work as an island, situated between the Sea of Theories and the Ocean of Experience. In a humoristic and caricaturing way he showed what hills and dales research has to range in order to successfully complete a project. This sketch does not yet mention the connections between entrepreneurial practice and science, nor the question how research projects can successfully achieve target-group specific transfer of their findings (see Fig. 1). To counter this deficit that leaves aside the importance of practical relevance of scientific results as well as the necessity of transfer U. Bach (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected] © [2010] INTED2010. Reprinted, with permission from INTED2010 Conference Proceedings: ISBN:978-84-613-5538-9, IATED, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_1

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Fig. 1 The Island of Research according to v. Alemann [vA84]. Own translation of inscriptions

activities, the Project Management Agency for the federal R&D programme on innovations in working life (PT-DLR) introduced innovative funding structures for granting proposals of the Founding Priority “Preventive Occupational Safety and Health”. On various levels, scientific work within the promotional focus takes place across different joint research projects ([HLBH09]: 14–17). Through bundling, systematizing and concentration of the diverse project actors new constellations of actors and institutes can be identified and addressed as target groups (see Fig. 2). Particularly on the levels of networks and society visibility of the research community can be enhanced, this in turn helps to address the stakeholders of Preventive Occupational Safety and Health ([HLBH09]: 26). To support the work of the different research groups a transfer project was initialized. This special research meta-project StArG (Strategischer Transfer im Präventiven Arbeits- und Gesundheitsschutz, engl. Strategical Transfer in the field of Preventive Occupational Safety and Health) provide research results for network management and research communication. Here the basic results will be introduced. It has proved feasible to map the constellations of actors and institutions onto the four levels of recursion. Also, with respect to the debate on the structure of the funding priority, it has become established practice to also map the individual research actors onto the same levels of recursion (see Fig. 3): Sub-Projects, Joint Projects, Focus Groups, Funding Priority describe the structures within the funding priority, on the other hand, the levels reaching beyond the funding priority point to the research program, the German Federal Ministry of Education and Research, the political space and the international level respectively.

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Fig. 2 Depiction of new actor and institutional constellations based on the Transfer Diagnostic Workshops held by the StArG meta-project

Fig. 3 Recursive levels of the Funding Priority “Preventive Occupational Safety and Health” ([HLBH09]: 15)

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2 Network Management methods of the funding priority “Preventive Occupational Safety and Health” When choosing management methods, the funding priority understood itself as a research network. This is the case as it shows network-specific characteristics. Network theory gives four characteristics research networks have to feature in order to be referred to as such (cf. [Jan04]: 21): 1a) Research networks consist of several individually disjunct network partners. 2a) These network partners are related through regulated prearrangements. 3a) The network partners have the possibility to use synergies, e.g. through resource sharing or knowledge exchange. 4a) The network partners have a technological or social subsystem. Regarding the research network, these four characteristics can be translated as follows: 1b) The research network “Preventive Occupational Safety and Health” consists of 18 joint research projects and nine individual research projects that work on diverse research results and approaches within diverse research institutions and enterprises from diverse scientific disciplines ([pt208]: 4). 2b) The content-related relationships of the various projects are formulated through the composition of the focus groups. The relationships built through the funding priority and fostered through regular events are initiated, organized and carried out by the meta-project (for an overview on the activities of the funding priority see www.starg-online.de). 3b) The individual network and research partners have a multitude of possibilities to use resources within the funding priority, e.g. through joint surveys and synergetic public relations work or through annual conferences that serve as a platform for joint scientific work on topics of “Preventive Occupational Safety and Health”. 4b) The social sub-system of the research network is created by the structures of the funding priority (cf. Fig. 3). The technological sub-system is created among others through the interactive exchange and discussion platform as well as through the material resources of the individual projects. The following goals are generally intended when initiating research networks: Better integration of the joint research participants and “avoidance of `fragmentatio´” of a research community ([Hue03]:119). In joint research, a better integration generally means a better cooperation between science and entrepreneurial practice. In the case of the funding priority “Preventive Health and Safety” broaderranging aims are intended: To contribute to the competitive ability of German economy, to counter economic losses through insufficient preventive workplace health and safety measures and to stay abreast of changes in the modern work environment [BMB05].


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The choice of network management methods thus has to allow for the project goals as well as the necessities of a research network during the individual network stages. According to Ahrens et al. [OH04], a research network, once approved, runs through three stages: the initiating phase, the stabilizing phase and the permanent phase. The initiating phase lays the foundations for joint work. Here, mutual trust is established and first attunements are made regarding thematic decisions, division of labor or structural agreements. The stabilizing phase is the most productive stage of a network. The chances for utilizing resources have become clear and trust can be deepened. In the permanent phase, the actual work of the network is heading toward the end and results have to be secured, processed and made available for subsequent stages (for an elaboration, cf. [Aea04]). Within the third phase, research networks with private and/or public funding have to pay special attention to later utilization of their projects’ results ([BMB06]:5). Leisten further suggests keeping appropriability in view across all of the research process [HLB09]. When designing research networks, it has to be noted that these phases rarely ever occur in stringently chronologic succession but rather tend to overlap, repeat themselves or get abandoned. Thus, every phase poses different challenges to network management (summarized in Table 1). Besides knowledge of the individual stages a diagnosis of the research network is necessary to facilitate strategic management. This diagnosis is structured along five lines: Structure of actors, communication and interactions, development and renewing, controlling, and the material equipment of the projects and focus groups ([Lea04]:39). The Actor line describes e.g. what projects are part of the funding priority, which value partners are integrated into the research processes or what focus groups have been initiated. The line of communication and interactions depicts what

Table 1 Own compilation of the phases and their requirements for a network management of the funding priority according to [Aea04]:19. Phases Initiating phase

Requirements

Choice of projects, Composition of focus groups, Matching expectations and values that are to be the foundations of joint efforts, Settling the means of exchange within the thematic superstructure of the focus groups, Stabilizing phase Attunement of task and resource allotments, Assigning individual tasks and resources. Create possibilities to build trust beyond the activities of the first stage, Work out a mutual understanding of the research matter, Synergies are being recognized and made use of, e.g. through joint surveys of research results. Permanent phase Securing a sustained impact of research results, Expansion of the network, Funding-priority-internal securing of results for funding-priority-external transfer, Work out visions for the future of the funding priority.

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ways of communication are used and what sorts of interaction are possible between the actors. Development and renewing shows the innovative potential of the research network. Controlling contains tools and instruments that a network wants to allow itself to check its alignment with its goals. Material equipment provides an overview of the financial, organizational and staff resources available to the research network. These findings describe the basis of decision-making on which the meta-project StArG has chosen and incorporated management methods during the term of the funding priority “Preventive Occupational Safety and Health” (see Fig. 4). The picture exemplarily shows one management method per network phase. Other methods and activities can be obtained at www.starg-online.de. During the stabilizing phase it has proved an advantage within the funding priority to hold a Method Workshop within the individual focus groups. The method workshop provides the scientific sub-projects with an opportunity to exchange on scientific methods on data survey, data analysis and data processing. This has proved valuable to facilitate exchange across project, discipline and domain borders and to make interdisciplinary work possible. It is one powerful tool to lay foundations for the future of the focus group and to make sure empirical surveys can be used across the board. From the vantage point of the meta-project StArG, it seems sensible to hold a Transfer-Diagnosis Workshop both in the joint research projects and in the focus groups. The Transfer-Diagnosis Workshop is a concept that has been tailordesigned for projects and focus groups of the funding priority “Preventive Workplace Health and Safety”. It serves to analyze transfer conditions within the individual research projects. Target of the workshops is to obtain and analyze information on the transfer situation of the project partners. Changes concerning transfer contents, goals, framework conditions, partners and target groups can be identified in order to react with new transfer strategies ([HLB09]:25f.).

Fig. 4 Table of the possible methods of network management within the funding priority considering the individual phases and available design elements


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The Permanent Phase within a funding priority serves as preparation for the phase of sustainment where results and their appropriation are maintained. Here, we gave the example of the Position Paper. Position papers summarize the metatopics developed during the collaboration of the focus groups. Content parentheses are visible in the denomination of the focus groups, like “New Methods of Cost-Effectiveness Assessment” or “Corporate Prevention and Health Fostering in Knowledge Economy”. Through a dialog with the projects of the focus group demands for research can be extracted so that a thematic Future Bulletin on the topic of the focus group can be developed and published. The Position Paper provides an opportunity to give a scientific strategic statement during the phase of sustainment, but also to compile a summary of the scientific results. All the presented methods of network management must be able to bridge the gap between the requirements of research funding and the individual work within the project (according to [Sau05]:101).

3 Transfer activities of the funding priority “Preventive Occupational Safety and Health” in 2009 After having shed light on the “innards” of a research network, let us not forget that a funding priority is not established as an end in itself by Federal research funding. The funding priority is set the task to find practice-oriented approaches to the prevention dilemma and to enable value partners to make use of them ([PA06]:59). At the same time, it is intended to support intermediaries in their function as service providers ([BMB06]:263). In order to not let a funding priority become a “closed shop” but rather to let its results become part of public knowledge a multitude of transfer instruments are necessary which have to serve both transfer in width and depth and are suitable for a diversity of target groups (cf. Fig. 3). Transfer activities are carried out by the individual levels of the funding priority (cf. Fig. 3). Role of the meta-project is to initiate these individual transfer activities, to accompany them methodologically and to assist with implementation (print, layout, moderation, conceptualization etc.). Exemplarily for all transfer activities of the funding priority, we will present the methods used in 2009.

3.1 Transfer Level of Joint Research Projects Besides classical transfer methods like web page maintenance, keeping project flyers up to date and the publication of papers, some of the projects entering the phase of sustainment have organized and held Project Conferences. Not only those immediately involved were invited, but also persons and actors working in the research – and above all practical – field of “Preventive Workplace Health and Safety”. This enabled the projects to pass on research results and to acquire new appropriators and users.

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3.2 Transfer Level of Focus Groups For the focus groups, the last complete year of the funding priority’s term became the time of reaping the fruits of the mutual discussions, the scientific debates and the methodological arguments. The contents of the focus groups have been compiled in two joint publications. The Focus Group Brochures serve to thematically collect and concentrate the scientific work in the scope of the focus groups. These brochures are targeted at research funding. While the focus group brochures summarize the findings of the focus groups, the Position Papers offer an opportunity to look into the future. The position paper as a “future bulletin” serves to point at further demands for research and to identify blind spots.1 A Strategy Planner has been developed by the meta-project as support for the focus groups. Here, some 70 transfer methods can be evaluated, weighed and prioritized according to the focus groups’ own framework conditions. Based on these assessments the strategy planner suggests a top-ten list of the best measures for the design of transfer.

3.3 Transfer Level of Funding Priority Same as in 2007 and 2008, StArG prepared, organized and held an Annual Conference of the funding priority. Matters of content were directed by an editorial team consisting of representatives of the funding priority. 130 participants congregated to work out, discuss and pass the Aachen Impulse “Realign Prevention Research – Strengthen Innovative Ability”. The content-related dialog forums discussed the diverse building blocks of the Impulse and revised and perfected them within the individual forums. These revised text parts were then introduced to the plenum for a second discussion and final adoption. Through this means, the largest possible consent on the Impulse Bulletin could be guaranteed so that the funding priority was able to present research successes and further research demands in unison. This is a signal that an interdisciplinary research community on topics of “Preventive Occupational Safety and Health” has indeed been established over the last three years and stands ready for future challenges. Another transfer instrument made available by the meta-project is the “Interactive Work and Discussion Platform” (iDA). Having been originally intended as an instrument facilitating cooperation within projects and focus groups by means of a common data management system, directory management, event calendar and a pin board of the Project Management Agency, iDA and its underlying concept has evolved into a transfer instrument across founding priority boundaries. Since October 2009, all funding priorities of the program “Working, Learning, Developing

1

The position papers can be obtained at www.starg-online.de.


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Skills. Potential for Innovation in a Modern Work Environment” can use iDA as a one-stop access to results of the various projects. Maintenance of the iDA is carried out by the individual meta-projects

3.4 Transfer Level of Research Program In order to bring the contributions of the funding priority and its integrated projects to the light of day, various transfer activities have been initiated and carried out by the meta-project in 2009. The German Federal Ministry of Education and Research held the 2nd Future Forum on Innovative Ability at the beginning of April. Here3, the meta-project conceptualized, organized and accompanied the exhibition of the various focus groups. Additionally, the actors of the funding priority took part in both the forum and the diverse workshops. The meta-project accomplished a targetgroup-tailored placement of the 2nd Conference Transcript during the Program Conference. 32 expert articles were published mirroring the current state of research. Furthermore, the Project Management Agency holds a series of Workshops for Junior Scientists hosted by the funding priorities. This facilitates the discussion of dissertations by junior scientists working in current R&D programs, the use of synergy effects and the sharing of experiences

4 Funding Priority and the learning program As has been suggested above, the funding priority is part of a current research program of the German Federal Ministry of Education and Research. This program explicitly views itself as a Learning Program ([BMB07]:9) and thus requires the individual funding priorities to get into a feedback loop with the overall program. This feedback loop has been constituted via the monitoring project IMO (“International Monitoring”) (cf. Fig. 5). As a meta-project, StArG has the task to strengthen the ability to do “Joint Research and Work On a Thematic Focus” in a way to facilitate addressing a common vision to research funding when entering the phase of sustainment. By way of joint research work in the focus groups and the interaction on funding priority levels the various actors from a multitude of scientific disciplines, different branches of work and numerous target groups were able to establish an inter- and transdisciplinary research community in the area of “Preventive Occupational Safety and Health”. In order to optimally moderate this process it was a prerequisite for success to have a meta-project running the systemic and strategic management of the funding priority. The very construct of this funding priority with all its underlying structures and processes made it possible to pass on condensed information in the form of the Aachen Impulse to the Monitoring Project and thus to the Learning Program.

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Fig. 5 Structure of the Learning Program "Working, Learning, Developing Skills. Potential for Innovation in a Modern Work Environment"

References [Aea04]

D. Ahrens and et al. Phasen der Netzwerkentwicklung und des Netzwerkmanagements. In R. Oertel and F. Hees, editors, Das Netzwerk-Kompendium – Theorie und Praxis des Netzwerkmanagements, pages 17–25. Aachen, 2004. [BMB05] BMBF. Bekanntmachung zur Förderung von Forschung und Entwicklung auf dem Gebiet “Präventiver Arbeits- und Gesundheitsschutz”. www.bmbf.de/foerderungen/ 4655.php, downloaded December 1, 2009, 2005. [BMB06] BMBF. Bundesbericht Forschung 2006. Berlin, 2006. [BMB07] BMBF. Arbeiten – Lernen – Kompetenzen entwickeln. Innovationsfähigkeit in einer modernen Arbeitswelt. BMBF-Forschungs- und Entwicklungsprogramm. Berlin, 2007. [HLB09] F. Hees, I. Leisten, and U Bach. Strategischer Transfer im Präventiven Arbeits- und Gesundheitsschutz (Metaprojektbroschüre). Aachen, 2009. in preparation. [HLBH09] K. Henning, I. Leisten, U. Bach, and F. Hees. Präventionsforschung und unternehmerische Praxis: Zwei Seiten einer Medaille. In Innovationsfähigkeit stärken – Wettbewerbsfähigkeit erhalten. Präventiver Arbeits- und Gesundheitsschutz als Treiber, pages 12–31. Aachen, 2009. Henning K.; Leisten I.; Hees F. eds. [Hue03] H. Huemer. Wissensnetzwerke als forschungspolitische Instrumente. In Graggober and et. al., editors, Wissensnetzwerke, Konzepte, Erfahrungen und Entwicklungsrichtungen, pages 115–130. Wiesbaden, 2003. [Jan04] Christoph Jansen. Scorecard für die Wissensmanagement-Performance in heterogenen Unternehmensnetzwerken. Düsseldorf, 2004. [Lea04] E. Lübcke and et al. Netzwerkfähigkeits-Check für Unternehmen. In R. Oertel and K. Henning, editors, Das Netzwerk-Kompendium – Theorie und Praxis des Netzwerkmanagements, pages 39 –49. Aachen, 2004. [OH04] R. Oertel and F. Hees. Das Netzwerk-Kompendium – Theorie und Praxis des Netzwerkmanagement. Aachen, 2004.

How to Structure and Foster Innovative Research [PA06]

[pt208]

[Sau05] [vA84]

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U. Pröll and U. Ammon. Selbstständig und gesund, Prävention und Gesundheitsförderung bei selbstständiger Erwerbsarbeit. www.gesundheit-unternehmen.de/ 04_Service/Downloads/4_2006_selbststaendig_und_gesund__Werkstattbericht.pdf, downloaded November 19, 2009, 2006. PT im DLR: Themenheft Präventiver Arbeits- und Gesundheitsschutz. www.zlwima.rwth-aachen.de/forschung/projekte/starg/download/PAGS_Themenheft_2008.pdf, downloaded November 10, 2009, 2008. Bonn. J. Sauer. Förderung von Innovationen in heterogenen Forschungsnetzwerken und Evaluation am Beispiel des BMBF-Leitprojektes SENEKA. Aachen, 2005. H. von Alemann. Der Forschungsprozess: Eine Einführung in die Praxis der empirischen Sozialforschung. Stuttgart, 1984.

Innovation Rules 2030 Ursula Bach, Klaus Henning

Abstract Innovative research structures provide the possibility to address new stakeholders on the topic Preventive Occupational Health and Safety. Therefore the stakeholder to the Preventive Occupational Health and Safety can be appealed, as for example health insurance schemes, chambers of commerce or ministries. To reach the aim “better visibility of the research community”, “improving integration of the partners in the research groups” and the “avoidance of the “fragmenting” of a research community”, different network management methods were applied in the founding priority Preventive Occupational Health and Safety. The choice of the methods of the network management bases on the needs of a research network in three specific network phases. Every phase puts different challenges to the network management. Keywords Innovation · social innovation · future · working · learning · developing skills · 2030 · modern working environment

1 Challenges of a Modern Working Environment At the present time, all modern societies experience changes in socio-economic terms and go through far-reaching processes of change in economical and social structures. Examples of dilemmas which characterize these processes are tightened stress of competition, short product and innovation cycles, a continuous adjustment of qualification standards and an increase of flexible, unsecured employer-employee relationships [HL07]. Even Germany and Europe have to face these challenges to stay competitive on the global markets of the 21st century. Under these conditions, the future scenarios

U. Bach (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

© [2009] ICERI2009. Reprinted, with permission from ICERI2009 Conference Proceedings. ISBN: 978-84-613-2955-7, IATED, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_2

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Fig. 1 Economic areas of the future

agree on the perspective 2030 (Fig. 1): China, India, Americas and Europe together with Russia will be the new economic area of the future [Sea04, BK07]. Most likely, Europe will only be able to establish themselves to a worldwide main economic area in close cooperation with Russia, at the present time one of the most dynamic markets. How can Germany, as a part of the European Union, get to play an important role in this contradictory context furthermore? Which future perspectives have to be considered thereby? In order to keep Germany competitive in the perspective 2030, the expected tendencies of future social, economic and political developments have to be considered. In the following, the framework of requirements will be discussed in three clusters of innovation in the future: Working 2030, Learning 2030 and Development of competencies 2030.

2 The Future is Coming – Generation innovation 2030 2.1 Working 2030 – How may we enforce innovation! Only unique enterprises in Germany are able to export world wide The development, communication and retaining of unique factors of an enterprise are the core of innovation for new processes and products. Intersectoral cooperation conduce the definition of uniqueness and, moreover, they can recreate new milieus of innovation trough the use of learning aptitude of inter-organizational relations.

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In Germany, we can find such milieus of innovation in an unique way by looking at the owner managed companies, especially in the subcontracted supply of the automotive sector, mechanical and plant engineering [Rem07]. Internal and external mobility become the crucial competitive factor Mobility and transport always refer to individuals, goods and information. However, the means of transportation were broaden. Mobility does not only occur on rails, roads, on waterways and in the air, even the part of data and mains supply increases fast. The importance of mobility of employees, border-crossing cooperation and the reduction of language barriers will increase against the background of the European processes of enhancement [Mic07]. Nomadic working people will displace livelong jobholders Besides occupational mobility, employees in Germany are also characterized by an ongoing flexibility. Self-employment, free-lanced project work, temporal unemployment: Due to new types of employment and fixed term jobs, the ”job for live“ will become an exception and the secondary job besides the part-time employment will be standard. Many employees will increasingly become nomadic working people, multiple jobbers or mini jobbers, as well as precarious employees. But precarious employment is only parlous against the background of the idea of live-financing full-time work. Without the long-beared association „employment means security“, it is simply normal [Opa06, LS04, Gor00, BK07]. Germany needs knowledge management for innovations Education and knowledge are Germany’s essential location economies and the very factors of production which can not really be imitated by others. Therefore knowledge management is a strategic factor of success for the location Germany. In this context, a crucial point is to share knowledge in certain phases and be creative in global networks at the same time. A balance between the poles „Sharing knowledge“ and „Hiding knowledge“ has to be found [FWK+ 03] (Fig. 2). Out of this, a dynamic of innovation develops which is called „Business oriented Familiarity“.

2.2 Learning 2030 – How will we learn to innovate in the future? Learning in the process of working – a normal case for employees and enterprises The learning culture of an enterprise is an essential factor for its competitiveness. Learning has to be increasingly integrated in the process of working to advance the competencies of the employees as source of innovation. Learning on

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Fig. 2 Functional familiarity [HS06]

the job reduces therefore the effort of transfer in the everyday working life. It stands out because it orients itself to the real processes of change. It is also integrated into those and uses the corresponding potentials. In this context, employees and executives develop their competencies relating to the particular potential, problem or situation. However, this presupposes not only the further design of existing types of work and learning arrangements but also demands the establishment of skillsupporting cultures of learning and social relationships in a more comprehensive way. Against this background, further efforts are necessary to enable new learning situations on the job [Rea06].

Relearning as a life-long professional development The acceleration of the increasing of know-how and the social processes of change require a continuous development of competencies. Self-directed processes of learning get thereby a stronger weighting. Regarding living and learning, the individual of the future has to become active in an interpreneurial way. Personal key skills (i.e. the ability of self-organisation, creativity, emotional stability) have to reach the same level of valuation as professional qualifcation. Against the background of the demographic change of a “society of long live”, the necessity of life-long-learning is going to be amplified. For this reason, strategies of further education have to be structured in a way which allows also the educational disadvantaged persons to broaden their competencies. The forms of learning have to offer thereby different accesses for a wide range of target groups [Opa06].


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How fast can you unlearn? The expiration time of knowledge increases to shorten. Therefore, individuals not only have to practise learning, but also unlearning. Unlearning provides new energy that leads to expansion of creativity and therefore to knew knowledge. Basically, advancement consists in the capacity to unlearn, a goodness which obtains increasingly less in the management and is not imparted by our present education system. To acquire old and learn new knowledge and look for knew solutions permanently should therefore be essential attributes of modern business management. However, unlearning has not to be put a level with erasing computer data, it rather means the producing of new significances. In systems apart from the balance, constant unlearninig is the precondition to create new structures and to ensecure the survivability. Therefore, unlearning also means acceptance of chaos and imbalance, because a balanced system is basically not in need of new knowledge to describe its status [NOOS07].

2.3 Development of Competencies 2030 – How can we keep the innovation ability in the future? Dramatic fusions of technology enforce new ways of developing competencies for innovation A new culture of integrated learning, working and providing, needs appropriate technologies. The dramatic fusions of technology enforce new ways of developing competencies to create innovations and the dematerialization of technique brings new chances for innovations through integrated working and learning. In this process, the dimension of expected fusions of technologies – e.g. in the contradictory contexts between the variety of composition, material selection particularly in polymer materials, integration of nano-materials or materials with integrated smart computer devices – can hardly get overrated [Mic07]. Without „older people“ the change to more innovation in Germany can’t be made The demographic change points at the need to use the potential of older people appropriate. New models can bring a balance between the diverse requirements and possibilities of the participants. The process of aging is therefore seen as a perspective of organization for the over internal politics of the development of competencies. Analyzing aging, health and development of competencies in the connection and in their interrelation, is an essential research and activity field. Furthermore, the organization of the transfer of know-how to young employees gets more and more an important role. Even here you can see the growing together of the fields of learning and working. Trough appropriate methods and instruments

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the potential of old and young employees has to be used and at the same time made useful for the development of competencies of all parties [LS04].

3 How can we prepare ourselves for the innovation future 2030? With respect to this background, from the point of the national level, an objective has to be to get Germany a moving and steering role inside the European Union. The function of Germany as one of the economic and innovation driver of the European Union and the world market has to be kept. What can Germany do to make this happen? This can only happen if knowledge, in the parts in which Germany is traditionally strong, will be generated and transferred in much quicker cycles into products as well as services. The scientific focus will lie, among other things, on the machine and plant manufacture, the automotive industry, the energy management and the electro technology [GRRW06]. In this regard, the developmental dynamics of the owner-managed companies in Germany is essential, they provide over 75% of all jobs and most of them are small and medium sized companies [fMB06]. These calls for the understanding that knowledge in and out of these parts, is the essential factor of production and growth with these Germany can stay competitive [SUH+ 03]. Not only the pure quantity definition of the EU underlies the description of small and medium sized companies, it also contains specific attributes: Small and medium sized companies are characterised by • the unity of risk and administration, • the unity of independence of a choice as well as the bearing of responsibility, • the unity of economic existence of the owner and the existence of the company. These companies especially stand for the perception of social responsibility for the employees, for the successful integration of working and learning processes and for the connection with the location Germany. If you now ask how and where these processes get realized and what the formula of success for the creativity and innovation at the location Germany actually is, which lead Germany to the today’s strengths, you can’t easily pass the considerations of owner managed companies, which are so typical for Germany. The topic innovation and creativity mainly depends on how we are dealing with this corporate elite – with these humans who form with their (micro-)enterprises the business location and constantly have to find answers to the challenges in the context of working, learning and developing competencies (Fig. 3) [SUH+ 03]. This elite is affected by the following behavioural characteristics: • They think and plan in global structures and know the strengths of the regional innovative milieus [Hun03]. • They know that the future is shaped by dynamic biographies and constantly relearning will be the normal case.


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Fig. 3 Micro-enterprises in the turbulent environment

• Also generated through the I&K-Technologies the parts of working, learning and all other parts of life reach to one another. Multi-Jobs will become the rule. • Finally multicultural competencies will increasingly affect working and learning in teams [HI97]. On the global future markets, only those companies will be successful which affect the process of innovation effectively through the micro enterprises and focus on the process of these products and services in which we have already the world market leader at the location Germany, following the principle: Strengthen strengths. Such companies thereby are not only characterized themselves by their ability to identify innovation potential in early stages but they are also able to realize and use potentials systematically. The interaction between innovation management and competition is known by many companies. Yet in the constitution of the innovation management are immense unused potentials. While some companies intuitively incorporate this context into their entrepreneurial skills others choose the way of total standardisation of their innovation process. Often the strategic direction of an important und well categorized process of innovation does not define the action, but also the daily stress and the boundedness of resources [SUH+ 03]. This dilemma is the starting point and the challenge of scientific investigations in this field: To identify the worldwide practices of innovation processes which can reach under certain circumstances best possible results.

4 International Monitoring – How to achieve (global) competitiveness in innovation processes? A large research project International Monitoring – IMO sponsored by the German Federal Ministry of Education and Research to the research program „Working – Learning – Developing competencies; Potential for Innovation in a modern Working

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Fig. 4 Fields of Action (FA) of the International Monitoring for Best-Practice of Innovation Processes

Environment“ concentrates on this point and focuses on the below mentioned three objectives including the corresponding fields of action (Fig. 4).

4.1 Continuous acquisition and evaluation of national and international trends of the working, learning and innovation research – methods and results In the field of actions International Monitoring of Dilemmas (FA 1) and National Monitoring of Dilemmas (FA 5) the existing and future trends will be identified and evaluated in half-yearly survey periods in the form of a Delphi-study (cf. www.futureofworkandlearning.com). The questionnaire was applied as an explorative study, starting off an entire series of investigations accompanying the research program. With the help of the answers provided by experts, the conflict areas described in the research program are to be assessed, their actual significance determined on the basis of today’s research activities and, through denomination of future research requirements, additional demands for action are indicated. For this reason, and in order to exploit the research field in width, the main focus was placed on answers obtained through open questions. Hence, the main questions were:


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• Which subjects in the area of “Working, Learning, Developing Skills. Innovative Ability in a Modern Work Environment” currently influence your work? • Which problem fields / challenges in the area of “Working, Learning, Developing Skills. Innovative Ability in a Modern Work Environment” are especially pressing today? • Which research gaps in the area of “Working, Learning, Developing Skills. Innovative Ability in a Modern Work Environment” do you consider to be relevant in the coming years? • How do you assess the relevance of these conflict areas with respect to the creation of work and learning processes during the next ten years? Do you see additional areas of conflict which will become important in these ten years? The survey was carried out online to guarantee worldwide accessibility. An invitation to participate was sent via email to a total of 1,100 experts worldwide. The questionnaire was accessible from January to May, 2008, and available both in German and English. From altogether 214 returns, 140 questionnaires were filled out completely. The majority of participants came from Europe, 54 of them from Germany. In addition to the questionnaires, 18 in-depth interviews were carried out with the assistance of national experts.The majority of participants came from the field of Science. On the basis of constantly occurring trend workshops with national and international outstanding experts of Universities, Companies and intermediary Organizations research gaps will be shown in the subject area „Working – Learning – Developing competencies; Potential for Innovation in a modern Working Environment“ in the framework of the Trend Studies (FA 6). Besides the workshop, constantly trend studies of participating experts will be developed e.g. “Homo Zappiens and its Consequences for Learning, Working and Social Life“ of Prof. Dr. Wim Veen, “Open Innovation with Customers – Foundations, Competences and International Trens” of Prof. Frank Piller.

4.2 Identification and activation of best-practice-methods for the reduction of dilemmas – methods and results In the field of action Best-Practice (FA 2), with the help of different national and international practitioners a criteria catalogue for the identification of Best-PracticeSolutions in the subject area „Working – Learning – Developing competencies” will be developed, validated and constantly verified. This will be raised through different Innovation-Workshop, which takes place in several German companies, e.g. AIXO, Frötek or Nabaltec. Half-yearly Excursions (FA 3) to companies round the globe assure thereby the exemplification and internalization of used Best-Practice-Solutions. In the context of the excursions, through topic-centred workshops with the participants and companies, courses of action will be deduced off for the political, economical and scientific target group in Germany.

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The first national excursion to FESTO took place in July 2008. Main topics were the “Theory of Constraints” and the “Managements of Competencies” of the FESTO Company. Within the scope of the international excursions the companies Unichimtec (Russia) in the year 2008 and Tata Motors in the year 2009 will be visited.

4.3 Ensuring transfer results for the political, economical and scientific target group – methods and results The main focus of the action fields International Panel (FA 7), Expert Study Groups (FA 8) and Summer- and Winterschool (FA 4) of the research project International Monitoring is the placement and transfer of results. In the framework of half-yearly occurring international Expert Study Groups for the political, economical and scientific target groups, topic oriented Summer- and Winterschools for young professionals and researchers and four spin off Expert Study Groups, a continuous exchange and critical discourse with questions about the constitution of a modern working environment will be established. Since today three International Panels with respect to the German innovation research took place in Berlin and close to the City Aachen. The first congress of the Expert Study Group happened to be also in May 2008. Four national spin-offs could be founded, so the different Expert Groups will be working on the following topics “Intellectual Capital”, “Organisation oriented to Competence of Working Systems”, “Change of Work” and “Management of the Uncertainty”. The first Summerschool worked on the topic “Homo Sapiens vs. Homo Zappiens” in August 2008 in Aix-la-Chapelle. During the Winterschool (March 2009) the focus laid on “Generation Chamaelon Flexibility 2015”. The third School had the topic “The king is dead. Long live the customer! Open Innovation 2015” Simultaneously the results of the research project will be continuously, within the fields of action, validated and verified. Via constantly editing of the intermediate results and the deduction of recommendations based on the eight interdependend fields of action, International Monitoring has the objective to enhance, step by step, the basis for decision of actors in the field of politically and corporate constitutions in the perspective 2020. All the activities and results that are achieved during the IMO are available on www.internationalmonitoring.com.

5 Summary Because of turbulent markets, international processes, continuously made adjustments and further developments, companies in Germany are increasingly faced by global challenges. Those alterations require an increased flexibility and ability for


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innovation besides the companies and their employees in order to position themselves proactively in the international competition under the perspective of the future scenarios of 2020. Thus the outstanding position at the world market in many fields of business should be enlarged and preserved (e.g. mechanical engineering, plant engineering and construction, power engineering and electrical engineering). Here the owner managed companies play a significant role for the location Germany, which provide more than 75% of all working places in Germany. The development of competitive advantages through a company and sector specific innovation ability can only be achieved with the help of relevant strategies in the fields of action of working and learning but in the development of organization and competencies, looking at the background of a company. Precarious employment relationships and the demographic change, relearning and unlearning in the process of work as well as continuing fusions of technologies are, in this connection, only a few framework requirements of the future and already of the present, which companies and science will have to face. In the framework of the project International Monitoring these changes and processes will be analysed and realized by methods of resolution and recommendations. Sustainable monitoring instruments will identify Best-Practice of Innovation Processes on a worldwide basis. Thereby the research activities in the field of working, learning and competence development will be regularly adapted to the worldwide identified tendencies. This will help to enable Germany, also in the future, to stay one of the worldwide “innovation champions” in the long run.

References [BK07]

K. Brühl and I. Keicher. Creative Work. Business der Zukunft. Zukunftsinstitut GmbH. Kelkheim, 2007. [fMB06] Institut für Mittelstandsforschung Bonn, editor. Jahrbuch zur Mittelstandsforschung 2006/1. Wiesbaden, 2006. [FWK+ 03] T. Forzi, K. Winkelmann, S. Killich, C. Chwallek, and H. Luczak. Etablierung der Dienstleistung Wissensmanagement in vernetzten Organisationsstrukturen. In Kooperation und Arbeit in vernetzten Welten – Tagungsband der GFA Herbstkonferenz in Aachen, pages 261–265, Stuttgart, October 2003. [Gor00] A. Gorz. Arbeit zwischen Misere und Utopie. Frankfurt/Main, 2000. [GRRW06] R. Gleich, H. Rauen, P. Russo, and M. Wittenstein. Innovationsmanagement in der Investitionsgüterindustrie treffsicher voranbringen – Konzepte und Lösungen. Frankfurt/Main, 2006. [HI97] K. Henning and I. Isenhardt. Bildungstrends der zukünftigen Dienstleistungsgesellschaft, Aachen, 1997. [HL07] K. Henning and I. Leisten. Lernen und Arbeiten für Innovation: Lust auf Zukunft – zwölf Thesen. In D. Streich and D. Wahl, editors, Innovationsfähigkeit in einer modernen Arbeitswelt, pages 27–37. Frankfurt/Main, 2007. [HS06] K. Henning and R. Schmitt. Beteiligung im Veränderungsprozess. In Tagungsdokumentation „Arbeitsforschung als Innovationstreiber“, Dortmund, 2006. [Hun03] H. Hunecke. Produktionsfaktor Wissen – Untersuchung des Zusammenhangs zwischen Wissen und Standort von Unternehmen. Aachen, 2003. [LS04] H. Luczak and M. Stemann. Alternsadäquate und gesundheitsförderliche Gestaltung der Arbeitswelt: Arbeitswissenschaftliche Strategien. In Tagung des Gesundheitswe-

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[Mic07] [NOOS07]

[Opa06] [Rea06]

[Rem07] [Sea04] [SUH+ 03]

Ursula Bach et al. sens der Volkswagen AG „Demographischer Wandel in der Arbeitswelt – Arbeitsund Beschäftigungsfähigkeit erhalten und fördern, pages 1–54, Wolfsburg, 2004. P. Micic. Das Zukunftsradar. Die wichtigsten Trends, Technologien und Themen für die Zukunft. Offenbach, 2007. H. Neuendorff, H. Oberquelle, B. Ott, and C. Schlick. Arbeitsgestaltung in der Netzwerkökonomie – Flexible Arbeit, Virtuelle Arbeit, Entgrenzte Arbeit. Baltmannsweiler, 2007. H . Opachowski. Deutschland 2020. Wie wir morgen leben – Prognosen der Wissenschaft, volume 2. erweiterte Auflage. Wiesbaden, 2006. U. Reuther and et al. Lernen im Prozess der Arbeit. Erforschen – Gestalten – Bewerten. In Arbeitsgemeinschaft betriebliche Weiterbildungsforschung (ABWF) e. V. (Hrsg.) Bulletin: Berufliche Kompetenzentwicklung, pages 1–9. QUEM, Berlin, 2006. H. Rempp. Produktion und Integration. Lecture to the 7th Framework Programme of the European Community, Brussels, 2007. J. Scharioth and et al. Horizons 2020. Ein Szenario zum Denkanstoßfür die Zukunft. TNS Infratest Wirtschaftsforschung, München, 2004. G. Strina, J. Uribe, K. Henning, R. Oertel, and I. Isenhardt. Innovationsmanagement – Stand der Forschung, Praxisbeispiele und Perspektiven. In Wissen – Innovation – Netzwerke. Wege zur Zukunftsfähigkeit. Berlin, 2003.

Gestaltungsansätze für ein systemisches Fakultätsmanagement Sabine Bischoff, Paul Flachskampf, Klaus Henning

Zusammenfassung „Wenn du Erfolg haben willst, beim Managen und beim Controlling anderer - lerne, dich selbst zu managen und zu kontrollieren“. (William J. H. Boetchker) Aufgrund gewachsener Anforderungen, Komplexität und Dynamik – auch im universitären Sektor – entstand an deutschen Hochschulen das recht neue Berufsbild des Fakultätsmanagers/der Fakultätsmanagerin. Der vorliegende Beitrag diskutiert, welche Elemente dieses Management besonders beachten soll, um das „‚System Fakultät“‘ auf der Basis der OSTO®-Systemdiagnose diagnostizieren und aufgrund der gewonnenen Diagnoseerkenntnisse steuern zu können. An einem Praxisbeispiel wird aufgezeigt, welche Möglichkeiten in der Kenntnis und Anwendung eines umfassenden Fakultätsmanagements liegen.

1 Einleitung Das zum 1. Januar 2007 für Hochschulen in NRW in Kraft getretene Hochschulfreiheitsgesetz (HFG) trug mit Dienstherreneigenschaft, rechtlicher Selbstständigkeit und Eigenständigkeit in der Wirtschaftsführung zur Autonomie der Hochschulen bei [NRW]. Diese Autonomie findet sich nicht nur in den Zentralen Hochschulverwaltungen, sondern auch innerhalb der Fakultätsverwaltungen, den Dekanaten, wieder. Gerade in den letzten Jahren lässt sich eine Entwicklung beobachten, die sich als Professionalisierung bezeichnen lässt: Statt des nebenamtlich geschäftsführenden Dekans gibt es vermehrt hauptamtliche Personen, die ihre Stelle in Richtung eines umfassenden Wissenschaftsmanagements weiterentwickeln [CHE09]. Charakterisiert ist jedoch auch der universitäre Sektor und somit das Fakultätsmanagement durch Komplexität und Dynamik. Das Ziel der „Professionalisierung“ ist noch in weiter Ferne, noch viele Schritte sind zu gehen. Was fehlt, ist eine systematische Herangehensweise zur Diagnose und Steuerung des Systems „Fakultät“. S. Bischoff (B) Institut für Unternehmenskybernetik e.V., Schurzelter Str. 25, 52074 Aachen, Germany E-Mail: [email protected]

Originally published in „SEM Radar - Zeitschrift für Systemdenken und Entscheidungsfindung im Management“, © Wissenschaftlicher Verlag Berlin, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_3

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Der vorliegende Artikel nimmt sich dieser Thematik an. Nach einer ersten Herausarbeitung von Rahmenbedingungen in Bezug auf ein systemisches Fakultätsmanagement (Abschnitt 2) erfolgt in Abschnitt 3 die Einführung der OSTO®Systemdiagnose [Hen03]. Diese stellt die theoretische Basis dar und gewährleistet, dass die „Organisation als lebendes System“ [HM00] ganzheitlich diagnostiziert wird. Im Fokus der Diagnose stehen acht Gestaltungselemente als Teilsysteme des Gesamtsystems. Teilsysteme sind lediglich Ausschnitte des Systems, die nur in ihrer ergänzenden Betrachtung das System vollständig beschreiben [Hen92] . Das Zusammenspiel von einzelnen Elementen kann unter dem Begriff Emergenz, einem weiteren kybernetischen Grundprinzip, zusammengefasst werden. Einzeln betrachtet werden: 1. 2. 3. 4. 5. 6. 7. 8.

Soziales Teilsystem Organisationssystem Technisches Teilsystem Informationssystem Aufgabenteilsystem Entscheidungssystem Belohnungs- und Kontrollsystem Entwicklungs- und Erneuerungssystem

Diese Elemente bilden den inhaltlichen Rahmen für die gestaltbaren Anteile einer Organisation und bilden somit Ansatzpunkte für ein systemisches Fakultätsmanagement. Ausgewählt für das Fallbeispiel wurde die Fakultät für Maschinenwesen der RWTH Aachen (Abschnitt 4), an der die Systemdiagnose durchgeführt wurde. Im Rahmen der Exzellenzinitiative/des Zukunftkonzeptes „RWTH 2020 – Meeting Global Challenges“ nimmt sich die RWTH Aachen der Stärkung der universitären Managementstrukturen an. Mit dem Projekt „Fakultätsmanagement“ kommt die Fakultät für Maschinenwesen der RWTH Aachen nicht nur der aktuellen Forderung nach professionellem, systemischem Management nach, sondern erfüllt zugleich eine Anforderung, um im internationalen Wettbewerb bestehen zu können.

2 Die Rahmenbedingungen Um Managementanforderungen an ein systemisches Fakultätsmanagement definieren zu können gilt es an dieser Stelle noch einmal einen Schritt zurückzugehen und sich über einige grundlegende Fragen Gedanken zu machen. Was sind überhaupt die Kennzeichen unserer Moderne? Und wie können Erkenntnisse nun konkret für die Managementforschung festgehalten werden? Ein plausibles Konzept, das auch solch neuere gesellschaftliche Entwicklungen einschließt, stammt von Klaus Henning und Heijo Rieckmann. Rieckmann veranschaulicht treffend, unter Rückgriff auf den gesellschaftlichen Kontext, einige

Gestaltungsansätze für Fakultätsmanagement

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grundlegenden Kennzeichen unserer Gegenwart. So schreibt er: „Wir haben uns eine komplizierte, labile und nervöse Welt aufgebaut. Unsere Alltagserfahrungen führen uns das mittlerweile Tag für Tag vor Augen. Engmaschige Handels-, Finanz-, Kommunikations-, Energie- und Transportnetze haben inzwischen ganze Kulturen, Religionen, Völker und Institutionen bis auf wenige Flugstunden zusammengerückt“[Rie92]. So rutscht die Welt aufgrund der Möglichkeit ständig erreichbar zu sein immer enger zusammen. ähnlich argumentiert Henning, wenn er feststellt, dass wir in einer Welt wachsender Turbulenzen leben, in der wir tagtäglich mit Massen von Informationen versorgt werden, die wir entsprechend verarbeiten und einordnen müssen. „Immer weniger bleibt stabil – immer mehr wird instabil. Nur wer sich in der Instabilität und im zunehmenden Chaos zurechtfindet hat eine überlebenschance“ [Hen92]. Um auf diese Tendenzen reagieren zu können, müssen diese zunächst etwas schärfer analysiert werden. Henning schlägt einige mögliche Paradigmenwechsel vor: Darunter zählen etwa der Wandel vom monokausalen zum offenen, kybernetischen Denken oder der Wandel von objektiven Kriterien hin zu Beobachtermodellen der Wirklichkeit. Oder treffend: Der Wandel vom kurzfristigen Denken zum langfristigen Sinnhandeln [Hen92]. Zu einer wachsenden Vernetzung kommt eine steigende Dynamisierung der Lebens- und Arbeitsbereiche. Wie kann nun begrifflich mit diesen beiden prägenden Entwicklungen der Moderne umgegangen werden? Rieckmann kombiniert die für ihn prägenden Kernpunkte der Moderne: Dynamik und Komplexität fasst er unter dem Begriff Dynaxity zusammen und verweist somit explizit auch auf die steigende Verschränkung der beiden Begriffe. In seinen Worten: „DYNAXITY ist also das Resultat aus ‚dynamics‘ (Dynamik) und ‚complexity‘ (Komplexität) bei steigender Macht/Ohnmacht/Risiko-Relation“ [Rie92]. Mit steigender Komplexität und Dynamik wächst die Möglichkeit des Eintretens chaotischer Zustände. „Dynaxibility“ ist dementsprechend die Fähigkeit von Individuen und Organisationen, mit hohen Graden an Komplexität und Dynamik umgehen zu können und dabei selbstzerstörerisches Chaos zu vermeiden [HI98]. In Abbildung 1 sind über den Dimensionen Komplexität und Dynamik drei Zonen (statisch, dynamisch, turbulent) definiert, die einen wachsenden Grad an „Dynaxity“ aufweisen. Erst in einer „vierten“ Zone überwiegen chaotische Prozesse [HIZ99]. Mit Hilfe verschiedener qualitativer Daten und Indikatoren lassen sich Systeme (z.B. Unternehmen) und ihre Teilsysteme diesen Stadien zuordnen. In Bezug auf die Anforderungen an ein systemisches Fakultätsmanagement lässt sich festhalten, dass sich die Problemstellung, bspw. die Anzahl der Stakeholder (Lehrstühle, Professoren, Dekanat, Rektorat, Kommissionen etc.) und häufig unklaren Entscheidungsstrukturen, von einer Vielzahl von Wechselwirkungen und damit einer hohen Komplexität und Dynamik geprägt ist. Welche Auswirkungen hat also eine steigende Dynaxity und wie kann auf sie adäquat reagiert werden? Einige praktische Hinweise für Management und Führungspositionen lassen sich mit Hilfe des systemischen Denkens direkt in der Praxis umsetzen [HJM09]. Grundlegend sollte

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Abb. 1 Organisationen zwischen Komplexität und Dynamik

Dynaxity akzeptiert werden, da alle komplexen und dynamischen Systeme nicht monokausal erklärt werden können und nicht auf den ersten Blick direkt durchschaubar sind. Aus diesem Grund sollten Widersprüche zugelassen und ausbalanciert werden. „Bei komplexen Problemzusammenhängen sind außerdem Widersprüche an der Tagesordnung. Es ist wichtig diese dann nicht abzuwürgen und/oder zu verdrängen. Oft gilt es die Gleichzeitigkeit von ‚Sowohl-als-Auch‘ Situationen (statt Entweder-Oder) zu akzeptieren“ [HIZ99]. Nachdem nun die Rahmenbedingungen eines systemischen Fakultätsmanagement vorgestellt wurden, wird nun im Folgenden die OSTO®-Systemdiagnose eingeführt und die Anwendung in der Fallstudie (Abschnitt 4) an Hand der Fakultät für Maschinenwesen der RWTH Aachen demonstriert.

3 Die OSTO®-Systemdiagnose Da das OSTO®-System-Modell (OSM) besonders gut geeignet ist für die Durchführung von Systemdiagnosen innerhalb komplexer und dynamischer Organisationen sowie der damit einhergehenden Aufdeckung von Widerständen und Hemmnisse für Veränderungsprozesse [Mic06, Jan03, Ise94] wurde es für das hier vorliegende Beispiel als Denkmodell gewählt. Ebenfalls die durch das OSM stark unterstützte Zentrierung auf die involvierten Personen [Fla09] war in diesem Falle für die Auswahl entscheidend, da das universitäre Umfeld besonders stark durch die Befindlichkeiten von Einzelpersonen, die für das Gelingen eines Veränderungsprozesses entscheidend sein können, geprägt ist.


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Die Vorgehensweise des OSTO®-Systemansatzes zur Organisationsentwicklung baut auf einem sechsschrittigen Verfahren auf [HM00]. Die weiteren Schritte des OSTO®-Systemansatzes umfassen eine Analyse, Untersuchung der Veränderbarkeit, die Neugestaltung, Synthese sowie Umsetzung und Erfolgskontrolle [HM00]. Im Folgenden wird aus Relevanzgründen ausschließlich der erste Schritt des Ansatzes - die OSTO®-Systemdiagnose - beschrieben. Dabei werden die einzelnen Schritte vorgestellt. Ihre Durchführung ist im Rahmen von Workshops in den entsprechenden Organisationen möglich.

3.1 Die Diagnoseschritte Mit Hilfe der OSTO®-Systemdiagnose werden durch tiefgehende Hinterfragungen die Wirkungszusammenhänge unterschiedlichster Elemente innerhalb einer Organisation herausgearbeitet. Grundlage der Diagnose sind unter anderem Beobachtungen, Gespräche und Befragungen von Mitarbeitern unterschiedlichster Hierarchiestufen. Abbildung 2 visualisiert die acht Schritte der Diagnose. In einem ersten Schritt findet die Systemdefinition statt. Hierunter fällt die Untersuchung der wichtigsten Beziehungen des Systems zu seiner Umwelt als übergeordnetes System [Mal86]. Die Abgrenzung geschieht über die Festlegung einer Systemgrenze der Organisation. Der Existenzgrund (reason for existing) beschreibt den Grund für die Existenz einer Organisation [Han88]. Er ist auf die Bedürfnisse von Kunden(gruppen) nach

Abb. 2 OSTO®-Systemdiagnose [HM00, RW90]

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einem Output, den die Organisation in einer gewissen Qualität erzeugt, zurückzuführen. Dieser Existenzgrund wird im zweiten Schritt der Diagnose bestimmt. Im dritten Schritt wird die Frage nach dem Output der Organisation gestellt. Daran anschließende steht im vierten Schritt die Frage nach dem spezifischen Organisationsverhalten, das für diesen Output sorgt, im Mittelpunkt der Diagnose. Organisationsspezifische Gestaltungskomponenten-/elemente charakterisieren eine Organisation in ihrer Gesamtheit. Einzelne Elemente bilden die inhaltlichen Cluster für die gestaltbaren Anteile einer Organisation und stellen dabei Teilsysteme des Gesamtsystems dar. Eine übersicht aller Gestaltungselemente kann Abbildung 3 entnommen werden. Nach Kenntnis der gestaltbaren Elemente der Organisation werden die dahinter liegenden Strategien und Ziele im sechsten und siebten Schritt der OSTO®-Systemdiagnose beschrieben. Die Strategien fragen dabei nach dem WIE? die Ziele nach dem WAS? Der Abschluss der Diagnose (Schritt 8) bildet die Rückführung im Sinne des kybernetischen Regelkreismodells. „Um zu wissen, ob man auf der richtigen Zielgeraden ist und ob die Outputs auch das bringen, was sie bringen sollen, nämlich Existenzgrundsicherung, Zielerreichung, Zukunftsfähigkeit etc., ist es notwendig, sich jederzeit diejenigen Systemauswirkungsdaten beschaffen zu können, die man braucht, um das System richtig steuern und entwickeln zu können.“ [Hen09]. Ergebnis der Diagnose ist somit eine vollständige Beschreibung des IstZustandes einer Organisation. Das bedeutet, dass durch die Diagnose wesentliche Eigenschaften sowie Stärken und Schwächen herausgearbeitet werden und bekannt sind. Das Management einer Organisation ist somit in der Lage, die diagnostizierten Schwächen als Ansatzpunkte für eine Neugestaltung im Sinne einer Verbesserung des Systems zu nutzen. Als Empfehlung gilt, dass die Stärken nicht nachteilig durch

Abb. 3 Gestaltungskomponenten nach dem OSTO®-Systemmodell [Ise94]


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das Management beeinflusst werden sollten. Eine Identifizierung der Stärken und Schwächen ist innerhalb einer Vielzahl von Elementen, die ein System charakterisieren, möglich.

3.2 Die Gestaltungskomponenten Im Folgenden werden die acht Gestaltungskomponenten der Diagnose näher beschrieben: Das Gestaltungselement soziales Teilsystem (Mensch) stellt die menschlichen Rollen, Erwartungen und Bedürfnisse materieller und psychischer Art in den Mittelpunkt. „Darin eingeschlossen ist fernerhin das Geflecht der gefühls- und wertbedingten sozio-emotionalen Beziehungen und Interaktionsbedingungen („Klima“)“ (Rieckmann, 1982). Das Gestaltungselement technisches Teilsystem umfasst alle materiellen und räumlichen Gegebenheiten. Hierunter fallen bspw. die Maschinen, Betriebsmittel, Gebäude etc. Das Gestaltungselement Organisationsstruktur bezeichnet die Beziehungen zwischen den sozialen und technischen Komponenten der ersten beiden Gestaltungselemente. Gänzlich ist hierunter die Ablauf- und Aufbauorganisation zu fassen, die die funktionalen wie auch hierarchischen Verhältnisse in Zeit, Raum und Sache umfasst. Das Gestaltungselement Aufgaben erfasst die Aufgaben, die sich aus Kundenwünschen und –interessen des Systems ergeben. Oftmals widmen sich innerhalb einer Organisation unterschiedliche Abteilungen unterschiedlichen Aufgaben. Bei hoher Komplexität ist eine Differenzierung in Teilaufgaben und Arbeitspakete notwendig. Das Gestaltungselement Entscheidungssystem befasst sich mit den zugrunde liegenden Entscheidungsprozessen, die mit der Komplexität lebender Systeme immer umfassender werden [Gal77]. Wer, wann, wie, wo, mit welcher Hilfe Entscheidungen fällt, wird durch das Element des Entscheidungssystems festgelegt. Es handelt sich folglich um Spielregeln zur Steuerung der Entscheidungsprozesse. Das Gestaltungselement Informationssystem ist eng an das Entscheidungssystem gekoppelt. Im Informationssystem wird festgelegt, welche Person welchem Adressatenkreis über welchen Informationskanal und zu welcher Zeit die Informationen zugänglich macht. Das Gestaltungselement Belohnungs- und Kontrollsystem fokussiert die formelle und informelle Steuerung einer lebenden Organisation innerhalb des Belohnungs- und Kontrollsystems. Das Gestaltungselement Entwicklungs- und Erneuerungssystem legt die Grundlagen für die Flexibilität, die Leistungs- und die Anpassungsfähigkeit der Organisation. Dadurch können Verfahren entwickelt werden, die helfen, Rahmenbedingungen für Veränderungen in soziotechnischen Systemen zu installieren und zu festigen [HM00].

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Im Folgenden Abschnitt wird das hier dargestellte Verfahren der OSTO®Systemdiagnose auf die Fakultät für Maschinenwesen der RWTH Aachen angewendet. Die These, dass nur eine umfassende Diagnose und Kenntnis eines komplexen Systems in einer dynamischen Umwelt einem Management hilft, seine Führungsaufgaben vollständig zu bearbeiten, wird mittels des Fallbeispiels gestützt.

4 Fallbeispiel Seit 1870 ist die RWTH Aachen als Zentrum für Forschung und Lehre international renommiert und kann auf eine lange Tradition der technischen Expertise zurückblicken. Das Maschinenbaustudium an der RWTH Aachen ist so alt wie die Hochschule selbst. Die Systemgrenze der Fakultät für Maschinenwesen der RWTH Aachen umschreibt die Fakultät folgendermaßen: Die Fakultät für Maschinenwesen der RWTH Aachen forscht im Jahr 2009 mit fast 50 Instituten und Lehrstühlen im Bereich Maschinenbau und Verfahrenstechnik. Die Fakultät setzt sich zusammen aus ca. 800 wissenschaftlichen Mitarbeitern, ca. 550 Angestellten sowie 470 studentischen und wissenschaftlichen Hilfskräften. über 8.000 Studierenden steht – zusätzlich zu den 51 Professuren — die große Anzahl von 150 Dozenten und Lehrbeauftragten aus der Industrie gegenüber. Sie alle profitieren von der hervorragenden Beziehung zur Industrie. Etliche Public Private Partnership-Konstrukte ermöglichen bahnbrechende Erfolge im Bereich der Forschung (E.ON, RWE, Thyssen Krupp, VW, etc.). Der Gesamtumsatz der Fakultät für Maschinenwesen der RWTH Aachen betrug im Jahr 2008 rund 210,9 Mio. C (Zahlenspiegel RWTH Aachen, 2008). Auf eine Wiedergabe des Existenzgrundes der Fakultät für Maschinenwesen der RWTH Aachen muss, ebenso wie auf die fakultätsinternen Ziele und Strategien aufgrund der der Fakultät zugesicherten Vertraulichkeit an dieser Stelle verzichtet werden. Nur in einem ganzheitlichen Management sind alle beschriebenen Gestaltungselemente klar definiert und von allen Systembeteiligten akzeptiert. Daher gilt es in einem ersten Schritt eine große Bestandsaufnahme vorzunehmen und diese Elemente zu dokumentieren. Im sozialen Teilsystem geht es um die Menschen des Systems. Ein Fakultätsmanagement muss sich daher zunächst ein Bild über alle Menschen (Stakeholder) innerhalb und auch außerhalb der Fakultät inklusive deren Erwartungen machen. Dies sind zum einen die Studierenden in verschiedenen Studiengängen, die die Fakultät anbietet. Zum anderen die Instituts- und Lehrstuhlinhaberinnen/-inhaber (Professorinnen und Professoren), sowie wissenschaftliche und nichtwissenschaftliche Mitarbeiterinnen und Mitarbeiter einer Lehr- und/oder Forschungseinrichtung. Unter einer fakultätsangehörigen Lehr- und/oder Forschungseinheit wird eine Kostenstelle verstanden, die deren räumlichen, funktionalen, aufbauorganisatorischen und verrechnungstechnischen Verantwortungsbereich beschreibt. Ein Dekanat als zentrale Verwaltungseinheit einer Fakultät mit allen Dekanatsmitarbeiterinnen


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und – mitarbeitern zählt ebenso zu dem sozialen Teilsystem wie bspw. Lehrbeauftragte und Gast- oder Privatdozentinnen/-dozenten, apl.-Professorinnen/Professoren, etc. Die Industrie wird an dieser Stelle ausgeklammert und der Umwelt der Organisation zugerechnet. Wie dieses Beispiel zeigt, muss das Fakultätsmanagement in der Lage sein, zunächst eine entsprechende Systemgrenze zu ziehen. Die Organisationsstruktur beschreibt die Aufbau und Ablauforganisation sowie die hierarchischen und funktionalen Beziehungen zwischen den sozialen und technischen Komponenten. Alle Menschen der Fakultät finden sich in unterschiedlichen Beziehungen zueinander wieder. Die Professorin/der Professor lehrt die Studierenden in den dafür vorgesehenen Räumlichkeiten (Hörsäle, Werkstätte, Labore). Sie/er leitet die Mitarbeiterinnen und Mitarbeiter der Kostenstelle und ist weiterhin Mitglied zahlreicher Fakultätsgremien. Auch Studierende und Mitarbeiter der Fakultät sind laut Fakultätsordnung in den verschiedenen Kommission und Ausschüssen vertreten, die es für das Fakultätsmanagement zu analysieren gilt. Ob Kommission für Finanzen, Struktur oder Lehre, Fakultätsrat, ältestenrat oder Prüfungsausschüsse – für jeden Bereich existieren bestimmte Zuordnungen und Zuständigkeiten. Abb. 4 zeigt beispielhaft die grobe Organisationsstruktur der Fakultät für Maschinenwesen der RWTH Aachen. Vollständigkeit ist durch diese Abbildung noch nicht erreicht, sie gibt vielmehr einen überblick über die Aufbauorganisation der Fakultät. Allein die Organisationseinheit „Dekanat“ ist durch zahlreiche Untereinheiten (Finanzen, Lehre, Struktur, etc.) charakterisiert. Im Rahmen der Ablauforganisation existiert eine Vielzahl von Prozessen: Beispielsweise gibt es neben den oben angesprochenen Gremien wöchentlich tagende

Abb. 4 Organigramm der Fakultät für Maschinenwesen RWTH Aachen (eigene Darstellung)

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Dekanatsrunden (Dekan, Prodekane und Geschäftsführung), Teamsitzungen (alle nicht-studentischen Dekanatsmitarbeiter ohne Dekan) und monatlich stattfindende Postbesprechungen (alle nicht-studentischen Dekanatsmitarbeiter mit Dekan) etc. Auf allen Ebenen der Zusammenarbeit lassen sich darüber hinaus diverse sozioemotionale Beziehungen und Interaktionsbedingungen identifizieren, die wiederum direkten Einfluss auf das Gelingen einer Organisation nehmen. Ein Fakultätsmanagement muss imstande sein, diese verschiedenen Menschen, Einrichtungen und Gremien seiner Fakultät wie auch die menschlichen, oftmals historisch gewachsene, Beziehungen zu (er-)kennen, um systemimmanente Interaktionen richtig deuten zu können. Als weiteres wesentliches Element eines systemischen Fakultätsmanagements steht das technische Teilsystem. Das Management einer Fakultät muss sich einen überblick über das Fakultätsinventar verschaffen. Aber auch die Gebäude, in denen die Menschen der Fakultät arbeiten, gehören zum technischen Teilsystem. Die Kenntnis der fakultätszugehörigen Fläche inklusive der Gebäude spielt bspw. bei der Ressourcenallokation und –kontrolle eine große Rolle. Denn auch Räume sind innerhalb von Fakultäten meist Mangelware; jede Kostenstelle möchte ein möglichst großes Stück vom Kuchen für sich in Anspruch nehmen. Gerade deshalb ist die Entwicklung und Einführung eines Ressourcenallokationskonzeptes von enormer Wichtigkeit. Von besonderer Relevanz ist an dieser Stelle die Kenntnis über die unterschiedlichen Bedürfnisse der Kostenstellen. Das Fakultätsmanagement einer geistes- oder sozialwissenschaftliche Fakultät hat es hier im Vergleich zu einer Fakultät für Maschinenwesen, die technisch geprägt und ausgestattet ist, wesentlich einfacher, da der oftmals sehr divergierende Bedarf an Fläche für Labore, Versuchsstände, etc. meist minimal ist. Die drei vorgenannten Gestaltungskomponenten zu Mensch, Organisation und Technik bilden die Grundlage einer jeden Systemdiagnose. Um einen möglichst hohen Detaillierungsgrad zu erreichen, empfiehlt es sich, auch die weiteren fünf Gestaltungselemente zu erfassen. Die Aufgaben einer Fakultät sind so vielfältig und komplex, das eine Darstellung aller Aufgaben der Beispielfakultät für Maschinenwesen der RWTH Aachen an dieser Stelle nicht zielführend erscheint. Neben Aufgaben in Forschung und Lehre existieren zahlreiche Verwaltungsaufgaben (Berufungsverfahren, Beratung, Personalführung, etc.), insbesondere im direkten Arbeitsumfeld des Fakultätsmanagers/der Fakultätsmanagerin. Es gilt, die Wünsche der Kunden (Studierende, Institutsleitungen, Zentrale Hochschulverwaltung, Mitarbeiter etc.) zu erkennen und die daraus resultierenden Arbeitsaufgaben möglichst effektiv und effizient zu bearbeiten. Nicht alle Aufgaben können und müssen selbst erledigt werden. Eine Orientierung an der Dringlichkeit und Wichtigkeit der Aufgabe ist zielführend. Aufgaben können demnach delegiert (dringlich, aber nicht wichtig) und terminiert (wichtig, aber nicht dringlich) oder eben sofort erledigt werden (dringlich und wichtig). Aufgrund der hohen Komplexität des Systems „Fakultät“ sind auch die zugrunde liegenden Entscheidungsprozesse komplex. Die oben dargestellte Organisationsstruktur (vgl. Abbildung 4) der Fakultät für Maschinenwesen der RWTH Aachen lässt erkennen, in welchen Organisationseinheiten Entscheidungen gefällt und


37

Spielregeln festgelegt werden. Da es sich bei der RWTH Aachen um eine Gruppenuniversität handelt, sind die Gremien der Beispielfakultät für Maschinenwesen der RWTH Aachen paritätisch aufgebaut. Der Fakultätsrat ist dabei das Gremium mit höchster Entscheidungsbefugnis. Vorbereitet werden die Themen in untergeordneten Kommissions- und Ausschusssitzungen, beratend steht der ältestenrat zur Seite. Nur der Dekan selbst hätte die Möglichkeit, Fragen des Haushalts, wie die Budgetverteilung, selbst zu entscheiden. An dieser Stelle ist es jedoch ratsam, vom Konjunktiv Gebrauch zu machen, denn eine alleinige Entscheidungsfällung würde nicht auf viel Gegenliebe bei allen Gruppen (Professorinnen und Professoren, wissenschaftliche Mitarbeiterinnen und Mitarbeiter, nicht-wissenschaftliche Mitarbeiterinnen und Mitarbeiter sowie Studierende) stoßen. Wie in Abschnitt 3 beschrieben, ist das Informationssystem eng an das Entscheidungssystem gekoppelt. Nach Fällung einer Entscheidung wird im Informationssystem festgelegt, wer wem was wann zugänglich macht. Hierbei ist die Fakultätsmanagerin/der Fakultätsmanager als Kopf der zentralen Verwaltungseinheit Dekanat mit Schnittstellenfunktion und –fähigkeit gefragt. Die Fakultät für Maschinenwesen der RWTH Aachen hat beispielsweise im letzten Jahr einen Server errichten lassen, auf dem sämtliche Protokolle, Rundschreiben, etc. für die Gremienmitglieder und für alle Gruppen tagesaktuell abrufbar sind. Mit einer sogenannten „Freitagsmail“ werden die Kostenstellen über die Ereignisse der Woche informiert. Hinzu kommen die Rubrik NEWS auf der Homepage, ein Veranstaltungskalender, ein Infoscreen, persönliche Sprechstunden- und Beratungszeiten, etc. Ein System zur Steuerung und Kontrolle einer lebenden Organisation wird innerhalb der Gestaltungskomponente Belohnungs- und Kontrollsystem entwickelt. An der Fakultät für Maschinenwesen haben sich vornehmlich in den letzten Jahren der Dekan sowie die Haushaltskommission der Entwicklung eines solchen Systems angenommen. Außerdem wurde im Rahmen der Exzellenzinitiative eine Stelle geschaffen, die das Konzept wissenschaftlich begleitet. Im Folgenden soll das Kernelement des Belohnungs- und Kontrollsystems der Fakultät für Maschinenwesen der RWTH Aachen kurz beschrieben werden: Ausgangsbasis bilden die der Fakultät zur Verfügung stehenden Ressourcen (Personal, Sachmittel, Fläche), die für ein Haushaltsjahr an die Kostenstellen weiterverteilt werden. Zunächst wurde die Entscheidung getroffen, das die Ressourcen - abzüglich eines gebundenen Budgets für strategische Verwendungszwecke und wiederkehrenden Bedarf wie bspw. zur Finanzierung des Dekanats und der Fachschaft – zu einem gewissen Prozentsatz leistungsabhängig an die Kostenstellen verteilt werden soll. Von den zur Verfügung stehenden Ressourcen wird daher zunächst ein prozentualer Anteil als sogenannter Sockelbetrag den Kostenstellen zugeteilt. Um den leistungsabhängigen Anteil verteilen zu können, muss zunächst festgelegt werden, welche Leistung erfasst werden soll. Die Fakultät für Maschinenwesen der RWTH Aachen hat sich darauf verständigt, die leistungsabhängige Ressourcenallokation zu 30% von der Forschungs- und zu 70% von der Lehrleistung abhängig zu machen. Diese Leistungen werden jährlich durch Abfrage der Prüfakten im Zentralen Prüfungsamt, der Drittmittelausgaben bei der Drittmittelstelle der RWTH Aachen sowie

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der Publikationsleistung der einzelnen Kostenstellen bei der Hochschulbibliothek der RWTH Aachen erfasst. Im Anschluss erfolgt die Umrechnung in sogenannte Personenstunden je Leistungsart. Die Division der Gesamtpersonenstunden mit den Gesamtplanstellen des wissenschaftlichen Personals ergibt den Mittelwert der Auslastung über alle Kostenstellen. Dieser Mittelwert wird auf 1,0 normiert. Somit lässt sich für jede Kostenstelle die Abweichung von der mittleren Auslastung nach oben oder unten ermitteln. Das leistungsabhängige Budget kann entsprechend der Leistung in Forschung und Lehre verteilt werden.1 Das Entwicklungs- und Erneuerungssystem sorgt dafür, dass die zuvor beschriebenen Gestaltungselemente stetiger Entwicklung, Erneuerung und Anpassung an die Umwelten, unterliegen. Das Fakultätsmanagement hat dabei die Aufgabe der Umweltbeobachtung und muss gleichzeitig dafür Sorge tragen, dass die Veränderungen im System widergespiegelt werden. Das bedeutet, dass an der richtigen Stelle die Entscheidungsträger zu informieren sind, Entscheidungen vorbereitet und im Nachgang umgesetzt werden müssen. Die Kenntnis der fakultätsspezifischen Ausprägungen der acht beschriebenen Gestaltungselemente unterstützt das Fakultätsmanagement, sich in der Welt wachsender Turbulenzen zu Recht zu finden und mit der Komplexität und Dynamik im universitären Sektor umzugehen. Sie befähigen die Fakultätsmanagerin/den Fakultätsmanager zu mehr Dynaxibility und helfen, eine gewisse Struktur in Strukturen und Prozesse zu bringen. Wie bereits erwähnt, wird in diesem Artikel auf eine Wiedergabe der Ziele und Strategien zum Erreichen derselben aus Vertraulichkeitsgründen verzichtet. Wie auch das Entwicklungs- und Erneuerungssystem schließt der Schritt der Rückführung den Regelkreis. Hierdurch wird die Sicherung des Existenzgrundes erreicht und der Zielerreichungsgrad überprüft. Strategien zur Erreichung der Ziele können gegebenenfalls angepasst werden; eine Steuerung des Systems ist möglich.

5 Fazit Der Beitrag hat erste Gestaltungsempfehlungen für eine systemische Herangehensweise im Bereich des Fakultätsmanagements gezeigt. An der Beispielorganisation der Fakultät für Maschinenwesen der RWTH Aachen wurde praxisnah die Herangehensweise für eine Diagnose nach dem OSTO®-Systemmodell dargestellt. Der Vorteil in der Analyse einer Organisation durch die acht Gestaltungselemente des OSTO®-Systemansatzes liegt in der Detailliertheit dieser Vorgehensweise. Neben Spielregeln, Normen, der Organisationskultur oder dem Organisationsklima lassen sich durch die Untersuchung des lebenden Systems die Gefühle und Einstellungen der Systemmitglieder abbilden. Somit wird die psycho-soziale Ebene in 1 Anmerkung: Ein Konzept zur leistungsorientierten Verteilung der Fläche befindet sich noch im Entwicklungsstadium. Hintergrund ist die Tatsache, dass eine jährliche Labor- und Werkstattflächenverteilung nicht praktizierbar ist und die spezifische Ausrichtung in Forschung und Lehre einer jeden Kostenstellen unterschiedliche Ausstattung bedarf.


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die Vorgehensweise eingeflochten, die bei vielen anderen Ansätzen oftmals außen vor bleibt. Ergebnis ist eine umfassende Organisationsdiagnose, die die Stärken und Schwächen der Organisation herausarbeitet. Die Gestaltungselemente helfen dabei, Teilsysteme näher zu betrachten. Aussagen über notwendige und/oder mögliche Ansätze zur Neugestaltung des lebenden Systems sind Resultat der Diagnose und Auseinandersetzung mit den charakteristischen, gestalterischen Elementen einer Organisation. Ein Fakultätsmanagement, das sich der OSTO®-Systemdiagnose bedient, hat die Möglichkeit, die ihm obliegenden Führungsaufgaben vollständig, gewissenhaft und mittels einer systemischen Herangehensweise auszuführen. Dem Fakultätsmanagement ist somit ein Diagnosewerkzeug an die Hand gegeben, um in der Welt wachsender Turbulenzen nicht unterzugehen. Darüber hinaus werden mittels der Gestaltungselemente mögliche Stellschrauben aufgezeigt, um mit der ständig zunehmenden Komplexität und Dynamik umgehen zu können. Wie beschrieben sollte auch eine Fakultätsmanagerin/ein Fakultätsmanager nicht versuchen, die Komplexität und Dynamik zu reduzieren, sondern diese zuzulassen und auszubalancieren. Die in dem Beitrag entwickelten Gestaltungsempfehlungen für ein systemisches Fakultätsmanagement können anderen Universitäten als Hilfestellung für die Umgestaltung Ihrer Managementstrukturen dienen.

Literaturverzeichnis [CHE09] CHE. FakultätsManagement: über FakultätsManagement. http://www.fakultaets management.de, March 2009. [Fla09] Paul Flachskampf. 2009: A line of industry fights for survival - systemic strategy development and implementation using the example of a lead brokerage financial service provider. 2009. [Gal77] J. R. Galbraith. 1977: Organization Design, Reading, Mass. Addison-Wesley, 1977. [Han88] D.P. Hanna. Designing Organisations for High Performance, Reading, Mass. AddisonWesley, 1988. [Hen92] K. Henning. Zukunftsgestaltung in einer Welt wachsender Turbulenzen. In K. Henning and B. Harendt, editors, Methodik und Praxis der Komplexitätsbewältigung, pages 41–62. Duncker & Humboldt, Berlin, 1992. [Hen03] Renate Henning. Systemisches Management Seminar SYMA: Die OSTO Landkarte als Trainingsbasis für die Einführung von mehrjährigem Change-Management im Zeitraffer. Technical report, 2003. [Hen09] Renate Henning. Change Management - Eine Herausforderung für das Management im und am System. In Klaus Henning and C. Michulitz, editors, Unternehmenskybernetik 2020. Betriebswirtschaftliche und technische Aspekte von Geschäftsprozessen. Berlin, 2009. [HI98] Klaus Henning and Ingrid Isenhardt. Lernen trotz Chaos - Komplexität kreativ nutzen. Lernen im Chaos, Lernen für das Chaos, Heft 52:75–90, 1998. Berlin. [HIZ99] Klaus Henning, Ingrid Isenhardt, and S. Zweig. Zukunftsfähiges Wissensmanagement Sicherung der wirtschaftlichen Entwicklungsfähigkeit in einer ungewissen Zukunft. In Kompetenzentwicklung, editor, Arbeitsgemeinschaft Qualifikations-EntwicklungsManagement, pages 213–250. Münster, 1999. [HJM09] Frank Hees, Sebastian Jursch, and Colin Messerschmidt. Veränderungen strategisch planen wie die Großen: Ein internetbasierter Strategieplaner für KMU. In Klaus

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Sabine Bischoff et al. Henning and Christiane Michulitz, editors, Unternehmenskybernetik 2020. Betriebswirtschaftliche und technische Aspekte von Geschäftsprozessen. Berlin, 2009. Klaus Henning and S. Marks. Kommunikations- und Organisationsentwicklung, volume 6. überarbeitete Auflage. Verlagsgruppe Mainz Aachen, Aachen, 2000. Ingrid Isenhardt. Komplexorientierte Gestaltungsprinzipien für Organisationen - dargestellt an Fallstudien zu Reorganisationsprozessen in einem Großkrankenhaus, volume 9 of Aachener Reihe Mensch und Technik. Wissenschaftsverlag Mainz, Aachen, 1994. C. Jansen. Scorecard für die Wissensmanagement-Performance in heterogenen Unternehmensnetzwerken, volume 1024 of Fortschritt-Bericht VDI Reihe 8: Meß-, Steuerungs- und Regelungstechnik. VDI Verlag, Düsseldorf, 2003. Fredmund Malik. Strategie des Managements komplexer Systeme. Ein Beitrag zur Management-Kybernetik evolutionärer Systeme. Bern/Stuttgart, 2 edition, 1986. C. Michulitz. Kommunikation in Organisationen verstehen - eine systemische Methode. SEM Radar, Zeitschrift für Systemdenken und Entscheidungsfindung im Management, 5. Jahrgang, pages 65–103, January 2006. Landesregierung NRW. Hochschulfreiheitsgesetz (HFG), 31. Oktober 2006. H. Rieckmann. Dynaxibility - oder wie systemisches Management in der Praxis funktionieren kann. In K. Henning and B. Harendt, editors, Methodik und Praxis der Komplexitätsbewältigung, pages 17–39. Duncker & Humblot, Berlin, 1992. H. Rieckmann and P. H. Weissengruber. Manageing the Unmanagable? - Oder: Lassen sich komplexe Systeme überhaupt noch steuern? – Offenes Systemmanagement mit dem OSTO-Systemansatz. In H. Kraus, N. Kailer, and K. Sandner, editors, Management Development im Wandel, pages 27–96. Wien, 1990.

Prävention und Innovation - Strategische Ausrichtung, aktuelle Fragen und Ausblick Klaus Henning, Ursula Bach

Zusammenfassung Die Innovationsfähigkeit des Arbeits- und Wirtschaftsstandortes Deutschland mit seinen Technologien, leistungs- und wettbewerbsfähigen Unternehmen sowie seinen kompetenten Menschen erfordert betriebliche Prävention und eine humane Arbeitsgestaltung, die nachhaltig in der Praxis verankert ist. Sie zielt auf die Erhaltung der Kreativität und Arbeitsfähigkeit der Menschen in einer Arbeitswelt, die durch dynamische, vernetzte Arbeitsformen im demografischen Wandel geprägt ist. Schlüsselwörter Prävention · Innovation · Unternehmensstragien · Arbeitsgestaltung

1 Einleitung Was verraten uns die Zeitungen, wenn wir sie in diesen Tagen aufschlagen: Die Demografie-Falle schnappt zu, denn es gibt zu wenige Kinder. Schulen müssen geschlossen werden, der Arbeitsmarkt wird immer globaler und Sozialpläne sind auf nationaler Ebene wenig wert. Wir lernen aber auch, dass in diesem Zusammenhang die Pflege der Stärken unseres Landes unzureichend ist. So waren z. B. mitten in der aktuellen weltweiten Finanzkrise 69.000 Ingenieurarbeitsplätze unbesetzt und auch der Bedarf an Berufstätigen im sozialen Bereich stieg weiter an [IAB09]. Bei dieser Entwicklung merken wir, dass wir den enormen Konsequenzen des demografischen Wandels proaktiv begegnen müssen und z. B. Migrationsbewegungen qualifizierter Arbeitskräfte in Deutschland brauchen.

K. Henning (B) IMA/ZLW & IfU - RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany E-Mail: [email protected]

Originally published in „Basi infoprint“, Ausgabe 1, © Bundesarbeitsgemeinschaft für Sicherheit und Gesundheit bei der Arbeit (Basi) e.V., 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_4

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Im folgenden Beitrag möchten wir folgender gedanklichen Linie folgen: Warum ist Deutschland eigentlich trotz der weltweiten Krise relativ gesehen so erfolgreich? Wie sieht in diesem Zusammenhang das Verhältnis zwischen Innovation und Prävention aus? Was ist eine erfolgreiche Innovationsstrategie und wie lässt sich daraus eine Präventionsstrategie ableiten? Und welche Konsequenzen lassen sich daraus ziehen?

2 Warum sind wir in Deutschland so erfolgreich? Deutschland ist schon immer ein Produktionsland der Teile und Komponenten gewesen, z. B. werden in Deutschland wesentliche Teile von Computern, Dieselmotoren und Fernsehgeräten hergestellt [Sim07]. Viele der großen technologischen Erfindungen, die in dem Massenartikelbereich aufgegangen sind, wurden in Deutschland erfunden, z. B. MP3- oder Faxgeräte (vgl. exemplarisch [BK08]). Trotz der Anlieferung verschiedener wichtiger Einzelkomponenten, ist das daraus erwachsende System selten unter deutscher Regie weiterentwickelt und in den Markt eingeführt worden. Dies ist aber letztlich nicht entscheidend, denn das jahrhundertealte Label „Made in Germany“ hat sich in den letzten Jahren zunehmend zu „Enabled by Germany“ weiterentwickelt [HHBH09]. Die beiden Labels beziehen sich auf die Kombination der drei Ebenen Handwerkskunst, Kaufmannskunst und Ingenieurskunst. Mit diesen drei Ebenen wird ein Verständnis von „Made in Germany“ und „Enabled by Germany“ geschaffen, das sich nicht auf die Profession der Ingenieure beschränkt, sondern auf die tatsächliche Kunst des „Engineering“. Warum sind diese drei Ebenen wichtig? Kaum ein anderes Land dieser Welt baut in solchem Umfang auf den historischen Traditionen der Handwerks- und Kaufmannsgilden. Im Mittelalter konnten durch die genossenschaftsartigen Zusammenschlüsse Einzigartigkeit gewährleistet werden. Sie verbanden solide Facharbeit mit gewerblicher Facharbeit und verbanden diese zu einem „europäischen Kapitalismus“, dem sogenannten Rheinischen Kapitalismus [Alb92]. Diese Form des Kapitalismus verfolgt nicht ausschließlich monetäre Ziele, sondern pflegt das humanistische Bildungsideal, wie z. B. Wertschätzung der Kunst, der Wissenschaft und der politischen Verantwortung [Kae01]. Das wirtschaftliche Rückgrat in Mitteleuropa ist die Kombination zwischen den oben genannten drei Ebenen. Mangel auf der Ebene der Ingenieurkunst könnte man langfristig verstärkt über internationale Kooperationen beheben. Allerdings ist unser Alleinstellungsmerkmal vor allem durch Mangel auf Ebene der Handwerkskunst, also den Facharbeitern mit handwerklicher oder industrieller Prägung, bedroht. Die Ausbildung zum Facharbeiter im mitteleuropäischen Raum ist alternativlos auf der Welt. Mit diesen Erfolgsfaktoren ist ein enorm hoher Spezialisierungsgrad verbunden, wie z. B. die Konstruktion und Herstellungsverfahren von Ventilteilen oder von Kolben für Motoren aller Größenordnungen. Dies erfordert gleichzeitig einen außerordentlich hohen Grad der Vernetzung- und Internationalisierung der deutschen Wirtschaft. Ein gutes Beispiel hierzu liefert die Firma Neumann und Esser in Alsdorf nördlich von Aachen. Sie stellt Kompressoren her und ist weltweit einer von

Prävention und Innovation

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Abb. 1 Firma Neumann & Esser als Beispiel für Internationalisierung und Vernetzung in der Region Aachen

den wenigen Lieferanten für wartungsfreie Kompressoren und beliefert damit die ganze Welt (vgl. Abbildung 1). An diesem Unternehmen ist die Wirtschaftkrise fast unbemerkt vorbeigegangen. Es lebt davon, dass die handwerkliche Fertigung für Gussteile ins Erzgebirge ausgelagert wurde. Dies ist einer der wenigen Orte in der Welt, an dem qualitativ-hochwertige Großgussteile hergestellt werden können. Bei Neumann & Esser, werden diese Teile dann so weiterverarbeitet, dass sie als wartungsfrei gelten. Die Zubehörteile des Kompressors werden dabei oft in anderen Teilen der Welt „hinzugefügt“. Nur der Kern des Kompressors kann nach überzeugung der Eigentümer ausschließlich am Standort Deutschland in der erforderlichen Qualität gefertigt werden. Dies zeigt, dass ein so kleines Unternehmen in einem Spannungsfeld dramatischer internationaler Vernetzung lebt und damit gewinnt das Thema Prävention und Innovation notwendigerweise eine internationale Dimension. Dies ist eben nicht nur eine Frage der großen Konzerne, sondern betrifft die gesamten innovativen extrem exportabhängigen, inhabergeführten mittelständig geprägten deutschen Unternehmen, die in der Regel in einer Kombination aus Produktskernen und damit verbundenen umfangreichen Dienstleistungen bestehen. Deutschland wird vermutlich aus der derzeit weiter andauernden weltweiten Finanzkrise als eine der reichsten Nationen der Welt herausgehen, wenn auch ca. 20 % ärmer als 2009. Dies lässt sich u. a. durch die zugrunde liegende Wirtschaftstruktur belegen, die mit einer extremen Technologieorientierung einhergeht

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Klaus Henning et al. Betriebsgröße MA-Zahl

Bis 19 20 bis 99 100 bis 249 250 bis 499 500 und mehr

Anteil der Betriebe

Anteil der Beschäftigten

89,9 % 8,2 % 1,1 % 0,6 % 0,2 %

Anteil der inhabergeführten Unternehmen

27,9 % 25,5 % 10,4 % 14,5 % 21,7 %

92,0 % 84,3 % 66,2 % 68,9 % 49,1 %

Arbeitsplätze durch inhabergeführte Unternehmen 25,6 % 21,5 % 6,9 % 10,0 % 10,6 % Summe 74,6 %

Abb. 2 Vgl. IfM Bonn, Statistisches Bundesamt, 2004 [ifm]

(vgl. Abbildung 2). 75 % aller sozialversicherungspflichtigen Arbeitsplätze in Deutschland werden durch inhabergeführte Unternehmen gestellt. In diesem Zusammenhang liegt besonderes Interesse auf den Unternehmen, die in den Kategorien 250 bis 499 bzw. 500 und mehr agieren. Sie sind Unternehmen, die mit mittelständischer Mentalität handeln und mit der internationalen Dynamik umgehen müssen. Um diesem Umstand gerecht zu werden, bedarf es einer neuen Kategorie der „zu groß geratenen“, mittelständisch geprägten, international agierenden, inhabergeführten Unternehmen. Ingesamt zeigt das Ergebnis, dass inhabergeführte Unternehmen der eigentliche Jobmotor Deutschlands ist. Denn Konzerne, im Gegensatz zu dieser Unternehmensgruppe stehen, reduzieren strukturell regelmäßig Arbeitsplätze wie zuletzt eindrucksvoll eine Umfrage des Manager Magazin bei 80 börsennotierten Unternehmen zeigte [kle09]. Das heißt der Fokus beim Thema Prävention und Innovation sollte sich verstärkt auf die Wirtschaftsdynamikstruktur der inhabergeführten Unternehmen konzentrieren. Das Zusammenspiel von Prävention und Innovation unterliegt hier zum Teil anderer Gesetzmäßigkeiten und internationale Verpflichtungen und bekommt damit eine andere strategische Bedeutung. Dies soll an drei Beispielen erläutert werden: Beispiel 1:Rosskopf und Partner Mit nur 120 Mitarbeitern, einem Exportanteil von 50%, Sitz im Erzgebirge fertigt Rosskopf und Partner u. a. aus Mineral- und Quarzwerkstoffen frei geformte Flächen für Bäder. Das ist ein weltweites Alleinstellungsmerkmal. Das Unternehmen ist zurzeit einzige Anbieter für z. B. Luxushotels, die ein Bad aus einem Formteil haben wollen. Abnehmer sind Hotels und Hotelketten weltweit von Madrid bis Dubai. Das Unternehmen legt dabei größten Wert darauf, dass die europaweit rekrutierten Montageteams unter den gleichen Arbeitsbedingungen arbeiten können wie die Stammbelegschaft des Unternehmens. Beispiel 2:Knorr Bremse Die Firma Knorr Bremse gegründet 1905 ist immer noch eigentümergeführt. 2009 lag der Jahresumsatz bei C 2,76 Mrd. Das Unternehmen ist für Eisenbahnund LKW-Bremssysteme Weltmarktführer und betreibt ca. 70 Standorte rund um den Globus.


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Macht Knorr Bremse Prävention und wie machen sie Innovation? Welche Präventionsmaßnahmen werden an den über 20 Standorten in China getroffen? Knorr Bremse löst dies mit extremer Standardisierung von Prozessen im Bezug auf Arbeit, Sicherheit, IT-Unterstützung, die weltweit extrem überwacht werden. Dies ist eine mögliche Antwort auf das Thema Prävention im internationalen Kontext. Beispiel 3:Dürr Ecoclean Dürr Ecoclean ist ein Unternehmen südlich von Aachen. Es baut Waschanlagen für Motoren, die sich in der industriellen Fertigung befinden. Das Unternehmen hat den größten Weltmarktanteil für diese Waschanlagen. Das Werk bleibt bewusst an dem Standort mitten in der Eifel, obwohl es ein enormer Aufwand ist die recht großen Anlagen, die im Monschauer Tal produzierten werden, auf Schwerlastkraftwagen zu verladen und z. B. bis in die Urwaldregion von Brasilien zu transportieren. Das Unternehmen weiß, dass sich dieser Aufwand nur lohnt, weil sie auf eine solide Struktur von Facharbeitern und Ingenieuren, bauen kann, übrigens in einer Wirtschaftsregion mit weniger als 4% Arbeitslosigkeit. Hier kommt das Thema Prävention und Innovation ganz nah zusammen. Die dargestellten Stärken erhöhen die Attraktivität Deutschlands für ausländische Investoren. Eine Untersuchung von Ernst und Young (2007) beschreibt die Hauptfaktoren, warum ausländische Unternehmen in Deutschland investieren (vgl. Abbildung 3). Folgende Items sind ausschlaggebend: Produktivität, Arbeitseffizienz, Innovationsfähigkeit, Arbeitsumgebung, Organisationsstruktur, Umweltbewusstsein, Umweltschutz, Unternehmergeist, Fähigkeit zur Teamarbeit und nicht zuletzt ethische und soziale Responsibilität. Alle Faktoren, die in der Graphik durch Pfeile gekennzeichnet sind, sind unmittelbar oder mittelbar mit dem Thema Prävention verbunden und gestalten so den Standortvorteil Deutschlands mit.

Abb. 3 Items der Attraktivität deutscher Unternehmer, nach Ernst & Young (2007)

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Was bedeutet dieses auf einer strategischen Ebene? Prävention bewegt sich im Spannungsfeld von sozialen, politischen, ökologischen und ökonomischen Fragestellungen. Prävention hat auf politischer Ebene eine Dimension der Standortpolitik (vgl. Abbildung 4). Prävention hat ebenso mit Nachhaltigkeit zu tun. Der neuere Nachhaltigkeits-Begriff beinhaltet vier Faktoren ökologie, Politik, ökonomie und soziale Verträglichkeit gleichermaßen. Gerade dies wurde z. B. in der Initiative des Deutsch-Indischen Dialogs über Sustainable Solutions als Diskussionsgrundlage gewählt (BMBF´s International Dialogue on Sustainability Research) [bmb]. Prävention ist damit zentraler Bestandteil einer jeden nachhaltigen Entwicklungsstrategie „Enabled by Germany“. Wenn wir heute über den Export von Sustainability reden, ist Prävention ein essentieller und unverzichtbarer Anteil eines solchen Exportproduktes.

Abb. 4 Die vier Dimensionen der Nachhaltigkeit nach Henning 2008

3 Wie sieht das Verhältnis zwischen Innovation und Prävention aus? Die Rahmenbedingungen unter denen wir agieren, werden zunehmend komplexer und dynamischer. Das Phänomen wird durch das Kunstwort „Dynaxity“ bezeichnet, das die Begriffe „dynamics“ und „complexity“ verknüpft. [HI94] (vgl. Abbildung 5)


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Abb. 5 Rahmenbedingung von Prävention unterliegen steigender Dynaxity

In der Zone 1 dominieren Kleinbetriebe in traditionellen Strukturen, die auch heute noch eine erhebliche Bedeutung haben. In der Zone 2 spielt sich das gewohnte wirtschaftliche Leben der zweiten Hälfte des 20. Jahrhunderts ab, dessen Dynamik unverändert eine sehr große Bedeutung hat. Diese Entwicklung wird jedoch seit mehreren Jahrzehnten von zunehmend globalisierten zur Turbulenz neigenden Prozessen überlagert. In vielen wirtschaftlichen Bereichen ist diese Zone 3 zum „Normalzustand“ geworden. Die damit verbundene wachsende Dynaxity stellt aber nicht nur ein Management-Problem dar, sondern führt zu sehr tiefgreifenden erhöhten Belastungsstrukturen für alle davon betroffenen Akteure und wird damit zu einem zentralen Thema von Prävention. In diesem Zusammenhang ist der Umgang mit Dynaxity, also die Dynaxability, von ausschlaggebender Bedeutung: • Menschen spielen zunehmend eine größere Rolle als Werkzeuge, • Laufende und funktionsfähige Prozesse spielen eine größere Rolle als eine vollständige Dokumentationen, • Die tatsächlichen Bedürfnisse des Kunden spielen eine größere Rolle als die mit ihm geschlossenen Verträge, • Eine Kultur der Veränderungsbereitschaft und die damit verbundene akzeptierte Flexibilität dominiert über die jeweils gültigen Planungen. Diese Werteabwägung hat die AIXCORE Group Aachen [aix] aus dem Manifest für agile Softwareentwicklung abgeleitet [man]: • Uns sind Individuen und Interaktionen wichtiger als Prozesse und Werkzeuge, • Uns sind lauffähige Prozesse wichtiger als umfangreiche Dokumentation,

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• Uns ist die Zusammenarbeit mit dem Kunden wichtiger als Vertragsverhandlungen, • Uns ist es wichtiger auf änderungen reagieren zu können, als einen Plan zu verfolgen, • Daher messen wir, obwohl die jeweils zweiten Dinge ihren Wert besitzen, den jeweils erstgenannten Dingen höheren Wert zu. Was bedeuten diese Rahmenbedingungen für Innovations- und Präventionsstrategien? In dem bisher diskutierten Kontext geht es bei einer Innovationsstrategie in Bezug auf den Standort Deutschland immer um die Erstellung von Einzigartigkeit [Vol07]. Einzigartigkeit verlangt einen kreativen Innovationsprozess, der beteiligungsorientierte Change Prozesse erfordert und der dann zum Innovationstreiber wird. Einzigartigkeit verlangt ein Verständnis von Innovation, dass immer auch Bruch mit dem Vergangenen ist, welches notwendigerweise liebgewordene Gewohnheiten und Verhaltensweisen verletzt. Innovation in dieser Form muss immer einen Human-Organization-Technology-Ansatz folgen (HOT-Approach), d. h. der Mensch steht im Fokus und seinen Bedürfnissen folgen Organisation und Technik [IB05]. Einzigartigkeit im Sinne des Innovationsprozesses muss berücksichtigen, dass die Technologieentwicklung durch dramatische Technologie-Fusionen beeinflusst wird [HH09]. Unterschiedliche Technologien, wie Nanotechnologie, Kunststofftechnik, Werkzeugtechnik, öl-Hydrauliktechnik, Strömungstechnik, werden auf engstem Raum in immer mehr Bauelementen integriert und unter massivem Einsatz von direkt angeschlossenen IT-Systemen, den sogenannten Embedded Systeme, verwendet. In diesem Kontext wird beteiligungsorientiertes Arbeiten und Lernen in global verteilten Teams zum Normalfall, weil diese Innovationsentwicklungen am Standort Deutschland sich auch auf Grund der demografischen Entwicklung, also des Mangels an verfügbaren Personal, zwangsläufig international oder mindestens im europäischen Kontext vernetzen muss. Nur einzigartige Organisationen in dieser Art sind auf Dauer wettbewerbsfähig, denn sie folgen einem Pfad den North durch seine Wissenstreppe zur Wettbewerbsfähigkeit angedeutet hat (vgl. Abbildung 6). Der Innovationsprozess muss sich konzentrieren auf den impliziten Anteil von Wissen ist und dessen Anwendungsbezug. Der nächste notwendige Schritt ist der Wille zur Anwendung. Eine nächste Stufe beschreibt, dass die Fähigkeit zu handeln, begleitet sein muss von der die richtigen Entscheidungen zu treffen. Diese erst führen mit den produkt- und verfahrensspezifischen Kompetenzen zu Einzigartigkeit. Mit dieser Strategie beim Umgang mit den impliziten Wissensbeständen hin zu einer unternehmerischen Einzigartigkeit, gilt es ein Prozessmanagement aufzubauen, das die drei wichtigsten Kernprozesse – den Aufgabenkernprozess, den sozialen Kernprozess und den individuellen Kernprozesse bündelt und zusammen bringt [HM01]. Bei diesem Innovationsverständnis ist zu fragen, wie eine hierzu passende Präventionsstrategie aussieht. Hierzu hat es in den letzten Jahren umfangreiche Forschungsinitiativen vom BMBF im Förderschwerpunkt Präventiver Arbeits- und Gesundheitsschutz gegeben [iP10]. Diese Forschungsaktivitäten wurden in dem sogenannten „Aachener Impuls“ (www.starg-online.de) zusammengefasst. Hier heißt es:


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Abb. 6 Wissenstreppe zur Wettbewerbsfähigkeit [Nor]

„Die Innovationsfähigkeit des Arbeits- und Wirtschaftsstandortes Deutschland mit seinen Technologien, leistungs- und wettbewerbsfähigen Unternehmen sowie seinen kompetenten Menschen erfordert betriebliche Prävention und eine humane Arbeitsgestaltung, die nachhaltig in der Praxis verankert ist.“ (Aachener Impuls 2009)

Diese Formulierung fasst zusammen, was in der Einleitung dieser Ausführungen ausführlich erörtert wurde: Die Charakteristik des Arbeits- und Wirtschaftsstandortes Deutschland mit seinen Technologien, die Triangulation von Handwerks-, Kaufmanns- und Ingenieurskunst und den damit verbundenen speziellen Kompetenzen. Diese Aspekte sind nur dann langfristig Erfolgsgaranten und potentiell exportfähig, wenn betriebliche Prävention eine nachhaltige Dimension in der Praxis hat. Dieser Ansatz zielt auf die Erhaltung der Kreativität und Arbeitsfähigkeit in einer Arbeitswelt ab, die durch zunehmend turbulenter werdende Arbeitsformen im weltweiten Wettbewerb geprägt sind und zusätzlich durch den demografischen Wandel in Deutschland geprägt sind.

3.1 Welche Konsequenzen lassen sich aus dem „Aachener Impuls“ ziehen? Vier wesentliche Konsequenzen lassen sich aus dem Aachener Appell für eine zukünftige Präventionsstrategie ziehen. Sie betreffen • das Verhältnis von Prävention zu Partizipation und Empowerment, • die Einbeziehung des außerbetrieblichen Lebens- und Arbeitsfeldes in den Partizipationsansatz;

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• die Frage der Machbarkeit und Wirtschaftlichkeit präventiver Ansätze im internationalen Kontext und • die Präventionsmaßnahmen in Hinblick auf die Produktsicherheit. 1. Partizipation und Empowerment sind die strategischen Voraussetzungen für handlungsorientierte Prävention in turbulenter werdenden Umwelten. Empowerment bezieht sich hierbei vor allem auf Führungskräfte der mittleren und oberen Ebene einen solchen weltweiten Vernetzungsprozess überhaupt in den Griff zu bekommen. Beispiel 4: P3 Gruppe Insgesamt sind in der P3 Gruppe [p3?] 1.000 Beratern aus 49 Nationen angestellt. Der Umsatz der Firma wächst im Jahr um ca. 20–30 %. In einem Teilbereich der Gruppe sind zurzeit etwa 50 Mitarbeiter aus acht Nationen beschäftigt. Diese Teilgruppe expandiert in den Vereinigten Staaten und baut dort einen neuen Standort für das Testen der Leistungsfähigkeit von Mobilnetzen auf. Dies bedeutet für den Geschäftsführer, dass er trotz seiner Familienbedingungen alle 14 Tage in die USA muss. 2. Prävention muss über die Unternehmensgrenzen hinaus die Wechselwirkung zwischen betrieblichen- und außerbetrieblichen Arbeits- und Lebensfeldern proaktiv gestalten. Es ist absolut unabdingbar, dass sich die unternehmerische Praxis die Lebenswirklichkeit in den privaten Verhältnissen zum Teil zur Verantwortung macht. Bei diesen Neben-, Rück- und Fernwirkungen auf diesem Bereich unter den oben genannten Rahmenbedingungen wird dies zu einer Managementaufgabe. Beispiel 5: Bayer Die Firma Bayer [bay] baut in Shanghai eine der größten Chemieanlagen weltweit auf. In diesem Rahmen werden nicht einzelne Mitarbeiter versetzt, sondern auch deren Familien ziehen mit. Das Unternehmen übernimmt folgende Aufgaben: Arbeitsplatz- und Wohnungssuche für die Familienmitglieder und die Auswahl möglicher Schulen oder Kindergärten. Die Gestaltung der sozialen Rahmenbedingungen wird als Aufgabe des Unternehmens verstanden, damit der Standort in Shanghai betrieben werden kann. Treiber sind hier auch im Ansatz Präventionsaspekte, aber vor allen Dingen deshalb, weil sich die Mitarbeiter sonst weigern umzuziehen. 3. Prävention muss machbare und wirtschaftlich vertretbare Wege für international verteilte Unternehmensstandorte aufzeigen, die die verschiedenen kulturellen Implikationen berücksichtigt. Dies bedeutet: Die in unserem Land hochentwickelten Präventionsstandards lassen sich nicht ohne Adaption in Bezug auf Komplexität, finanzielle Aufwendung und Akzeptanz auf andere Länder übertragen. Es braucht geplante Schritte im Sinne einer Roadmap, um Prävention im internationalen Kontext und deren zugehörigen Normen und Standards im dortigen politischen Raum einzuführen – wie es bundesdeutsche Präventionsvereinigungen bereits tun. Damit wird aber auch normative Prävention zu einem


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Exportartikel. So legt sich der Fokus viel stärker darauf, welche PräventionsDienstleistungen wir rund um diesen Globus exportieren. Hierzu ist die Nachfrage aus den entsprechenden Ländern überdimensional groß und kann eigentlich nicht befriedigt werden. 4. Prävention heißt auch, dass die Frage nach der Produktsicherheit nicht nur unter europäischen Einsatzbedingungen geprüft wird, sondern in dem jeweiligen Verwendungsraum des Produktes. Beispiel 6: Verwendung von Flexmaschinen in China Bei der Verwendung von Flexmaschinen zur Durchtrennung von Stahl ist es in China üblich sämtliche Sicherheitsvorrichtungen abzubauen, weil der chinesische Landarbeiter eine kulturellbedingt hohe Fähigkeit hat, Kreisradien manuell zu flexen. Der Radius wird mit dem Daumen festgelegt und per Hand geflext. Der Zusammenhang zwischen den kulturbedingten Kompetenzen und der Notwendigkeit zur Prävention wurde in diesem Zusammenhang bisher nicht untersucht. Das Wertesystem liegt dabei bei dem chinesischen Landarbeiter anders als bei einem deutschen Facharbeiter – hier gibt es ein großes Handlungsfeld für kulturell angepasste Prävention, das durch Dienstleistungsexport von Präventionsdienstleistungen weltweit durch Ansätze aus Deutschland besetzt werden kann. Die logische Schlussfolgerung hieraus lautet: Prävention und unternehmerische Praxis müssen sich begegnen. Die Konzentration muss auf der Frage liegen, welche Präventionsmaßnahmen dem konkreten unternehmerischen Handeln dienen. In der Praxis stimmen die Ziele des Unternehmens und deren Existenzgründe nicht mit denen durch die Steakholder des orientierten Arbeits- und Gesundheitsschutz formulierten Existenzgründe und Ziele nicht überein. (vgl. Abbildung 7) Daraus folgt, dass ein Unternehmen Ziele hat, bei denen Prävention ein Mittel zum Zweck ist, aber nicht das eigentliche unternehmerische Ziel. [HHBH09]. Prävention ist im Sinngrund eines Unternehmens verankert. Selten aber als genuiner Existenzgrund, denn Prävention verursacht dem Unternehmen zunächst in vielen Fällen nur

Abb. 7 Existenzgrund Unternehmen und Stakeholder des Präventiven Arbeits- und Gesundheitsschutz [Hen]

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zusätzliche Kosten. Also gilt es Schnittmengen zu diagnostizieren, die beschreiben, inwieweit sich Ansätze der Prävention in Ziele, Strategien, Gestaltungskomponenten und in den Qualitätssystemen eines Unternehmens integrieren lassen. Dies bedeutet, dass sich präventiver Arbeits- und Gesundheitsschutz auf die Unternehmen zu bewegen muss und nicht umgekehrt. Denn Unternehmensziele können nicht in Präventionsmaßnahmen integriert werden, sondern es geht darum Präventionsmaßnahmen in die Unternehmensziele zu integrieren [Hen]. Damit wird Prävention als Strategie zu einem „Enabler“ für qualitativ hochwertige Unternehmensziele. Zusammengefasst gilt für erfolgreiche Prävention, dass jede Organisation ihr eigener Patient ist. Menschen – egal, ob Führungskräfte oder Mitarbeiter – ändern, ihr Verhalten nicht ohne weiteres: Nur weil Geräuschschutz vorgeschrieben ist, steckt ein gelernter Facharbeiter noch lange keine Ohrstöpsel in seine Ohren. Es geht darum einen Prozess erfolgreicher Prävention „vorzuleben“, bevor man ihn mit formalen Strukturen verankert. Eine Anordnung hilft im Zweifelsfalle oft nicht.

4 Rahmenbedingung „Deutschland, deine nächsten 15 Jahre“ Die bisherigen Überlegungen zu Innovation und Prävention sollen nun in die konkrete Situation Deutschland in den nächsten 15 Jahren eingeordnet werden. Dazu werden zunächst einige wichtige Trends dargestellt, die sich aus den Dialogen im Bundeskanzleramt in den Jahren 2008 und 2009 ergeben haben. Die Dialoge standen unter dem Thema: Deutschland, deine nächsten 15 Jahre. Deutschland wird in diesem Zeitraum unter Berücksichtigung folgender Trends agieren müssen: 1. Mangelware „Junger Mensch“ 2. „Made in Germany“ wird zunehmend ergänzt und ersetzt durch „Enabled by Germany“ 3. Der „Homo Sapiens“ wird durch den „Homo Zappiens“ ergänzt. Mangelware „Junger Mensch“ Den demografischen Realitäten muss mit offenem Visier begegnet werden. Das macht Verhaltensänderungen notwendig. Die „Mangelware junger Mensch“ auf dem Arbeitsmarkt wird es dringend erforderlich machen, dass Menschen, die heute über 65 Jahre alt sind, länger arbeiten werden und können und müssen [Her03], (Rürup 2003, Nachhaltigkeit in der Finanzierung der sozialen Sicherungssysteme) und wir es uns nicht mehr leisten können, Menschen zwischen 50 und 65 nicht im Arbeitsleben zu halten. Was in Griechenland zurzeit passiert, ist ein Trendsetter für die ganze europäische Entwicklung: Weniger Einkommen, länger arbeiten. Es ist eine Illusion, dass wir von dieser Entwicklung bewahrt bleiben. Deutschland hat schon heute trotz Krise und Doppeljahrgängen des Abiturs einen so großen Fachkräftemangel, dass dies nur durch eine professionelle Migrationskultur und -politik gelöst werden kann. Es geht darum, mit den besten Migrationsländern dieser Welt auf Augenhöhe Migrationspolitik zu machen. Die Besten


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dieser Welt sind zurzeit Kanada und Australien [Cam04]. Deutschland muss ein Land hervorragender Migrationskultur für Fachkräfte werden, um weiter erfolgreich im internationalen Wettbewerb bestehen zu können. Sonst wird es automatisch zum Export von Engineering-Dienstleistungen ins Ausland kommen. Und das hätte langfristig fatale Folgen für den Industrie und Dienstleistungsstandort Deutschland. In diesem Zusammenhang sei angemerkt, dass auch eine hoffentlich ansteigende Geburtenrate sich erst in 20 bis 25 Jahren auf dem Arbeitsmarkt positiv bemerkbar machen kann [BBLW02]. Von Made in Germany zu Enabled in Germany Der grundsätzliche Wandel der Typologie der Exportgüter aus Deutschland wurde bereits eingangs ausführlich erläutert. Ein weiterer Aspekt ist unser Image: Wir werden vom Ausland weltweit zweifelfrei als besser, geschickter, flexibler und innovativer angesehen als andere Nationen. Das bezieht sich auf den schulischen, gewerblichen und akademischen Bildungsprozess. Hier liegt ein riesiges Potential, das wir global vermarkten können [HHBH09]. Das bedeutet aber, dass Prävention und damit verbundene Prozesse nicht eine kostenlose Beigabe sein dürfen, sondern ein teures Exportprodukt. Weil wir in Fragen von Präventionsmaßnahmen und strategien „Best of Class“ im weltweiten Kontext sind. Wir müssen lernen uns diese bezahlen zu lassen sowie andere Dienstleistungen. Das gilt auch im übrigen für den Export universitärer Bildungsleistungen. Der „Homo Sapiens“ wird durch den „Homo Zappiens“ ergänzt. Der Begriff „Homo Zappiens“ beschreibt die gerade heranwachsende Generation, die durch eine digitale Welt und ihren Auswirkungen geprägt wird. Sie haben eine höhere Parallelitätskompetenz als viele Erwachsene [VV08](vgl. Abbildung 8).

Abb. 8 The homo zappiens learns differently [VV08]

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Damit im Zusammenhang steht aber, dass Arbeit und Lernen in weltweit verteilten virtuellen Arbeits- und Lebensumgebungen Normalität wird: „Work is what you do, not where you go“ (Vgl. Greiner 2009, Koper 2009). In enormer Geschwindigkeit entwickeln wir uns in einem doppelten Mobilitätsbegriff: Entweder bin ich „mobil“ in den Tätigkeitsarten und kann dann meinen Wohnsitz relativ konstant halten oder ich bin im weltweiten Kontext ortsflexibel und erhalte meine Spezialität. Ich „wandere“ dann dahin, wo es die Arbeit gibt [HH09]. Dabei darf nicht außer Acht gelassen werden, dass ein solches Projektnomadentum unter Gesichtspunkten einer präventiven Worklife-Balance nicht unproblematisch ist. Auf paradoxe Art und Weise gewinnt die fachliche und emotionale Kompetenz in relativ kleinräumigen regionalen Milieus weltweit an Bedeutung. Plötzlich wollen die Ingenieure – um ein bereits erwähntes Beispiel aufzugreifen, wieder in das regionale Milieu der Eifel zurück. Region, auch kleine Regionen, können so zu einem „Unique Selling Point“ im weltweiten Kontext in einer besonderen Qualität werden.

5 Was folgen hieraus für Konsequenzen für zukünftige Präventionsstrategien? In dem folgenden Abschnitt sollen nun aus den spezifischen Rahmenbedingungen der Entwicklung in Deutschland Konsequenzen für zukünftige Präventionsstrategien gezogen werden. Dabei erscheinen auf der Basis des Aachener Appells folgende Aspekte von zentraler Bedeutung: • Präventionsdienstleistungen aus Deutschland haben das Potential eines weltweiten Exportschlager. • Prävention wird unter turbulenten Marktbedingungen vor allem durch die intelligente Verknüpfung von Arbeit und Leben gelingen. • Präventive Ansätze in der Arbeits- und Unternehmenskultur sichern längerfristig die Wettbewerbsfähigkeit eines Unternehmens. • Präventionsmaßnahmen müssen sich auf Grund der demografischen Situation in besonderer Weise auf Menschen über 50 und auf die Migranten beziehen. • In den Präventionsstrategien bedarf es der Innovation in Bezug auf die veränderten gesellschaftlichen Wertesysteme. Im Einzelnen bedeutet dies: Export von Präventionsdienstleistungen Deutschland wird mehr und mehr zu einer Dienstleistungsgesellschaft, die ihren Kern in der Produktion hat. So können Produkte mit relevanten Dienstleistungen exportiert werden. Prävention als wissensintensive Dienstleistung kann in Zukunft noch mehr mit den Produktions- und Dienstleistungsprozessen der Unternehmen gekoppelt werden. Ein neues Geschäftsfeld für Akteure mit Präventions-Know-How


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entsteht, das in der jeweiligen Adaption an die kulturellen Gegebenheiten an die Länder angepasst werden muss, in die exportiert wird. Prävention durch Verknüpfung von Arbeit und Leben Arbeit und Leben stehen zunehmend unter dem Einfluss des „Homo Zappiens“. Dazu gehört auch die Wiederentdeckung des spielerischen Zugangs zu Lern- und Arbeitsprozessen. Integration von Arbeiten, Leben, Lernen und Spielen ist dabei der Schlüssel für die fachliche und überfachliche Kompetenzentwicklung der jetzt heranwachsenden Generation. Dies sollte dramatische Auswirkungen auf den pädagogischen Prozess haben, wie dies ja in vielen Ansätzen der Reformpädagogik bereits angeregt, aber nur selten konsequent umgesetzt worden ist. So verwehrt sich z. B. in der Montessori-Pädagogik die Begründerin Maria Montessori gegen den Begriff „Kinder spielen“ und sagt „Kinder arbeiten“. In diesem Kontext müssen also pädagogische Konzepte nicht neu erfunden werden, sondern endlich in ihrer Relevanz für Bildung und Ausbildung vom Kindergarten bis zur Universität erkannt werden. Eine der Selbstverständlichkeiten in diesen Konzepten ist die erlebte Verknüpfung von Theorie und Praxis, wie sie sich z. B. in turbulenztauglichen Change Management-Ausbildungskonzepten niederschlägt [ost]. In diesem Zusammenhang ist insbesondere das duale Ausbildungssystem für die gewerblich-, technische- und handwerkliche Ausbildung einzuordnen. Dieses Konzept stellt einen weiteren Kandidaten für einen Export-Bestseller dar, wenn eine entsprechende weltweite Vermarktung erfolgen würde. Das heißt für alle Präventionssysteme, dass sie entsprechende Ansätze enthalten müssen. Insbesondere ist dadurch ein erfolgreicher Vermittlungsweg vorgezeichnet. Prävention in der Arbeits- und Unternehmenskultur Arbeits- und Unternehmenskultur ist durch einen Zuwachs der kulturellen Vielfalt gekennzeichnet. Eine solche Entwicklung stellt eine große kulturelle Bereicherung dar, birgt aber auch die Gefahr der Fragmentierung, des Zerrisses der Gesellschaft und der Polarisierung. Wir brauchen deshalb Präventionsmaßnahmen, die mit dieser kulturellen Vielfalt umgehen und diese Nutzen können. Eine Präventionsmaßnahme könnte sich z. B. darauf beziehen einen Produktionsbetrieb zu gestalten, in dem man neben nicht religiös gebundenen Mitarbeitern, christlich gebundene Mitarbeiter und islamisch gebundene Mitarbeiter hat. Wie gestaltet man nun den betrieblichen Alltag unter Berücksichtigung der muslimischen Gebetszeiten in einem Mehrschichtbetrieb? Das Beispiel soll deutlich machen, welche vielfältige Dimension eine positive Ausgestaltung der kulturellen Vielfalt in der Praxis des Unternehmens bedeutet. Moderne Arbeits- und Unternehmerkultur enthält aber als Folge der Projektstrukturen und des globalen Aktionsradius die Frage nach Präventionsstrategien in Hinblick auf den bereits ausgeführten doppelten Mobilitätsbegriff. Ein besonderes Augenmerk muss hier auf die Gilde der „Wanderarbeiter“, oder wie sie auch genannt werden „Projektnomaden“ [RSF06] gelegt werden. Wir leben in einer Zeit in

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der in effizienten Unternehmen Kernbelegschaften etwa die gleiche Größenordnung haben wie variable Projektmitarbeiter, die über Netzwerke realisiert werden, welche an verschiedenen Stellen tätig sind. Im Kontext dieses doppelten Mobilitätsbegriffes werden betriebliche Präventionsmaßnahmen zu einer überlebensfrage für Unternehmen [HH09] Beispiel: Das weithin bekannte „Burn-Out-Syndrom“ bei Lehrern, welches statistisch eine enorme Zuwachsrate hat, wird zunehmend in der Gruppe der Projektnomaden und vor allem der intellektuellen Wanderarbeiter ein Thema der frühen Lebensmitte, bei dem psychosomatische und psychiatrische Kliniken massive Zuwachsraten prognostizieren [Sch04]. Wie sehen die dazu gehörenden betrieblichen Präventionsmaßnahmen aus? Es kann ja nicht schlimmeres passieren, als dass ein Unternehmen KernkompetenzMitarbeiter durch Burn-out Prozesse verliert. Hier gilt es in den Präventionsstrategien die herkömmliche Methode des Supervision zu überwinden, weil sie in der Regel viel zu spät einsetzt. Sondern in der gesamten betrieblichen Weiterbildung der Management-Qualifizierung bei wachsender Dynaxity einen hohen Stellenwert zu geben. Prävention für die Alten und die Immigranten Wie erläutert führt die demografische Wende in Deutschland nicht nur zu einem enormen Fachkräftemangel. Gleichzeitig hat sich die durchschnittliche Lebenserwartung in den letzten 5 Dekaden um 10 Jahre erhöht. Diese Tendenz bleibt in den nächsten Jahren gleich. Dies muss zwangsläufig zu einer Erhöhung des Renteneintrittsalters führen – sowohl in Hinblick auf die länger vorhandene Arbeitsfähigkeit als auch in Hinblick auf die Finanzierbarkeit der Rentensysteme. Unabhängig davon werden viele Rentner aus zwei Gründen wieder arbeiten: Zum einen, weil ihre Fachkompetenz oft heute nicht mehr ausgebildet wird, wie z. B. Facharbeiter oder Ingenieure für Kernkraftwerke. Diese Gruppen werden reaktiviert, nicht etwa weil sie Geld bräuchten, sondern weil die Nachwuchskräfte fehlen. Im Fall der Kernkraftwerke ist es zusätzlich eine Frage des sicheren Betriebs geworden fehlende Fachkräfte durch entsprechend qualifizierte Rentner zu ersetzen. Zum anderen werden diejenigen Rentner wieder erwerbstätig, die auf Grund niedrig werdender Renten dazu gezwungen sind. Für beide Felder ist Prävention eine Schlüsselkompetenz erfolgreicher Integration und Reintegration der Alten. Als Beispiel sei ein berufstätiger Rentner aus dem Supermarkt genannt: Er ist 75 Jahre alt und arbeitet als freier, selbstständiger Mitarbeiter seit 15 Jahren in dem Unternehmen. Seine Frau ist vor zehn Jahren gestorben, er arbeitet jeden Tag von 11 bis 18 Uhr, wohnt in 150 km entfernt und fährt von dort jeden Tag 2 ½ Stunden zum Arbeitsort und zurück. Seine Arbeitszeit ist auf seine persönlichen Rahmenbedingungen angepasst. Er sagt, dass die Arbeit sein Lebensinhalt sei, ihm Spaß mache und er nicht ans Aufhören denke. Es geht also beim längeren Arbeiten im Alter nicht darum Lebensarbeitszeiten mit klassischen Arbeitsverhältnissen zu kopieren, sondern im Sinne von Work-Life-


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Balance alters- und situationsangemessene Modelle zu entwickeln und auf ihr Zukunftspotenzial hin zu untersuchen. In ähnlicher Weise gilt es Präventionsstrategien für Migrationsströme nach Deutschland zu entwickeln. Dabei muss unterschieden werden zwischen häufig gering qualifizierten Migranten, die nach Deutschland „hineindrängen“ und den gut qualifizierten Migranten aller Berufsgruppen, die selten den Weg nach Deutschland finden, weil wir keine Migrationsstrategie für hoch qualifizierte Arbeitskräfte haben. Für diese Berufsgruppe werden präventive Maßnahmen zur schnellen und erfolgreichen Migration der zentrale Erfolgsfaktor, wobei diese Präventionsmaßmahmen systemisch neben den betrieblichen Aspekten den gesamten familiären Kontext von Wohnung, Kinderbetreuung, sprachliche Ausbildung, Schule, Nachbarschaftsintegration etc. enthalten muss. Innovation in der Prävention Als letztes sei auf eine generelle Werteverschiebung hingewiesen, die eine Innovation in der Prävention auslösen sollte. Laut Opaschowski gelten für die jüngere Generation die Zielwerte Vertrauen, Veränderung und Verlässlichkeit. Wohlstand und Freiheit sind keine dominanten Werte mehr, nicht, weil sie nicht wichtig sind, sondern weil sie als selbstverständlich vorausgesetzt werden. Vor diesem Hintergrund geht es um das Einverständnis zwischen den Generationen und um den Wunsch nach bleibenden Werten, wie Familie, Freundschaft, Partnerschaft. Für Präventionsstrategien bedeutet das, dass Vertrauen, Veränderung und Verlässlichkeit immer zentrale Elemente sein müssen. Erst dann wird eine Präventionsmaßnahme in Hinblick auf die nächste Generation nachhaltig. Präventionsmaßnahmen haben als Kernkompetenz die Verstetigung von Präventionselementen in einer Organisation oder Umgebung. Es nützt nichts eine Präventionsmaßnahme zu machen, die nach zwei Jahren wieder aufhört. Prävention verdient diesen Namen also nur, wenn sie den Charakter von Verlässlichkeit, Vertrauenswürdigkeit hat und damit auch nachhaltig Veränderungen schafft.

6 Was ist zu tun? Zunächst seien die wichtigsten Handlungsfelder zukünftiger Prävention zusammengefasst: • Es gibt noch keine ausreichenden „Arbeiten im Alter-Modelle“, • Es gibt kein ausreichendes Diversitymanagement als Migrationsstrategie mit denen sich Ausländer in kürzerer Zeit inklusive Familien, Kindern und Arbeitsplatz in Deutschland wohl und aufgenommen fühlen. • Es fehlt an Erfahrung in Partizipation und Beteiligungsqualifizierungen im weltweit verteilten multinationalen Team.

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• Es fehlt ein pädagogisches Konzept für die Arbeits- und Prozessgestaltung für den „Homo Zappiens.“ • Es fehlen Geschäftsmodelle für den Export von Bildung- und Präventionsdienstleistungen. Zum Abschluss seien ein paar Beispiele angefügt, die zu denken anregen sollen: • Prävention für Lkw-Fahrer: Ist es nicht dringend nötig, dass Lkw automatisiert auf Autobahnen fahren können? Ist der Arbeitsplatz eines Lkw-Fahrers nicht ein menschenunwürdig, wenn eine 55-Stunden-Woche als fortschrittlich gilt. Sind hier einschlägige Kriterien von Prävention und Arbeitsschutz, wie wir ihn innerbetrieblich gewohnt sind, umgesetzt? • Prävention für Omnibusfahrer: Ist es nicht dringend nötig, die Fahrerassistenzsysteme für mit 30 bis 40 Personen beladene Busse zwangsweise mit allen verfügbaren Technologien zu versehen? So könnten zum Beispiel automatische Notbremsen ausgelöst, Spurverlassens-Systeme mit Vollbremssystemen verknüpft werden und zur Unfallvermeidung von fast 50% der tödlichen Unfälle beitragen. • Ist es nicht ein Präventionsthema, dass unsere Kinder in ihren Kleidungen eingewebte Computersysteme haben sollten? So könnten Kinder auf Schulwegen virtuell begleitet werden, um sie gegen alle Formen von Missbrauch zu schützen. • Ist es nicht notwendig, dass wir psychosomatische Kliniken im Rahmen von Präventionsstrategien vermehrt strukturell als betriebliche Partner integrieren? Damit wäre der übergang von der entsprechenden medizinischen Behandlung in den Betrieb ein weniger schwerer Schritt. Und ein letztes Beispiel: Die Firma Vita Needle hat auf besondere Art Arbeitsfelder für Alte geschaffen [sta]. Ein Unternehmen in der Nähe von Boston existiert in der dritten Generation. Es wurde in der Wirtschaftkrise der 1920er gegründet, das reguläre Mindesteintrittsalter ist 75 Jahre. Es werden im Unternehmen bei ca. 5 Millionen Jahresumsatz Spezialnadeln für den medizinischen Einsatz gefertigt. Das Unternehmen ist inhabergeführt. Man darf dort solange arbeiten, solange die zweite Etage noch selbstständig zu Fuß erreichen kann. Viele, die dort arbeiten, haben sehr unterschiedliche Arbeitsverhältnisse und arbeiten zum Teil bis wenige Wochen vor ihrem Tod. Ein mögliches Modell für Prävention im Alter? Wir wollen damit deutlich machen, dass unser Eindruck ist, dass es nicht an Best Practice Beispielen für den präventiven Umweltschutz im weltweiten Kontext fehlt, sondern an Strategien der Nachhaltigkeit, enabled by Germany.

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Yes, we can! Warum Deutschland den Kopf nicht in den Sand stecken sollte Klaus Henning, Frank Hees, Ursula Bach, Alan Hansen

Zusammenfassung Die aktuelle Stimmung in der Bundesrepublik und den europäischen Staaten ist durch die Finanz- und Wirtschaftskrise mehr als getrübt. Dabei gibt es gar keinen Grund, den Kopf in den Sand zu stecken, denn Deutschland hat in den vergangenen Jahren seine Hausaufgaben gemacht, um sich erfolgreich auf die Anforderungen der modernen, digitalen und flexiblen Welt einzustellen. Die Trends sind gelegt und die erfolgversprechenden Strategien müssen weitergetrieben werden. So können Deutschland und Europa als Gewinner aus den Krisen hervorgehen. Schlüsselwörter Demografischer Wandel · Trends · Wirtschaftskrisen · Enabled by Germany · Homo Zappiens

1 Einleitung Regierungen schnüren auf nationaler und internationaler Ebene gigantische Rettungspakete für den Finanzsektor. Aktienkurse gehen immer weiter in den Keller und wichtige Banken drohen Konkurs zu gehen. Aber nicht nur auf dem Finanzmarkt macht sich die Krise bemerkbar. Auch in anderen Bereichen, wie im Anlagen- und Maschinenbau, im Einzelhandel und in der Bauindustrie, sind die Auswirkungen der Finanzkrise zu spüren. Die Reaktionen auf die Krise können unterschiedlicher kaum sein. Die einen sagen: „Krise! Das macht mir Angst.“ Die anderen fragen: „Krise? Das ist eine gute, eine neue Chance.“ Wir wollen zu den „anderen“ gehören und optimistisch in die Zukunft schauen, wichtige Trends beschreiben und Mut für die anstehenden Veränderungen machen. K. Henning (B) IMA/ZLW & IfU - RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany E-Mail: [email protected] Originally published in „Arbeits- und Dienstleistungsforschung als Innovationstreiber Bilanzen, Herausforderungen, Zukünfte“, © Fraunhofer Verlag, Dieter Spath (Hrsg.), ISBN: 978-3-8396-0013-9, 2009, Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_5

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Wie wird es uns gelingen, die Chancen, die aus dem demografischen Wandel erwachsen, zu erkennen und für uns nutzbar zu machen? Wird es uns gelingen die neuen Technologien, wie z. B. moderne Energietechnik, Nanotechnik, Robotik und Automation, in einem Dienstleistungspaket in aller Welt zu vermarkten und die Anwender zu befähigen, diese neue Technologien auch zu betreiben? Wird es uns gelingen das Internet und all seine Chancen, die es bietet, gut und verantwortungsvoll zu nutzen? Was bedeutet all dies für den Standort Deutschland und seine europäischen Nachbarn hinsichtlich einer Entwicklungsperspektive für die nächsten 20 Jahre?

2 Drei Trends und ihre Chancen für Deutschland und Europa 2.1 Mangelware „Junger Mensch“ Wenn eine positive Tendenz bei der Zunahme von Geburten einsetzt, wird sich der Knick in der Geburtenrate erst in ca. 20 Jahren am Arbeitsmarkt auswirken können [BBLW02]. Bis dahin müssen wir mit den gegebenen demografischen Gesellschaftsbedingungen leben: Immer weniger Menschen im jungen und mittleren Alter stehen einer immer größer werdenden Anzahl von Menschen im Rentenalter gegenüber [BBLW02], die eine immer längere Lebenserwartung genießen können [Bun06]. Daraus ergeben hauptsächlich sich zwei Konsequenzen: ¨ 1. Ältere Menschen werden tendenziell länger arbeiten können und müssen [R03], [Her03]. Hier reicht allein das Konzept „Rente mit 67“ nicht aus, sondern es bedarf neuer Ansätze für eine alterns- und altersgerechte Arbeitspolitik [Kis06], die die Komponenten Altern, Gesundheit und Kompetenzentwicklung berücksichtigt [Hen]. 2. Deutschland muss ein Land mit einer hervorragenden Immigrationskultur werden. Vorbild dafür sind klassische Einwanderungsländer wie Kanada und Australien [Cam04]. Um den Standort Deutschland für ausländische Hochqualifizierte interessant zu machen, muss dem guten ersten Schritt ein „Land der Ideen“ [LdIMfD08] zu etablieren, der zweite Schritt zu einem „Land der Wertschöpfung“ [Cla06] folgen. Außerdem muss es denjenigen, die sich entschlossen haben nach Deutschland zu kommen, einfacher gemacht werden, ein soziales Netzwerk aufzubauen [BdVdZ09]. Einen Ansatz in die richtige Richtung stellt die RWTH Aachen mit ihren „Starter Kits für neuberufene Professoren“ vor. Hiermit soll es den neuen Angestellten der RWTH Aachen schneller gelingen, ihre Rolle in der Hochschule wahrzunehmen und ein soziales Umfeld aufzubauen. Diese Maßnahmen werden durch finanzielle Mittel der Exzellenzinitiative gefördert.

Yes, we can!

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2.2 „Enabled by Germany“ durch Deutschlands Hidden Champions Deutschland wird den Titel „Exportweltmeister“ nicht verteidigen können. Deutschland hat dadurch die Chance in zunehmendem Maß ein „Enabler“ zu werden, der anderen Ländern hilft, ihre eigenen Produktions- und Dienstleistungsprozesse zu gestalten. Durch dieses Umdenken kann Deutschland sich erstens neue Märkte und Abnehmer erschließen und zweitens einer neuen Art von Entwicklungshilfe Hilfestellung leisten. Denn das Beste für die Entwicklungsländer ist es, wenn sie ihren Eigenbedarf an Produkten und Dienstleistungen eigenständig herstellen und produzieren können. Für die Entwicklungsländer bestünde so die Möglichkeit die eigene Versorgung unabhängig von den Industriestaaten sicherzustellen. Deutschland sollte demnach diesen kombinierten Produktions- und Dienstleistungssektor im Sinne seiner zukünftigen wirtschaftlichen Entwicklung für sich entdecken [BD06] und sich als globaler Dienstleister engagieren. Zukünftig werden sich die Sektoren Produktion und Dienstleistungen immer schwerer voneinander trennen lassen [Bry09]. Zwei Bereiche können im Fokus dieser Anstrengungen stehen: 1. Vermarktung von Bildung, Aus- und Fortbildung „Made in Germany“, 2. Internationaler Partner für kombinierte Produktions- und Dienstleistungsprozesse. Hier könnte der Begriff „Made in Germany“ ersetzt werden durch den Slogan „Enabled by Germany“. Die Voraussetzung für ein erfolgreiches Auftreten auf dem Markt der Dienstleistungen ist, dass deutsche Unternehmer mit ihren Mitarbeitern mobil sind und auf den Kunden im Ausland zugehen [BM05]. Das duale Ausbildungssystem, gewerblich-technische und Handwerksausbildungen sind prädestiniert, um weltweite Bestseller zu werden. Ein Beispiel für die Nachfrage nach deutschen Dienstleistungen ist die Gründung von 1000 Schulen in Indien mit Hilfe des Bundesministeriums. Der zweite Fokus „Enabled by Germany“ bezieht sich im besonderen Maße auf die Bereiche Forschung, Entwicklung und Design. In vielen Nischen der Wirtschaft haben sich deutsche Unternehmen einen Platz als Weltmarktführer erarbeitet. Denn eigentümergeführte Unternehmen, die in Deutschland 75 % aller Arbeitsplätze stellen [fMB06], agieren heute schon in großem Maß erfolgreich in globalen Strukturen [Hun03] und treiben Innovationsprozesse voran [Hen]. Von dieser Art Unternehmen gibt es eine große Anzahl. Allein 75 deutsche Zulieferer produzieren technologisch innovative Teilkomponenten für das Luft- und Raumfahrtunternehmen Boeing [Boe] – Deutschland ist voll von weltweit besten TechnologieKomponenten [Sim07]. Was heißt dies in letzter Konsequenz? Wir müssen unser Privileg, zu einem der reichsten Länder der Erde zu gehören, durch Fleiß und Mehrarbeit an den Stellen weiterentwickeln, an denen die anderen Länder (noch) nicht so weit sind, dass sie es selbst machen könnten. Nur da, wo wir wirklich besser, geschickter, flexibler und innovativer als andere sind, sollten wir die zugehörigen Arbeitsplätze in Deutschland behalten.

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2.3 Der global-regionale Homo Zappiens Die fortschreitende Digitalisierung und die kontinuierliche Verbreitung von Internetanschlüssen [Sch07] gebiert eine globale Intelligenz. Wer heute geboren wird, wird als Homo Zappiens geboren. Für Mitglieder der digitalisierten Generation ist es bereits nach wenigen Lebensjahren selbstverständlich, sich im Internet zu bewegen, dort einen großen Teil seiner Lebenszeit zu verbringen und Freundschaften in Form virtueller sozialer Netzwerke zu pflegen. So entwickelt sich eine neue Art von Lebensqualität [VV08]. Seit dem das Internet untrennbar mit dem alltäglichen Leben verbunden ist, wurden von den Nutzern neue Strategien entwickelt, wie sie mit der Vielfalt an Informationen und Wissen effizient und ergiebig umgehen können [Hen]. Die Welt rückt durch den technischen Fortschritt zusammen. Tägliches Kommunizieren mit Freunden über weite Distanzen hinweg, der Austausch von Ideen und die gemeinsame Arbeit an einem Projekt über die Grenzen von Kontingenten hinweg, wie z. B. der Entwurf und die Weiterentwicklung von Open-Source Software, [HK09] stellen heutzutage kein Problem mehr dar Blogs und Wikis gehören zum Standard der alltäglichen Kommunikation. Im Rahmen dieses Digitalisierungsprozesses wird das Bedürfnis nach räumlicher Geborgenheit in regionalen Milieus paradoxerweise extrem zunehmen [Mos96]. Die einzelnen Regionen wie beispielsweise Oberschwaben oder das Inntaldreieck, die Euregio Aachen oder Zwickau, das Vogtland oder die Lausitz werden für die Identität des Menschen wieder an Bedeutung gewinnen – angesichts der „Verlorenheit“ im globalen Raum der zappenden Internet-Welt.

3 Wie sind wir vorbereitet? Um Chancen und Vorteile der Trends in der Zukunft adäquat nutzen zu können, wurde in der Vergangenheit eine umsichtige und vorausschauende Arbeitsund Lernforschung durch das BMBF und den Projektträger im DLR (PT im DLR) gefordert und gefördert. Dies sei exemplarisch an einigen Projekten gezeigt, die am ZLW/IMA der RWTH Aachen bewilligt und erfolgreich im Rahmen der Forschungs- und Förderprogramme „Arbeit und Technik“ (1989–2000) „Lernkultur Kompetenzentwicklung“ (2001–2006), „Innovative Arbeitsgestaltung“ (2001– 2006) und „Arbeiten, Lernen, Kompetenzen entwickeln. Innovationsfähigkeit in einer modernen Arbeitswelt.“ (2007–2011) durchgeführt wurden. Im Mittelpunkt standen Innovationen der Arbeitsgestaltung im ganzheitlichen Sinne: Die Faktoren Mensch, Organisation und Technik müssen gleichermaßen beachtet und durchdacht sein [Har05]. Um den oben genannten Trends begegnen zu können, wurden verschiedene Projekte unter den Schlagwörtern, Beteiligungsqualifizierung [Bit91], Partizipation & Empowerment, Gestaltung von Dienstleistungsprozessen und die aktive Mitgestaltung technischer Innovationsprozesse durchgeführt. An drei Beispielen soll dies verdeutlicht werden.

Yes, we can!

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3.1 Mitarbeiterqualifizierung durch Partizipation und Empowerment Als „vordringliche Maßnahme im Rahmenkonzept ‚Innovative Arbeitsgestaltung‘ des BMBF“ wurde das Projekt Partizipation und Empowerment (P & E) beschrieben. Das Projekt hatte zur Aufgabe das „beobachtete Phänomen eines integrierten Konzeptes von Partizipation & Empowerment“ [IHH03] auf individueller und organisationeller Ebene zu betrachten. In aller Kürze umschreibt, Partizipation und Empowerment „Maßnahmen aus der Personal- und Organisationsentwicklung, die selbständiges und eigenverantwortliches Handeln aller Mitarbeiter fördern“ [San05]. Ziel des Projektes war die Beobachtung von P & E-Vorgängen, um anschließend mögliche Gestaltungsmöglichkeiten zu identifizieren. Um dies zu erreichen war eine enge und kooperative Zusammenarbeit mit der unternehmerischen Praxis notwendig. So konnten realitätsnah Ableitungen und Einflussgrößen beschrieben werden. Mit diesem Ansatz im Rahmen des Projektes wurden wissenschaftliche und genuin praxisbezogene Ergebnisse generiert [IHH03]. Im Rahmen dieses Vorhabens wurden durch Integration bestehender Ansätze und den Abgleich mit aktuellen Gegebenheiten in deutschen Unternehmen die Forschungsfelder von P & E miteinander verknüpft und im Sinne praxisnaher Handlungsempfehlungen und Szenarien erschlossen. Bestimmende Faktoren waren hierbei tatsächliche Bedarfe von Mitarbeitern, Führungskräften und Unternehmen sowie die Entwicklung der Märkte für Güter, Dienstleistungen und Arbeitskraft. Darüber hinaus gilt es, geeignete innerbetriebliche Organisations- und Personalentwicklungsprozesse für die sich verändernden Rahmenbedingungen wirtschaftlichen Handelns aufzuzeigen (Henning 2000).Von besonderem Interesse sind hierbei die Art und der Einfluss des Führungsverhaltens. Darüber hinaus war ein übergeordnetes Ziel des Projektes, gemeinsam mit Unternehmen und im Austausch mit (internationalen) Experten Szenarien, zukünftige Unternehmensentwicklungen im Kontext von P&E zu beschreiben und entsprechende Handlungsempfehlungen zu entwerfen.

3.2 Servicezentrum: Dienstleistungsprozesse kundenorientiert gestalten Innovative Märkte werden von Dienstleistern erschlossen, deshalb hat das BMBF mit dem PT im DLR 1995 die Initiative „Dienstleistungen für das 21. Jahrhundert“ ins Leben gerufen [HP03]. In diesem Rahmen hatte das Projekt „Prozessorientierte Gestaltung und Absicherung von Dienstleistungsprozessen am Beispiel Servicezentrum“ sich zum Ziel gesetzt Unternehmen zu befähigen, ihre unternehmensspezifische Dienstleistungsorientierung neu zu gestalten. Ziel des Vorhabens war die Entwicklung von „Servicezentren“ eine nachhaltige Absicherung der Dienstleistungsqualität gewährleistet.

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Abb. 1 Projektziel Partizipation und Empowerment

Denn nicht nur klassische Dienstleistungsunternehmen, sondern auch zunehmend industrielle Anbieter, die ihre Produkte unter den verschärften Bedingungen heutiger Märkte anbieten, müssen ihre Produkte mit Dienstleistungen koppeln, um den gestiegenen Kundenanforderungen und -wünschen gerecht zu werden. Dienstleistungsqualität wird hier zur entscheidenden Kernkompetenz. Die Entwicklung und Umsetzung entsprechender Qualitätsmanagementinstrumentarien sowie einer lernenden Dienstleistungskultur bilden dabei eine wesentliche Grundlage für die erfolgreiche Gestaltung von unternehmensinternen und -externen Dienstleistungsbeziehungen. Ingesamt waren die Entwicklung und die Umsetzung einer lernenden Dienstleistungskultur eine wesentliche Grundlage für die erfolgreiche Gestaltung von Dienstleistungsprozessen, z. B. durch IT-gestützte Kundenschnittstellen und dienstleistungsorientiertes Qualitätsmanagement [HP03].

3.3 SInn: Smarte Innovation Der Anlagen- und Maschinenbau ist eine der innovativsten Branchen Deutschlands. Damit dies auch so bleibt, muss an der Innovationsfähigkeit der Branche gearbeitet werden. Innovationen und Innovationsfähigkeit bestehen nicht nur aus der technischen Komponente, sondern müssen viele Einflussgrößen betrachten, wie z. B. wirtschaftliche und gesellschaftliche Entwicklungen, Trends auf dem Weltmarkt oder Veränderungen auf organisationeller oder individueller Ebene. Die Fragen „Wie kann Personal- und Kompetenzentwicklung Innovationsprozesse unterstützen?“ oder „Wie können Mitarbeiter an der Entwicklung von Innovationen beteiligt werden?“ bedürfen der Beantwortung. Innovation muss immer wieder neu erfunden werden und wird zukünftig noch mehr als bisher zu einer permanenten Herausforderung.

Yes, we can!

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Abb. 2 Projektstruktur und Aufbau des Servicezentrums

3.4 Daraus resultierende Forschungsfragen für die Zukunft Die Forschungsergebnisse, die hier nur exemplarisch für viele Projekte aus den Programmen und Initiativen des BMBF stehen, müssen nun an die Bedingungen einer globalisierten, sich stetig wandelnden (Arbeits-)Welt angepasst werden. Sie müssen u. a. auf die Anforderungen der Digitalisierung, der Globalisierung und des demografischen Wandels gespiegelt und weiterentwickelt werden: • Wie kann ein Arbeiten-im-Alter-Modell aussehen? • Bei notwendiger und gewünschter Steigerung der Immigranten wie wollen wir Diversitymanagement verstehen und anwenden? • Wie gestaltet sich Mitarbeiterqualifizierung in Teams, die über die Welt verstreut sind und aus den unterschiedlichsten Kulturen und sozialen Bedingungen kommen? • Wie sieht Partizipation und Beteiligungsqualifizierung aus, wenn das Internet als hauptsächliches Kommunikationsmedium verwendet wird? Wie werden in diesem Zusammenhang Blogs, Foren und Wiki die Unternehmenskulturen nachhaltig verändern können? • Wie sind die Kompetenzen des Homo Zappiens zu bewerten? Wie können diese weiterentwickelt werden? Welche sozialen Spannungen werden dadurch neu entstehen und wird diese Entwicklung die Arbeits- und Verhaltensstrukturen in den Betrieben beeinflussen?

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Abb. 3 Projektstruktur Sinn – Smarte Innovationen

4 „Ja, aber. . . “ Unsere Zeit ist also spannend und Nerven aufreibend, wohl spannender als manche Zeiten davor. Der eine oder andere Zeigefinger mag bei diesen Ausführungen jetzt hochgehen mit dem typisch deutschen „Aber. . . !“ ...Aber die Krise, Aber der Terrorismus, Aber die Umweltverschmutzung, Aber die Kriege, Aber die Ausbeutung, Aber die Politiker, Aber die Unternehmen, Aber die Börse, .... Es gibt aber eigentlich keinen Grund für ein Aber, denn wir sind gut gewappnet die Herausforderungen erfolgreich zu bestehen. Die turbulenten Märkte, die steigende Internationalisierung von Prozessen, der Finanz- und Mentalitätskrise sowie die noch nicht immer in aller Gänze abschätzbaren Folgen des demografischen Wandels können deutsche Unternehmen im Zusammenarbeit mit der Wissenschaft erfolgreich bewältigt und sollten als Chance genutzt werden [BdVdZ09]. Flexibilität und Innovationsfähigkeit wird verlangt, um im internationalen Wettbewerb auch in mittel- und langfristiger Zukunft mithalten zu können und um die hervorragende Stellung am Weltmarkt in den Bereichen Maschinenbau, Anlagenbau, Energietechnik zu erhalten. Flexibilität und Innovationsfähigkeit wird ebenso verlangt wenn Unternehmer und Wissenschaftler Ansätze für ein ganzheitliches und für viele Menschengruppen Diversitymanagement zu entwickeln. Flexibilität und Innovationsfähigkeit wird ebenso verlangt, wenn die Errungenschaften von Partizipation und Empowerment nicht aufgeben wollen. Innovationsfähigkeit und Flexibilität sind aber die entscheidenden Schlüsselqualifikationen um den erfolgreichen Weg in die Zukunft zu beginnen.

Yes, we can!

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Literaturverzeichnis [BBLW02]

Barbara Berkel, Axel Börsch-Supan, Alexander Ludwig, and Joachim Winter. Sind die Probleme der Bevölkerungsalterung durch eine höhere Geburtenrate lösbar? Mannheim Researchinstitute for the Economics of Aging (MEA), Universität Mannheim, Mannheim, September 2002. http://www.mea.uni-mannheim.de. [BD06] E. Bartsch and B. Diekmann. Deutschlands Chancen im Handel mit Dienstleistungen. Wirtschaftsdienst 2006, 1:53–61, 2006. [BdVdZ09] Bericht des Vorsitzenden der Zukunftskommission. Zukunftskommission Nordrhein-Westfalen (2009). Innovation und Solidarität., 2009. [Bit91] Arno Bitzer. Beteiligungsqualifizierung zur Gestaltung von technischen und organisatorischen Innovationen. Doctoral thesis, ZLW/IMA, RWTH Aachen University, Aachen, Germany, 1991. VDI-Verlag Düsseldorf. [BM05] Manfred Bruhn and Heribert Meffert. Dienstleistungsmarketing. Grundlagen - Konzepte - Methoden. Mit Fallstudien. Gabler, Wiesbaden, 5 edition, 2005. [Boe] Boenig. Partnerschaft mit Deutschland. [Bry09] John Bryson. Hybrid manufactoring Systems & hybrid Products. Trendstudie im Rahmen des BMBF-Hausvorhabens Internationales Monitoring, Birmingham, 2009. [Bun06] Statistisches Bundesamt. Bevölkerung Deutschlands bis 2050, 11. koordinierte Bevölkerungsvorausberechnung, 2006. [Cam04] Elspeth Cameron. Multiculturalism and Immigration in Canada: An Introductory Reader. Canadian Scholars Press, 2004. [Cla06] U. Claassen. Wissen ist Macht. Innovationsindikator Deutschland 2006, page 26, 2006. [fMB06] Institut für Mittelstandsforschung Bonn. Jahrbuch 2006/1, 2006. [Har05] Ernst-Andreas Hartmann. Arbeitssysteme und Arbeitsprozesse, volume 39. Vdf Hochschulverlag, Zürich, 2005. [Hen] Klaus Henning. Innovation Champions. In Christopher Schlick, editor, Methods and Tools of Industrial Engineering and Ergonomics. Heidelberg edition. [Her03] Roman Herzog. “Soziale Sicherheit” zur Reform der sozialen Sicherungssysteme, 2003. [HK09] Max Haberstroh and Peter Kochalski. Innovation im Netz - Produktentwicklung am Beispiel von Crystal Space. In GWS Tagungsband 2007 Unternehmenskybernetik 2020 - betriebswirtschaftliche und technische Aspekte von Geschäftsprozessen, Aachen, 2009. [HP03] Klaus Henning and T. Pfeifer. Dienstleistungsprozesse kundenorientiert gestalten. Schlussbericht des Projektes “Prozessorientierte Gestaltung und Absicherung von Dienstleistungsprozessen am Beispiel Servicezentrum ”, 2003. [Hun03] Heike Hunecke. Produktionsfaktor Wissen - Untersuchung des Zusammenhangs zwischen Wissen und Standort von Unternehmen. Wissenschaftsverlag Mainz, Aachen, 2003. [IHH03] I. Isenhardt, F. Hees, and K. Henning. Partizipation & Empowerment, vordringliche Maßnahme im Rahmenkonzept Innovative Arbeitsgestaltung des BMBF. Aachen, 2003. [Kis06] Ernst Kistler. Die Methusalem-Lüge: Wie mit demographischen Mythen Politik gemacht wird. Hanser Wirtschaft, München, 2006. [LdIMfD08] Land der Ideen Marketing für Deutschland. 365 Ideen aus Deutschland, die in die Zukunft tragen, 2008. [Mos96] Rosabeth Moss-Kanter. Weltklasse. Im globalen Wettbewerb lokal triumphieren. Ueberreuter Verl., Wien, 1996. ¨ [R03] B. Rürup. Nachhaltigkeit in der Finanzierung der sozialen Sicherungssysteme, 2003. [San05] E.-M. Sanders. Total Quality Management in kleinen und mittelständischen Unternehmen - der Beitrag des Konzepts Partizipation & Empowerment, 2005.

70 [Sch07] [Sim07] [VV08]

Klaus Henning et al. C. Schachtner. Virtualität, Identität, Gemeinschaft. Reisende im Netz. In H. Willems, editor, Weltweite Welten, pages 103–117. Wiesbaden, 2007. Hermann Simon. Hidden Champions des 21. Jahrhunderts: Die Erfolgsstrategien unbekannter Weltmarktführer. Campus Verlag, Frankfurt, 2007. W. Veen and B. Vrakking. Homo Zappiens and his consequences for learning, working and social life. Trendstudie im Rahmen des BMBF-Hausvorhabens Internationales Monitoring. Delft, 2008.

Management and Optimal Distribution of Large Student Numbers Sabina Jeschke, Gerald Lach, Robert Luce, Olivier Pfeiffer, Erhard Zorn

Abstract Timetabling problems appear at every university. The degree of difficulty increases with an increasing number of students and courses for which the scheduling shall be carried out. From the mathematical point of view this is a “hard” problem, since the runtime on a computer cannot be estimated by a simple law (i.e. by a polynomial law) in the number of parameters. These kinds of problems are called “NP hard”. There are different aspects of the timetabling problem at universities and all specified problems are important for room management at universities, for the realization of courses that can be studied according to curricula, and for the satisfaction of students and teachers. These problems are related to the optimization of room management and personnel costs (e.g. by a uniform distribution of students). Thus, the solution of these problems is related to the optimization of “real” costs, a more and more important economic factor at (German) universities. Since 2003 for the solution of the post enrollment based course timetabling problem at the Technische Universität Berlin we are using an algorithm that has been realized by members of our team. Moreover, administration of homework and exams needs to be done. Thus, the Moses (Mobile Services for Students)-Account is being developed and used since 2004. This web-based software allows students to enroll in tutorials, with a list of preferences for given dates. A special algorithm, providing a globally optimized solution, processes all registrations. Keywords University Timetabling · Academic Administration · Integer Programming · NP-completeness

S. Jeschke (B) IMA/ZLW & IfU - RWTH Aachen University, Dennewartstraße 27, 52068 Aachen, Germany e-mail: [email protected]

Originally published in “First Kuwait Conference on E-Services and E-Systems”, © ACM, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_6

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1 Introduction In principle, timetabling problems appear at every school or university. The degree of difficulty increases, however, very strongly with an increasing number of students and courses for which the time scheduling shall be carried out. From the mathematical point of view this is a “hard” problem, since the runtime on a computer cannot be estimated by a simple law (i.e. by a polynomial law) in the number of parameters. These kinds of problems are called NP hard, for details on NP hard problems see [GJ90], for the complexity of timetabling problems [CK96]. In the following we present four important aspects of the timetabling problem at universities.

1.1 Curriculum based course timetabling In each semester lectures for several courses have to be scheduled within the given rooms without conflicts for students according to the curricula for each study plan. For each teacher time conflicts have to be taken into account, i.e. one teacher can only give one course at a time. There are further constraints given by the required capacity of rooms for a course (based on estimated number of students in each course). There may be further constraints, e.g. by the requested room equipment. This is the most important university timetabling problem that has to be solved at any university.

1.2 Post enrollment based course timetabling For each course, e.g. big lectures with several hundreds of students, there may be additional small classes (tutorials). These tutorials are scheduled after enrollment of the students for the courses. Typically, each student has to be scheduled for several tutorials. Since the tutorials are small classes and each teacher (tutor) has to give several tutorials and there is only a limited number of small rooms there will be several parallel tutorials during the whole week. Thus, this timetabling problem cannot be solved together with the curriculum based course timetabling problem.

1.3 Examination timetabling In this setting the dates for the written examinations have to be determined such that students can attend all examinations as defined by their curriculum. As an additional boundary condition an adequate space of time shall lie between each examination each individual student has to attend. In contrast to the problem from section 1.1 room-equipment is generally not taken into account. In exchange generally more than one room has to be assigned for one examination in order to provide enough seats.

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1.4 Timetabling Student Assistants For each of TU Berlin’s approximately 600 teaching student assistants it has to be determined which lecture or course is suitable for his or her needs and abilities. This assignment was done on a paper and ink basis until winter semester 08/09: standard forms had to be handed out to all student assistants who then entered three lectures they would like to assist in the forthcoming semester. After collecting those forms (approximately 70 student assistants at the Institute of Mathematics) all the data raised was written into a huge piece of paper and the distribution of the student assistants was finally conducted on that basis. To overcome this time consuming obstacle we have recently integrated timetabling for student assistants into the MosesKonto. Similar to the procedure for the students the student assistants can access the web-interface of the MosesKonto and enter their wishes for their next semester’s assignment. As the MosesKonto also holds the student assistants’ course of studies and study progress the abilities of the student assistants are directly at hand. We also know immediately how many tutorials each student assistant has to teach during the semester. Depending on the student assistant’s respective type of contract 40–80 hours per month this results in 2–4 tutorials (including homework revisions) per week. The actual demand for tutorials for each of the lectures integrated in the MosesKonto is calculated on the basis of the student registrations for a specific lecture divided by the maximum population for this lecture. For mathematics service lectures this maximum population ranges from 15–25 students. All specified problems are important for room management at universities, for the realization of courses that can be studied according to curricula, and for the satisfaction of students and teachers. These problems are related to the optimization of room management and personnel costs (e.g. by a uniform distribution of students). Thus, the solution of these problems is related to the optimization of “real” costs, a more and more important economic factor at (German) universities. Introduction of the two-tiered Bachelor and Master courses has raised awareness for these problems at German universities: due to the multitude of new courses the timetables, which have been established and stood the test of time, cannot be used any longer. Moreover classes tend to be more structured and school-like; attendance is compulsory and dependencies between modules are depending on the feasibility of the curricula. This feasibility is also evaluated while accrediting new study courses. Since 2003 for the solution of the post enrollment based course timetabling problem at the TU Berlin we are using an algorithm that has been realized in our team [GJL+ 06]. For the third problem, the examination timetabling problem (sec. 1.3), an algorithm has been developed within our team, that is currently implemented to solve the real data problem for a large set of courses [Lac08].

2 Organization of Classes at TU Berlin One of the major challenges facing universities is the organization of the study supporting processes, especially in freshmen courses [JLPZ07]. With student numbers of about 30.000 (cf. Fig. 1) and about 6.000 freshmen students (cf. Fig. 2), TU Berlin

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Fig. 1 Student Numbers at TU Berlin from winter semester 99 until winter semester 08, translated from [rec]

Fig. 2 Medium term development of number of freshmen students, translated from [rec]

is one of the largest universities of technology in Germany. As a service for other faculties, the institute of mathematics is in charge of the mathematical education of most students, independent of their actual course of studies, making it the biggest “service provider” of the university. Students from more than 20 different programs attend one or more courses of the nine mathematics for engineering modules: • • • •

Calculus I-III, Ordinary Differential Equations, Integral Transformations and Partial Differential Equations, Linear Algebra,


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• Numerical Mathematics, • Mathematics for Economics I & II. The freshmen course Calculus is the largest module with a total count of more than 2.200 students per semester. In order to guarantee lecture class sizes of less than 250 attendees the modules are organized as follows: multiple lectures are held in parallel and the lecturers of the individual lecture classes take care of presenting the same mathematical material to all attendees. In addition to lecture classes, all students have to solve the same exercises as homework to be admitted to the written examination at the end of the semester - in case of a sufficiently high homework score. Students also are eligible to attend small-sized exercise/recitation classes (tutorials) consisting of 15 up to 30 students. The administrational duties for performing mathematics service are summarized in the following list: 1. Assign all math-service students to exercise classes 2. Manage homework scores for admission to final examinations and course credits 3. Management of student registration for examinations 4. Inform students about examination scores 5. Collect and submit examination scores to the central office of examination. Although all of the above tasks are typical administrational duties for student management at universities, the large course sizes make them very time-consuming and labor-intensive. This is especially true for the assignment into exercise groups for every module: All students have to be assigned to small groups such that assignments do neither conflict with each other nor conflict with the individual schedules of the students while respecting certain capacity restrictions. However, the large course sizes not only present difficulties; they imply a great opportunity of rationalization in the student-administration. Against this background the development of MosesKonto ([GJL+ 06], cf. Figs. 3,4,6 for screenshots) began in 2002 and was initially deployed and used since 2003 for all courses within the math-service modules described above. Since the winter term 2005/6, the assignment into exercise classes and management of exams has been extended to cover further courses, even across different schools. In the winter term 2007/08, 6 out of 7 schools at TU Berlin used the MosesKonto for the post-enrollment into their tutorials, i.e. approximately 50% of all students are distributed into their tutorials by this system. In winter term 2008/2009 15.142 tutorial places were distributed to 5.498 students (thereof 1.928 freshmen). In 2008 we allocated a total of 29.138 places. Please see appendix 1 for the complete results for the winter term.

3 Student-Tutorial Assignment Every student attending a course with additional tutorials is eligible to attend an exercise class. The number of attendees for a particular course is not known until the semester starts, as the enrollment process does not end until then. The students cannot know their complete schedule until this time either, and the variety (with

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Fig. 3 Web-administration-interface of the MosesKonto, displaying the menu functions for “persons”, “tutorials”, “examinations”, “administration” (left to right)

respect to course of study) of students attending different courses implies a great variety in individual schedules. These two details make it impossible to fix a set of dates for exercise classes in advance. Instead, one is forced to find dates for these tutorials in the first week of a new semester, by taking into account all students’ timetables. Until winter term 2002/3, the assignment of students into exercise classes was performed independently for every math-service module (and for each of the other modules). This procedure required all students of a particular module (up to 1.000 at that time) to gather in the main lecture hall in order to receive their exercise class dates. Students were numbered and subsequently drawn by lot to choose their most preferred date from the remaining dates in the global pool of exercise classes. Of course, this procedure could not guarantee every student receiving his most preferred date, but it did ensure that the assignment of a whole course is feasible within 90 min. Integration of additional courses (thus, increasing the number of students to be administrated by math-service) invalidated the above assumption about the feasibility of the assignment method. In fact, the last time the above method was applied; it took several hours and forced more than 2.000 students to be physically present in a completely overcrowded main lecture hall offering seats for 1.200 students.


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Fig. 4 Web-administration-interface of the MosesKonto, setting the compulsory modules

Since this development in the number of attendees was foreseeable, the development of a web-based registration procedure began in the spring of 2002; the new method has been used since the summer term of 2003. The major goals of the new procedure were: 1. Gather early information on the expected number of students for every module 2. Take into account the student’s individual schedules by collecting their “wishes” for dates 3. Distribute students as even as possible among all exercise classes of every module 4. Assign students such that no date conflict arises for students that attend tutorials in more than one course. For various reasons it was impossible to access the personal data of the students from the central enrollment office. Thus, to realize a procedure that respects the above requirements, students would need to register at MosesKonto and create a personal account. But, as a side effect, the same personal data can be used to manage the final exams. The latter is a great improvement over the established way of registering for an exam: students had to register at the central exam-office with a paper form, from which a press copy of their registration form is sent to the department of mathematics, where these copies are entered in an excel sheet. Of course, numerous transcription errors are produced that way.

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All of the above requirements could be easily met by means of an assignment procedure operating on a first-come-first-served basis. However, it would favor those students over others, who receive their certificate of enrollment earlier. Moreover, from a technical point of view, it would concentrate the registration traffic on a very short time span, which means that the system probably would not scale well for increasing numbers of students. This motivated our decision for a global optimization method: Over a given time span, say, two weeks, students have the opportunity to register for the tutorials. When we started in 2002 the system had only been used for the math-service tutorials. The students could choose personal priorities from a range of possible dates for every math-service module. Since the system is used for many other lectures with tutorials, the students can globally choose priorities for different time slots. All students will choose their favorite dates using their MosesKonto account and they can revise their choices at any time. After the registration time span, the collected data is used to compute an assignment that is optimal in respect to all students’ priorized wishes. Often, students have organized themselves into groups of two or three to work collaboratively on their homework, for example. It is desirable, although not essential, to let all group members attend the same exercise class. MosesKonto offers the opportunity to register for tutorials as a group (different students can form different groups for tutorials of different lectures), which implies that all group members automatically choose the same priorities for the available tutorial dates. The functionality to mange groups (change groups, step back, etc.) is provided through MosesKonto as well. These groups are not formulated as constraints in the global optimization problem, but some care is taken to respect these wishes for groups if possible.

4 Optimized Assignment of Student Assistants to Tutorials The optimization step involves the computation of all assignments of student assistants to their tutorials, so that room-capacities and maximum tutorial population are respected. The computed solution is optimal in respect to the tutorials required and to the wishes and capabilities of the student assistants. The problem admits the following formulation as a constrained minimum-cost-flow network problem. [AMO93, CSLR01, Löb00, NT03, FS03]

min s.t.

pn (t j , ci )xt j ci xt j ci = 1∀t j

ci ∈courses(t j )

supply(t j , ci )xt j ci ≥ demand(ci )∀ci

xt j , ci ∈ {0, 1}


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Fig. 5 Tutor-assignment network

An example of this network is depicted in Fig. 5. A detailed description of the analogously implemented network flow problem for distributing the students to tutorials can be found in [Luc03]. The data from MosesKonto is accessed and preprocessed by the software TUTOP [Luc03], which also formulates the integer program that is then to be solved by the commercial software CPLEX [ilo].

5 Administration of Examinations In most courses using the MosesKonto to distribute their students into the tutorials, each student has to pass a written final examination (consisting of up to three separate written tests) for each module. As a result, up to 2.500 written exams have to be handled in each course, creating a substantial administrative overhead. The efficient organization of such large exams requires punctual registration on the part of the participating students. The results have to be published and forwarded to the central office of examinations. Finally, the results have to be processed statistically to provide the responsible deans with information concerning the success of the courses. To satisfy the regulations imposed by the different courses of studies it is necessary to hold up to three different (though identical in content) exams. As a result, the students feel insecure for which exam they have to register. To alleviate this

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problem, the students are only presented with the appropriate exam for their particular course of studies when registering for the final exam for a given module. Registration for final exams for compulsory optional subjects and exams governed by older or more “exotic” examination regulations has to be done in person at the service center, which also has access to the examination administration of the system. When “creating” an exam in the database, the registration and deregistration periods have to be specified (cf. Fig. 5). Students have to (de-)register during that specified period only, deregistering for (officially certified) medical reasons being the only exception being handled exclusively by the central office of examinations. Information for each exam is available for download by the service center or other authorized staff in the form of a zip-file containing the following: (1) A list of all students registered for this exam, including their personal data and the results of the exam (in csv-format) (2) Separate lists for each course of studies, containing the names and personal data of each student registered for the exam to be forwarded to the central office of examinations (LATEX-Format) (3) A complete list of all registered students including personal data for proof of identity during the exam (LATEX-Format) (4) Separate lists for each course of studies, containing the names, personal data and exam score of each student registered for the exam; these lists can be directly imported into the database of the central examination office (Excel-format) (5) A complete statistic including a graphical representation of the results (LATEXFormat)

Fig. 6 MosesKonto web-administrator-interface displaying an overview of tutors and their desired courses


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The lists of registered students forwarded to the central office of examinations replace the more traditional registration forms handed in by the students in person. In the near future, this procedure will be replaced by an automatic export into the database of the central examination office. Until winter term 2006/07, the lists containing the result, once signed by the professor, replaced the minutes of the examination previously required for each student separately. Since 2007 the results are imported directly into the database of the central examination office. The complete csv-format list of participating students is used as the basis for assigning the students to the rooms available for the examination and to determine the needed capacity and thus required rooms in the first place (cf. Fig. 6).

6 Administration of Homework Most courses require mandatory homework as a prerequisite for admission to the exams for most courses of studies. The homework-related criteria that are to be met for admission to the exams are currently dependent on both the module and the professor teaching it. In consequence, it is necessary to store the criteria for each module and each semester separately. Authorized staff can access the list of course participants at the end of the semester to add if the student met the homeworkrelated criteria or not. The system does not check if the homework-related criteria are met during the online registration for the exam as the last homework assignments are regularly neither handed in nor graded by the time the registration period has expired. Staff members can afterwards easily get a list of the students who registered for the final examinations, but do not fulfill the homework criteria.

7 Cost/Performance A single user license of the optimization software used by us, CPLEX, for commercial purposes is approximately C 15.000 with additional annual maintenance costs of 18%. For a period of 10 years this totals in costs of C 42.000 or C 4.200 yearly costs. In the year 2008 the system allocated more than 29.000 tutorial places. Thus, the cost per tutorial place allocated is less than C 0.15. The personnel expenditures for doing the distribution by hand are difficult to estimate, yet we try to give a comparison: the cost per year roughly equal a scientific staff’s monthly wage. For simplicity reasons we assume that this scientific staff works one whole month (we should actually consider two times two weeks, as the distribution has to be done twice a year) on the tutorial distribution, then in order to finish the job on time for the allocation of every single tutorial place less than 22.5 seconds are available, whereas the system needs less than one minute to provide an optimized solution for all places. This simple thought experiment shows that in terms of cost and velocity our system clearly outperforms a manual distribution. Moreover, every teaching staff who is confronted with schedule difficulties from students and colleagues knows that

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manual solutions, in the majority of cases, are far from optimal. The development costs of our system would have to be added to the above cost, however they could be neutralized as this work was done as a regular research activity. Since CPLEX universally is usable therefore can be used for all mentioned distribution problems (assistant-, tutorial-, room- and exam distribution), the costs go down correspondingly. An exact estimate is difficult because the previous costs are based on personnel expenditures and are not on hand. Furthermore, “costs” like administrative-staff, teaching-staff and student satisfaction cannot be estimated. At TU Berlin all participants involved are extremely satisfied; especially the teaching colleagues who are exempt from these organizational burdens at the beginning of each semester. Another advantage arises from our modus operandi: the assignment of student assistants can be planned within whole departments, e.g. mathematics or mechanics beyond specific lectures; i.e. assistants can be allocated to the specific courses “on demand”, depending on how many students have registered for a particular course. Moreover, human resources are not only optimally employed; personnel costs are saved by avoiding offering tutorials for sparse auditoria. Table 1 Registrations for written examinations in the system 2005-2009 Year

#Registrations to written exams

2005 2006 2007 2008 2009 so far Overall

8.475 11.012 14.848 19.473 25.561 116.732

8 Résumé and Perspective One desirable future feature of the system would be a direct, automatic exchange of data, in particular, with the room management system of the TU Berlin. This exchange could be realized by using web services. Preliminary efforts of coordination have shown the general willingness of the central facility management to participate. However, certain adaptations to their software are required and are not yet implemented. For efficiency-reasons and student-contentedness, of course in the medium-term it is planned to manage all examinations and optimize all tutorials at TU Berlin using the MosesKonto within two years. Anyhow, up to now MosesKonto is a service, offered by the Center for Multimedia in Education and Research (MuLF) and every department is invited to take part on a voluntary basis. We have shown that the timetabling problem of post-enrollment can successfully be solved with mathematical techniques of discrete optimization, see [22] as


83

a general reference. For the future our group at MuLF is developing a solution for the university timetabling problem (for all lectures at the TU Berlin) and for the examination timetabling problem. The final aim is a system for the solution of these most important administrative problems at universities.

References [AMO93] [CK96]

[CSLR01]

[FS03]

[GJ90] [GJL+ 06]

[ilo] [JLPZ07]

[Lac08]

[Löb00] [Luc03] [NT03]

[rec]

Ravindra K. Ahuja, Thomas L. Magnanti, and James B. Orlin. Network Flows: Theory, Algorithms, and Applications. Prentice Hall, New Jersey, USA, 3 edition, 1993. Tim Cooper and Jeffrey Kingston. The complexity of timetable construction problems. In Practice and Theory of Automated Timetabling, First International Conference, Edinburgh, UK, August 29 - September 1, 1995, volume 1153/1996 of Lecture Notes in Computer Science (LNCS), pages 281–295. Springer Berlin / Heidelberg, 1996. Thomas H. Cormen, Clifford Stein, Charles E. Leiserson, and Robert L. Rivest. Introduction to Algorithms. MIT Press and McGraw-Hill, New York, USA, 2 edition, 2001. H. Salehi Fathabadi and G.H. Shridel. AN O(nm2) TIME ALGORITHM FOR SOLVING MINIMAL COST NETWORK FLOW PROBLEMS. Asia-Pacific Journal of Operational Research, 20:161–175, 2003. Michael R. Garey and David S. Johnson. Computers and Intractability; A Guide to the Theory of NP-Completeness. W. H. Freeman & Co., 1990. Sven Grottke, Sabina Jeschke, Gerald Lach, Robert Luce, Olivier Pfeiffer, Jan Sablatnig, and Erhard Zorn. MosesKonto: Optimiertes Verteilungsverfahren für Tutorien und Studierendenverwaltung an der TU Berlin. In DeLFI 2006: 4. e-Learning Fachtagung Informatik der Gesellschaft für Informatik e.V. (GI). Lecture Notes in Informatics (LNI) - Proceedings (P-87, pages 385–386. Gesellschaft für Informatik, Bonn, Germany, 2006. ILOG 2008 High-performance software for mathematical programming and optimization. Sabina Jeschke, Robert Luce, Olivier Pfeiffer, and Erhard Zorn. Optimized Allocation of Exercise Classes and Study Management at TU Berlin. In 6th Annual ASEE Global Colloquium on Engineering Education, Istanbul, Turkey, October 2007. M. Lach. Ein Verfahren zur Optimierung der Klausurterminplanung an der TU Berlin. Masters thesis, Technische Universität Berlin, Institut für Mathematik, 2008. In German. A. Löbel. MCF – A network simplex Implementation, 2000. R. Luce. TUTOP: Tutorienplätze optimal verteilen. Seminarpaper, Technische Universität Berlin, Institut für Mathematik, Germany, 2003. V. Nguyen and Y. Tan. Minimum convex cost flow problem. In Proceedings of the 2003 Joint Conference of the Fourth International Conf. on Information, Communications and Signal Processing, 2003 and the 4th Pacific Rim Conf. on Multimedia, 2003, volume 2, pages 1248–1252, 2003. Rechenschaftsbericht des Präsidenten der Technischen Universität Berlin, Teil 2. Technical report.

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Appendix: Winter-Semester 2008/09 tutorial allocation data

course

Table 2 Statistical data from summer-semester 2009 tutorial allocation average ununpriority 1 2 3 4 5 6 7 matched wished

Ana1

1.33

897

277

51

11

0

0

0

0

0

Ana2

1.25

1070

249

43

3

0

0

0

0

0

Ana3

1.70

81

47

17

5

1

0

1

0

0

AVWL2

1.42

219

72

20

7

0

0

0

0

0

BauInf

1.40

68

27

5

1

0

0

0

0

0

CAD-KL1

2.26

335

89

83

32

43

51

4

0

0

DGL

1.69

184

95

28

14

7

1

0

0

0

EL-NW

1.70

141

66

28

13

4

0

0

0

0

ETGLServ

1.42

341

99

29

14

1

0

0

0

0

Info2-Wirt

1.61

150

71

30

9

0

0

0

0

0

InfoRules1

1.13

70

10

0

0

0

0

0

0

0

ITPDG

1.55

78

43

12

1

1

0

0

0

0

K1

2.25

382

161

73

58

51

36

18

0

0

K2-A

1.42

126

55

9

1

1

0

0

0

0

K2-B

1.40

97

36

9

1

0

0

0

0

0

KW

1.86

165

74

32

17

11

3

2

0

0

LinA

1.48

754

261

80

29

7

1

0

0

0

Mech1

1.63

362

153

53

26

6

3

1

0

0

Mech2

1.41

386

135

45

3

0

0

0

0

0

Mech3

1.69

46

23

10

2

2

0

0

0

0

Mech3-EM

1.92

42

36

20

3

1

0

1

0

0

Mech3-KM

1.95

20

8

10

2

0

1

0

0

0

MechE

1.54

285

95

55

12

0

0

0

0

0

MMPhy

1.17

156

26

3

0

0

0

0

0

0

MPGI2

1.52

178

106

26

1

0

0

0

0

0

NumI

1.97

54

24

13

8

3

2

1

0

0

Ph-Ing2

1.46

458

171

46

16

0

1

0

0

0

PhysET2

1.35

128

35

9

3

0

0

0

0

0

Stoch-Inf

1.16

137

22

2

0

0

0

0

0

0

TechGI2

1.59

193

56

29

19

1

0

0

0

0

TechGI2-P

1.52

44

42

2

0

0

0

0

0

0

TechGI4

1.48

106

38

19

1

0

0

0

0

0

TheGI2

1.41

135

48

14

2

0

0

0

0

0

TheGI4

1.62

78

31

20

4

0

0

0

0

0

WT1

1.91

434

177

78

47

38

16

3

0

0

all

1.58

8400

2958

1003

365

178

115

31

0

0

Spirit University of Stuttgart’s Life-Cycle-Based Gender-Mainstreaming-Concept Sabina Jeschke, Barbara Burr, Peter Göhner, Wolfram Ressel, Wolfgang Schlicht

Abstract In spite of social and political efforts to achieve equal opportunities, women remain a minority in natural sciences, technical and related fields. We present the gender concept of the University of Stuttgart. First, the steps for promotion of female students within natural sciences and technical fields are developed. Keywords gender concept · female academic education · diversity studies · women in natural sciences and engineering

1 Introduction Despite comprehensive social changes and political efforts to achieve equal opportunities woman remain a minority in the natural sciences, technical study fields and the corresponding occupational fields. This paper presents the complete gender concept of the University of Stuttgart. First the steps for promotion of female students and women within the natural science and technical fields have to be developed. Female underrepresentation in science and the demand for equality of the sexes have become a vital aspect of the ongoing reform discussions. A special look should be taken at the education-economic perspective as well as the aspect of quality assurance and the capability to be innovative [EK99], [Kom01]: – • The under-representation of women in scientific and technological fields has technological implications such as design, quality and diversity of products. In fact, creative innovations cannot be “all-inclusive” without the inspiration of women: products might be designed faulty because their usage options were only viewed under considerations of requirements of special groups (e. g., examples are airbags, artificial heart valves, voice recognition systems [Sch03]). • The absence of women from certain technological fields poses a hard challenge for industry and economy: the demand of qualified specialists cannot be satisfied S. Jeschke (B) IMA/ZLW & IfU - RWTH Aachen, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected] © [2010] IEEE. Reprinted, with permission, from “Proceedings of the IEEE Engineering Education 2010 Conference, The Future of Global Learning in Engineering Education”, IEEE, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_7

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by men willing to pursue an academic education [Win04]. The existing loss of interest by men in technical and engineering subjects intensifies the challenge [KW03]. Moreover, demographic development in Germany and global competition exaggerate these challenges. • Technical disciplines graduates are filling important jobs in our society. These are characterized by fields of responsibility and extensive influence. Technical authorities are a key factor of shaping our society [Wäc98]. The under-representation of women in these fields is a central drawback to an equal participation of women. In fact, there are lots of single initiatives aimed at “breaking down the gender-gap” in German universities. Each engaged by different single persons that include offices for equal opportunity but also individual professors, centres, or initiatives in single institutes. Consistency, continuity and transparency are missing due to the lack of a comprehensive strategy. This leads often to a “twofer” for some target groups while other arrangements and initiatives are missing. Communication and information campaigns aimed at reaching a broad group. Creating a common understanding of challenges and requirements are an exception. The objective of universities should be concentrate and coordinate existing and successful measures. All arrangements result from one coordinated gender master plan, • that comprises the full life-cycle from kindergarten to professorship with leadership function, • whose single steps make a seamless, coordinated transition between different measures possible, • that incorporates all areas (education, research and organization), • and that includes a concept of family-friendly policies for all members of university. The female professor program is a characteristic component of the gender master plan of the University of Stuttgart. The under-representation of women in technological fields becomes particular visible in predominantly scientifically and technologically aligned universities like the University of Stuttgart. Contemporaneously, a large percentage of future scientists and engineers are trained here. These universities are in charge to overcome the gender gap in the technological disciplines. This is justified broad and early commitment of gender management. Additionally, women are nominated as top position holders of technical disciplines in order to increase diversity in research and education presenting female role models to new generations.

2 Situation-(Deficit-) Analysis Girls and women are still under-represented in technology-oriented programs. The University of Stuttgart is well aware of these challenges being a long term driving force to raise the percentage of females. The structure and development plan SEPUS

Spirit

87

of the University of Stuttgart V defines measures. Each of the listed measures is successfully proven. However, the University of Stuttgart neglects a master plan that connects all of single measures and sustainable networks that build on and support each other. The concept presented here pursues the goal of integration and sustainability of measures. The University of Stuttgart is a fully profiled university oriented towards technological and scientific programs and the concept of equal opportunity is aligned with this profile. Therefore, the focus is on the recruitment of women into technical disciplines. They are initially acquired for scientific and technical degrees, then promoted depending on their talents, and supported on their “job ladder” inside or outside university. The objective is to boost the percentage of female students in scientific and technical disciplines from currently 20 % to 30 % (within the entire university from 34 % to 40 %) and the rate of female young scientists from 18 % to 30 % (within the entire university from 21 % to 30 %). The target in these disciplines is set for an increase of female’s professors from 6 % to 10 % (same within the entire university) within the next five years. Furthermore, 30 % of the professorships have to be newly appointed until 2012. Therefore, a considerable increase is possible. Baden-Württemberg is striving for a long term increase of the quota of female professors to 30 % (defined by the head of the Office of Scientific and Technological Affairs, Frankenberg).

3 Objectives concerning different target groups Chapter 4.1 describes the different measures to be implemented within the framework of the gender master plan of the University of Stuttgart in detail. This chapter summarizes the most important foci from the catalogue of measures concerning addressing the different target groups: • Increase percentage of women in top scientific positions The incompatibility of a scientific career and family is still a major reason for women to distance themselves from the former . To address this challenge, the University of Stuttgart is working towards improving the surrounding circumstance to unite a scientific career with family life. The intention of sufficient child care offers, a family friendly housing situation, the adjustment of study and examination regulations and development of alternative work schedules are supporting this goal. Another important point considering the encouragement of women in leading scientific positions is the inclusion of the career planning of their partners (Dual Career). The University of Stuttgart is aiming to increase the ratio of female professors to 10 % according to their structure and development plan. To create the long-term framework for this goal, the University of Stuttgart is developing a package of measures. Especially qualified female students and young female scientist are provided with individual sponsorship and a structural framework to improve the compatibility of scientific career and family. The financial support through scholarships is seen as of similar importance as the personal support through formal and casual networks

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and the acquisition of career-furthering qualifications. Versatile cooperations with regional companies put the University of Stuttgart in the unique position to offer attractive choices within the industry and economy to partners of female researchers. • Career and personal development for young female scientists Next to the scholarships for talented young female scientists mentioned in the previous paragraph there is the phase between academic studies and the begin of the scientific career as well as the Post-Doc-phase. It is important for future scientists that they are presented with career-options and develop career-strategies during these times. They need to gain access to networks and acquire leadership and management qualifications. Community building between students and young scientists is fostered by employing comprehensive measures within the single institutes and creating positive role model initiates a regular exchange of experience between successful young scientists and female entrepreneurs. It is important for raising female students and young scientists to create a supportive living environment and to present attractive employment opportunities to their partners, in short, offering Dual Career Options as early as the qualification phase. To achieve this goal the University of Stuttgart has set out to earn the certificate of “family friendly university” awarded by the Hertie-Trust. • Acquisition of female students in the natural sciences and technological disciplines A central condition is the gain of enthusiasm for natural sciences and technology to foster the election of a scientific or technologically oriented field of study later in life. The University of Stuttgart has build a package of measures that incorporates the education of teaching staff as well as considering research of gender sensitive deployment of toys and the creation of an academy for younger children. Furthermore, the University is compiling effective public programs - female students are given an age-based understanding of natural and technical questions. For this existing programs like the Girl’s Day are expanded and new choices like the Technology-Camp are developed. Female students can use their vacation time to research exciting scientific and technological topics. To ease the decision of girls to choose a technological or scientific program of studies there is the offer of a trial course as well as a program to support them from the last year of high school to the first semester at the university. Building on the program “Try the University” girls in the last year of high school are being offered the full curriculum of available bachelor degrees and are enabled to collect credits towards their future studies.

4 Implementation of the concept SPIRIT The concept is following a life-cycle model. The target groups are girls and women which are accompanied from kindergarten to professorship by multifaceted package of programs: The single activities are weighted differently depending on the phase

Spirit

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of life, build on each other and are interlocked. This ensures that measures exist for each state of the life cycle that aim towards a goal and support the progress towards the next phase. Special weight will be put on the systematic advancement of female migrants due to the fact that their requirements are defined by a different process of socialization compared to women without a migration background.

4.1 Measures for Each Scope of the Life-Cycle: 4.1.1 Gender Sensitivity Training Courses for Educators Measures have to be taken already in kindergarten to ensure the best possible equal upbringing of girls and boys. To spark interest in natural and technical questions kids requires careful planning of all educational activities. To improve this concept the University of Stuttgart designs, prepares and implements gender- and diversitysensitive scientific and technical professional training for educators. Evaluation and counselling is provided by the Institute for Social Sciences. 4.1.2 TechToy Gender and diversity sensitive engineering toys that are accepted and appreciated by both sexes are necessary to awaken the enthusiasm for the natural sciences and engineering early and across both genders. The University of Stuttgart will apply a main research focus on the development of gender sensitive engineering toys. A co-operation of different chairs of engineering, the Institute of educational science and psychology, and the institutes for social sciences, technology and environmental sociology [ZR] will carry this research focus. This concept is built on the preparations for the initiative “Wissensfabrik” (knowledge factory). The University of Stuttgart will shortly join this initiative as one of the first Universities. A pedagogic concept is being developed to allow for a meaningful use of the toys in pre-schools, schools and families. Such a concept could look similar to – the extremely successful – Roberta- teaching materials of the Fraunhofer IAIS for LEGO Mindstorms robot building (a Roberta Regional Centre is currently being build up and developed at the Institute for IT Service Technologies). 4.1.3 Exhibition Team University of Stuttgart (ETUS) A professional Team is build at the University of Stuttgart whose focus will be public relations with specific target groups. The field of responsibility for this team also includes the development of effective publicity programs for events at the University of Stuttgart including the Day of Science (“Children’s-Campus – Program for young researchers”), as well as Technology exhibitions like the “Land of Ideas” or the “Cebit”. During this process programs for the different target groups of preschool age, elementary school age, junior high school, secondary school age, and for teachers are prepared. This project can build on the experience of the Student Counselling Centre and of the marketing office.

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Fig. 1 Life-cycles from kindergarten to professorship

4.1.4 Rent-a-Scientist & SchoolgirlUni Pre-schools and schools are being offered possibilities to “rent” (female) professors or (female) research staff of the University of Stuttgart. They visit the educational institution and answer questions from the fields of science and engineering with age group specific lectures and demonstrations. In reverse, the University of Stuttgart offers (female) students the possibility to come to the University to get to know the University “from the inside” (student/schoolgirlUni ). To ensure the success of these events a pedagogical concept is drawn up and staff members are being trained (pedagogical mentoring by the Institute of educational sciences and psychology). The concept also addresses culture-based conflicts of interests – especially relevant for pre-schools and schools with a high ratio of children from migrant families. The measures 4–6 and 8–10 are part of the University of Stuttgart Young Academy which is currently being implemented.

4.1.5 Girls’ Day The University of Stuttgart has been participating in the mono educational Girls’ Day for several years. Girls are invited to the University of Stuttgart to gain a short inside look into the different scientific and technical areas. Specialized subjects from

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different departments are being prepared to spark the girls’ interest. In this regard the girls have the possibility to try the experiments also on their own. The program will be further developed in the coming years and expanded inside of the university – through the integration of more faculties and considering culture-specific differences in interests and approaches. 4.1.6 Partner Schools Direct connections to partner high schools improve the cooperation between schools and universities. Common activities give female students a chance to gain some early insights into research and education at the universities. The choice of study and the ease of transition from high school to university should benefit from these measures. They should further benefit from the close cooperation with the successful “Mine-Mint”-Network. The continuing initiatives involving the Institute for Hydraulic Engineering, the Department of Physics, the Department of Chemistry, as well as the Department of Computer Science, Electrical Engineering and Information Technology and the freshly initiated cooperation with the “Landesgymnasium für Hochbegabte in Schwäbisch-Gmünd” will be continued respectively further expanded. 4.1.7 Gender Sensitivity Training for Teachers This training course is designed to enhance the skills of teachers in gender and diversity sensitive didactics for teaching technological or scientific courses. As the result of both formal and family education, girls are interested in different questions than boys. The course develops guidelines based on concrete examples to help teachers create a sense of fascination and adventure concerning science and technology in students. These courses are supported by the competency of the Institute for the Social Sciences. The University of Stuttgart takes advantage of the unique situation created by the restructuring and modularization of the academic education of teachers in Baden-Württemberg to enhance the competencies of teachers in training for gender sensitivity. Current plans allot 6 credit points for this field. 4.1.8 Technology-Camps Technically-oriented summer camps teach modern science in a hands-on approach. These “Technology Camps” present selected current topics from the fields of research and education at the University of Stuttgart in high school level lectures and experimental labs. High school and university students research interesting topics from the natural and engineering sciences in close cooperation with professors. These summer camps expand upon the already existing summer break programs offered by the University of Stuttgart (Stuttgarter Forschungsferien). The University of Stuttgart can build on experiences gathered in the (Nanocamp, Faculty for Civil- and Environmental Engineering). Future summer camps will be

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offered as both mono or co-educational. Mono-educational summer camps will make participation easier for female students from families with a migration background. The SPIRIT program plans to offer stipends for students from financially weaker families through the integrated foundation.

4.1.9 TechnoClub “Test your University” The TechnoClub offers single workshops and one-semester courses for female high school students, held at the university. Lectures and labs held by members of the university are designed to familiarize high school students with the daily life at the university. These courses include a lab for Robo-Rescue and courses for electronics and soldering. Special attention will be given to culture-specific variations in interest and approaches in support of the main focuses 4, 5, and 8. The courses offered in the TechnoClubs are created by a representative cross section of all institutes within the university and are centrally coordinated. This mono-educational concept is based on a long running and successful program, “Try the University” (“Probiert die Uni aus”).

4.1.10 Studium Experimentale The “Studium Experimentale” presents several different approaches to familiarize students with the University of Stuttgart and the different programs offered. First of all, high school students are offered university level courses in a more compact form, including the final exam. This idea is based on the “SchülerStudium” at the FU Berlin. If a participating student should decide to pursue a compatible course of study at the University of Stuttgart, they will receive priority in the acceptance process and will be credited with the corresponding credit points. As a result, ties between students and the University of Stuttgart are created early and the transition from high school to university is eased. Secondly, since female students often find it hard to decide on one single technological or scientific course of study, the University of Stuttgart offers one-year courses with access to all available bachelor courses without forcing the student to enrol with any one particular program. The credit earned during this period is fully applicable to any future course of compatible studies. The University of Stuttgart is currently engaged in defining the necessary legal framework (crediting, BAFöG).

4.1.11 Mentoring “Transition from High School to University” The Campus Mentoring Program matches selected university students with high school students to mentor them at the end of their high school and the beginning (first few semesters) of their university education. The mentors help the students adapt to the daily routine at university. The students will be gradually transferred to an advanced mentoring program supervised by professors as they enter university.

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4.1.12 Gender Sensitivity in Technologically-Oriented Courses of Study Technological-oriented courses of studies and careers are not unattractive to women per se. However, motivation, specific interests, style and strategies of learning, goals and expectations can differ significantly from those of young men. The University of Stuttgart, under the leadership of the vice rector for academic affairs, will create concepts and guidelines for gender sensitivity in all courses of studies, taking advantage of the opportunity offered by the restructuring of all courses of studies, including their content, to the new, modular bachelor/master system. 4.1.13 New Technologically-Oriented Programs Quite often female students fail to feel attracted towards the existing curriculum of engineering and natural science programs. The main reasons are that women do not see the social relevance and/or that they are worried whether their interests and talents qualify them to pursue studies in these fields. The Bologna-Process offers a unique opportunity to create new and reorganize existing programs. The University of Stuttgart is planning to implement number of new programs specifically addressing the specific interests of female students. These programs will build on the experience from the Galilea-Project at the TU-Berlin (www.galilea.tu-berlin.de, already existing cooperation [DJTW06], [DJSW07], [EJN+ 07], [EJN+ 08], [DEJ+ 08a], [EJNS08], [DEJ+ 08]. The first two programs are already being designed (Renewable Energy and Medical Technology). The Galilea-Programs are characterized by a high degree of flexibility in the early choice of courses, as well as socially relevant, interdisciplinary foci. 4.1.14 Diversity Studies & Technology Management It is necessary to understand the role of female engineers and scientists, including their special contributions and unique potential, to attract more women to studies and careers in the technological fields. To address these requirements, the University of Stuttgart is planning to create a program for diversity studies in the engineering sciences with a focus on technology management. The courses offered in the program will be credited as minors or mandatory elective courses in the engineering, economics, scientific and social studies programs, strengthening the impact of gender and diversity studies in the existing programs. 4.1.15 Program for Stipends: “Opportunity” Stipends provide a means for direct promotion of talented students. As such, it is a tool well suited for supporting students from financially weaker families. In addition, they create social networks between the recipients and bring them into contact with prospective employers (often former recipients or even founders of the stipends). The University of Stuttgart plans to create specific stipends for female students of the natural sciences and engineering in close cooperation with

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successful regional companies and research institutions and with the European Social Fond, ESF. This increase in cooperation will further strengthen the regional economy. The “Opportunity” program complements the existing stipends (stipends for PhD students under the “Landesgraduiertenförderungsgesetz”, Schlieben-Lange und Margret von Wrangell Programm). 4.1.16 Femtec Region Stuttgart The low ratio of women in positions of leadership within the economy and the resulting perception of a lack of career opportunities has a direct, negative impact on the motivation of female students. The University of Stuttgart is planning to expand the existing cooperation with the successful Femtec program and its associated career building program. Femtec is a unique network of leading technical universities and successful international companies. The University of Stuttgart has been a member of the Femtec network since 2005. The aim of the program is on strengthening the cooperation with the regional economy. The associated career building program teaches leadership qualifications easing the transition to a successful, professional career. The University of Stuttgart is already represented on the advisory board of Femtec. 4.1.17 Entrepreneur Initiative SPIRIT Based on the experience gathered in the joint project “Erfolgreich ist weiblich!” (in cooperation with the TTI GmbH, started in February 2007) the University of Stuttgart is creating an informational and consulting offer for students and post graduates as well as the alumni of the University of Stuttgart that wish to found their own start-up. This network will provide gender specific support within and beyond the boundaries of the university itself. 4.1.18 Mentoring for Women in Science and Research In addition to good qualifications and grades it is often the contact and support resulting from access to informal networks that is decisive in professional success. The University of Stuttgart is planning to expand existing and successful mentoring programs for women in science and research to support even more female students in implementing their career strategies. The mentoring program provides support for highly qualified graduates, post graduates and post docs. An additional focus of the program is on qualifying women for leadership positions. 4.1.19 Mentoring Program “ProFiL BW” The University of Stuttgart is planning to create a program to support excellence in scientific careers, following the example of the successful elite mentoring program “ProFiL” (http://www.profil-programm.de/, existing cooperation) of the three universities in Berlin. Future expansions of the program will include cooperations with

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other universities in Baden-Württemberg. The (female) participants of this program will receive extensive support in planning and furthering their careers, including training leadership and management skills required of a full professor. Prerequisite for joining this program is an excellent PhD thesis, a one or two year post doc phase and an interview with the applicants. 4.1.20 “Ladies’ Community” Female students often feel isolated during their studies due to their low ratio in most engineering programs. Support programs like girls-only exercise courses are faced with a low acceptance as they are perceived as further reaffirming this outsider role. The lack of social infrastructure on-campus will grow even worse in the near future as first semester students are getting younger due to the shortened high school education. This development necessitates a pervasive community building among female students beyond the boundaries of the single study programs. The University of Stuttgart has created a work group to design a concept for realizing such a community. Some measures already planned include regular seminars with successful female entrepreneurs and researchers, regular social gatherings and the creation of a special web portal for the female community. The community to be created should ideally include all female students and alumni of the university. 4.1.21 Colloquium “Women in Leadership Positions” Female students are often missing role models, women who have mastered the obstacles and challenges of a program and have reached a leading position in research or business. This results in low motivation and an increase in the drop-out rate. To counter this effect, the University of Stuttgart is planning to hold regular seminars where successful women from research and business share their experience and advice with female students. Future synergies with the “ladies’ community” and the alumni program will support this measure. 4.1.22 Family Friendly University It is necessary to provide a family and children friendly environment for young families or single students with children to attract more women to study or pursue a career at the university. The University of Stuttgart has already implemented a number of measures to this end. Among these are child care for the children of students (Kinderbetreuung für Kinder von Studierenden der Universität Stuttgart STUPS e. V., emergency child care, semester break child care) and the Stuttgarter Forschungsferien, an attractive child care program for school kids, organized by the Konzept-e GmbH and five different Fraunhofer institutes. Going beyond these measures, the University of Stuttgart is aiming at the creation of on-campus dorms with integrated child care for students with children and on-campus housing for young families of employees with comfortable access to nearby child care centres. Getting the students themselves to donate their time to

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help support the child care centres will decrease the financial burden and help with community building among female students. Additional important measures should address the specific needs created by the burden of raising children (part time studies, postponed exams due to a child falling ill, virtual courses). Researchers with children will profit mainly from dual career models, family friendly work processes, flexible time, and specific support of researchers during the first years of parenthood and the possibility of working at home. The University of Stuttgart is aiming to be the first university in Baden-Württemberg to gain the certificate as a “family friendly university” awarded by the audit council of the Hertie-Stiftung. 4.1.23 Re-Entry Program “SPIRIT returns” The knowledge and skills of many qualified female researchers and engineers is lost to the market due to the massive obstacles in returning to a job after a prolonged absence due to pregnancy and child birth. The University of Stuttgart is searching funding from the ESF based on the BMBF-Program “Wiedereinstieg für Ingenieurinnen leicht gemacht”. Engineers are given additional scientific training to re-qualify them for their re-entry into the job market. 4.1.24 Dual Career Service Program “DuCaSUS” As accepting the appointment for a professorship usually involves moving to another city, the career chances of the partner are often a decisive factor in decision making process. A similar situation exists during the post-grad and post-doc studies. Dual Career Services can advance the career chances of researcher couples. Currently, the University of Stuttgart is expanding the dual career supporting policies already common in appointment negotiations to include post-grads and post-docs in the dual career service program “DuCaSUS”. This program will involve the creation of a support network including regional businesses and public and private research companies to offer a larger basis of possible career opportunities for the partners outside the University of Stuttgart itself.

4.2 Comprehensive Measures for the whole Life-Cycle: 4.2.1 Chair for “Diversity Studies & Technology Management” The Institute of Construction, Production and Vehicle Technology will create a new chair focusing on gender and diversity, based on the example of the “Chair for Gender Studies and Information Technology” at the TU Munich. The main aim is the strengthening and localization of the gender concept of the University of Stuttgart. The academic focus of the chair will be on interdisciplinary courses in the field of gender studies, in particular for the new program “Diversity Studies and Technology Management” as well as interdisciplinary courses offered to students of other programs at the University of Stuttgart.

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4.2.2 Gender Components in New Appointments The University of Stuttgart is trying to appoint scientist as professors whose research focus integrates an explicit gender and diversity focus. Examples for such new appointments would be “Diversity in Usability Studies”, “Diversity in Design and Construction” (for a chair in civil engineering), “Gender Aspects in Biomedical Technology” etc.

4.2.3 Media Offensive “Fascination Technology” One of the central challenges for engineering and science is the public image. While being accepted as important for technological advances and therefore economic growth, they are also perceived as dry and boring subjects. Technologically oriented programs are often painting an unattractive image of technology as they focus on scientific theory and implementation but neglect to demonstrate social relevance. The result is a negative image of “soulless technology” as a simple means to an end, not as a field with its own aesthetic and fascination. This might be less of a problem for young men whose studies of a given field are often the result of a love affair with technology. In contrast, young women are more interested in social relevance than technology per se. The planned media offensive focuses on presenting mathematics, science and engineering as a vital and fascinating part of our modern culture. The methodology could be based on the experiences gathered in the popularization of mathematics at the MATHEON centre of research.

4.2.4 Media Offensive “SPIRIT” A program can only be as good as its general acceptance and public interest. This is one major challenge for most current gender programs and measures to overcome. Gender programs have to incorporate and implement a pervasive PR strategy. This includes extensive online presentations aimed at addressing students living in more rural areas outside of Stuttgart itself.

4.2.5 eCRM “SPIRIT” One major factor in the success of all measures described above is the continuous contact to the participating high school and university students as well as researchers. Our gender concept can only be successful if we manage to address these “customers” directly and tie them to the University of Stuttgart. To this end, an eCRM (electronic customer relationship management) will register and record all transactions between the University of Stuttgart and the participating students and researchers. As a result, they can be addressed directly and the life cycle process can be specifically tailored to each participant using intelligent agent systems (under the strictest observance of applying data privacy laws).

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4.2.6 Brain Storming “SPIRIT” The University of Stuttgart performs an annual brain storming on gender topics and diversity to define, select and implement further measures, with the participation of all interested institutes. The aim is a higher degree of flexibility and a stronger bound to the rest of the university.

4.3 Measures to Ensure Structural Implementation and Sustainability: To ensure the implementation and sustainability of gender concepts the following catalogue of measures are implemented: 4.3.1 Pervasive Implementation throughout the University: The single measures are placed within the jurisdiction of existing institutions (e. g. the office for equal opportunity), organizational centres (e. g. career or academic counselling), and the chairs of the institutes. Concrete tasks, their implementation and adaptation are fixed in target agreements with the president of the university. Additional measures focusing on strengthening the gender competency are the object of future appointment negotiations and target agreements. Internal projects reinforce the acceptance and broad basis for the concept. a) Collaboration with Existing Equal Opportunity Programs: Plans of equal opportunity in the academic [Thö02] and non-academic fields define an catalogue of measures aimed at achieving equal opportunity for women, based on detailed analysis of the current state. The structural and organizational preconditions for these measures already exist. b) Collaboration with the Female Professors Program: The program to increase the ratio of female professors becomes a vital part of the gender concept. Individual professors assume the operative responsibility for particular measures. These measures have already been made to increase the public visibility of the program. c) Strengthening the Scientific Gender Competency: The chair of “gender in the engineering sciences” is a component for the success of the gender concept. It strengthens the scientific background and provides the expertise required in the evaluation and long term quality control. The chair provides new input for additional projects and necessary adaptations. The competency of the chair is enhanced by the support of the office for equal opportunity and related chairs.

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4.3.2 Financing: Financing for the SPIRIT program is based on a three-pillar model: a) Budget: The present shift to success-oriented funding allows for funding further or extended measures. Target agreements with the institutes will initiate additional measures. Measures focusing on students directly can also be funded from tuition fees. b) Third Party Funding: Third party funding is an important component in the development and test of new measures and concepts. The EU, the ESF and the National Ministry of Science and Education as well as industrial partners have been increasingly supportive of gender and diversity projects. c) Endowment: It is planned to found a SPIRIT-Foundation to raise additional funds for the gender concept of the University of Stuttgart. This foundation will approach the industrial partners already engaged in the Femtec project, regional SMEs, alumni of the university, and private donors that recognize the need to support gender in the regional economy. The financial goal is an endowment providing a total annual funding of 500.000 C. 4.3.3 Responsibility – A priority for the President! The implementation of a pervasive and coherent gender concept is seen as a vital challenge for the future success of a technologically oriented university. The coordination, further development and quality control of the program will be the responsibility of the president of the university. The program will be managed by the president. Further developments will be coordinated with the commissioner for equal opportunity under the leadership of the president.

5 Summary The University of Stuttgart takes the female professor program of the state of BadenWürttemberg as an inducement to re-evaluate the currently used measures and proceedings in the area of equal opportunity and equal treatment. Where necessary these measures should be amended, enhanced and optimized. The major need for action does not affect the – numerous and successful – measures of the last years but does affect the gender culture at the University of Stuttgart. The measures should not only be carried by the equal opportunity department and the commissioners

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for equal opportunity. It is essential to further anchor the measures in research and teaching at the University of Stuttgart. At the same time patency and continuity have to be raised by developing a complete gender concept that views women and girls along a life-cycles model. It should group the different target groups and measures with regard to content and organization. Furthermore, a natural science and technology-oriented university has to take special responsibility for the participation of women and girls in the evolution of technology in our society: Women are still underrepresented in almost all natural science and technological areas. This under representation has serious consequences – for women and for society. The demand for adjustment for women is not just a demand for equality of opportunity – in a country like Germany with few resources economic success is tightly connected to advancements in technology. The future requirement for skilled personnel and managers in this field cannot be met by the current number of male graduates and the number of female graduates is nowhere close to enough to build the necessary specialized “mixed teams” which are expected to provide an important part of economic success. The University of Stuttgart sees the sustainable implementation of gender-justice as an important challenge. The realization of a profound gender concept based on the observation of the complete life cycle with measures for different target groups – schoolgirls, female students and female scientists – will become an attractor for the University of Stuttgart to survive the fight for the best minds – on national and international levels. Within the scope of the overall process the university administration coordinates the existing activities and combines and expands on them. A numerous additional innovative measures are currently being prepared and will be sustained by a financial package containing budgeting, third-party funds, and endowments. The professorships within the female professor program serve as seeds for new impulses and will develop institutional and thus sustainable responsibility for important building blocks of the master plan. The gender mission statement is being created under the leadership of the president including a road map with measures for quality control and operative realization – henceforth gender is given top priority!

References [DEJ+ 08a] N. Dahlmann, M. Elsner, S. Jeschke, N. Natho, O. Pfeiffer, and C. Schröder. Challenge Diversity: New Curricula for Natural and Computer Sciences and Engineering. 9th Nordic Research Symposium on Science Education. Reykjavik/ Iceland, June 2008. [DEJ+ 08] N. Dahlmann, M. Elsner, S. Jeschke, N. Natho, and C. Schröder. Gender Gap in Technological Disciplines: Societal Causes and Consequences. In 2008 IEEE International Symposium on Technology and Society (ISTAS 08), volume DOI: 10.1109/ISTAS.2008.4559761, Fredericton, NB, Canada„ June 2008. [DJSW07] N. Dahlmann, S. Jeschke, C. Schröder, and L. Wilke. Challenge Diversity: New Curricula in Natural Sciences, Computer Science and Engineering. In FIE 2007 The 2007 Frontiers in Education Conference (IEEE), Milwaukee/ Wisconsin/USA, October 2007.

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[DJTW06] N. Dahlmann, S. Jeschke, C. Thomsen, and M. Wilke. Overcoming the Gender Gap: New Concepts of Study in Technological Areas. In 2006 ASEE Annual Conference Proceedings, Chicago/USA, June 2006. [EJN+ 07] M. Elsner, S. Jeschke, N. Natho, O. Pfeiffer, and C. Schröder. Attractive Universities: New Curricula in Natural Sciences and Engineering. In Meeting the Growing Demand For Engineers and Their Educators 2010 - 2020 International Summit (IEEE), Munich/Germany, November 2007. [EJN+ 08] M. Elsner, S. Jeschke, N. Natho, O. Pfeiffer, and C. Schröder. Attractive Sciences Recruiting and Retention activities for women in academic CSET education. In 2008 ASEE annual conference, Pittsburgh/PA/USA, 2008. [EJNS08] M. Elsner, S. Jeschke, N. Natho, and C. Schröder. The Galilea Program - New Curricula for Engineering and Natural Sciences. In SEFI Annual Conference, Aalborg/ Denmark, 2008. [EK99] Europäische Kommission. Frauen und Wissenschaft - Mobilisierung der Frauen im Interesse der europäischen Forschung. Technical Report KOM(99) 76, 1999. [Kom01] Europäische Kommission. Wissenschaftspolitik in der Europäischen Union, Förderung herausragender wissenschaftlicher Leistungen durch Gender Mainstreaming. Bericht der ETAN-Expertinnengruppe “Frauen und Wissenschaft”, Brussels, 2001. [KW03] G. Koch and G. Winker. Genderforschung im geschlechterdifferenten Feld der Technik - Perspektiven für die Gewinnung von Gestaltungskompetenz. Stuttgarter Beiträge zur Medienwirtschaft, 8:31–40, 2003. [Sch03] B. Schwarze. Wer ist wirklich drin? Gender in der Informationsgesellschaft. In Analyse mehrerer Studien und darauf aufbauende Handlungsempfehlungen. 2003. [Thö02] K. Thöne. Frauenförderplan für den wissenschaftlichen Bereich. www.uni-stuttgart. de/gleichstellung/pdf/frauenfoerderplan, Last retrieved 6.11.2009, 2002. [Wäc98] C. Wächter. Frauen in der Technik - Pionierinnen in Technopatria. In C. Wächter and et. al., editors, Technik Gestalten, Interdisziplinäre Beiträge zur Technikforschung und Technologiepolitik. Kluwer Academic Publishers, München & Wien, 1998. [Win04] G. Winker. Informationstechnik und Geschlechterhierarchie - eine bewegende Beziehung. Technikfolgenabschätzung. Theorie und Praxis, 2:70–78, 2004. [ZR] M. Zwick and O. Renn. Attraktivität von technischen und ingenieurwissenschaftlichen Fächern bei der Studien- und Berufswahl jungerFrauen und Männer. Arbeitsbericht 219, Akademie für Technikfolgenabschätzung.

Going diverse in the two Clusters of Excellence “Integrative Production Technology for High-wage Countries” and “Tailor-Made Fuels from Biomass” at RWTH Aachen University Claudia Jooß, René Vossen, Anja Richert, Ingrid Isenhardt

Abstract The main aim of the “Cross Sectional Processes” and the “Supplementary cluster activities” is the effective networking of the scientific processes in the two Clusters of Excellence. To efficiently foster the development of a “project network”, networking is conducted in the domains of Scientific Cooperation, Education and Lifelong Learning, Equal Opportunities and Diversity Management, Knowledge and Technology Transfer. In order to attract females to engineering and natural science studies specific measures are being implemented in distinct phases of scientific cooperation, such as the series of presentation with the title “I did it my way - career paths from RWTH Aachen University to industry”. Keywords Clusters of Excellence · Network Management of Scientific Processes · Cross Sectional Processes · Supplementary Cluster Activities · Gender Strategy and Development · Knowledge Management Measures In the context of the Initiative for Excellence throughout Germany the Center for Learning and Knowledge Management and Department of Information Management in Mechanical Engineering is partner of the two Clusters of Excellence (CoE) “Tailor-Made Fuels from Biomass” and “Integrative Production Technology for High-wage Countries” at RWTH Aachen University. By introducing a poster at the International Conference on Gender and Diversity in Science, Technology and Business the network management of scientific processes (the so-called “Supplementary cluster activities” and “Cross Sectional Processes”) are presented. A tool box for the improvement within interdisciplinary complex research networks will be introduced and special emphasis will be laid on gender and diversity measures. The tool box was developed with the results of the former project SENEKA (“service networks for further education and training processes”) which was funded by the Federal Ministry of Science and Technology of Germany. Within SENEKA network and knowledge management instruments C. Jooß (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected] Originally published in “Book of Abstracts “Going Diverse: Innovative Answers to Future Challenges” ”, © RWTH Aachen - Integration Team (Dr. Leicht-Scholten, C.; Breuer, E.; Callies, N.), 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_8

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and methods have been developed and with 50 national and international partners field-tested. After Sydow’s categorisation of networks, CoE can be interpreted as project networks (cp. Sydow 2001). To foster interdisciplinary networking among researchers of the Clusters the promotion of the tasks Scientific Cooperation, Education and Lifelong-Learning, Equal Opportunities and Diversity Management as well as Knowledge and Technology Transfer is necessary. On different levels of clusterinternal scientific cooperation (eg. such as Knowledge Organisation, Research Organisation, Communication, and Knowledge Output) networking and knowledge management measures on the field of action in this context is the fostering of Gender Strategy and Development. The CoE aim at achieving corresponding quotas of 10-30% females among its newly employed staff. The existing activities of the RWTH regarding research and measures of diversity management will therefore be extended in the context of the Clusters of Excellence. In order to attract females to engineering and natural science studies, different measures will be introduced which provide insights into topics from diverse areas of the CoE by means of age-appropriate lectures and workshops. Co operations in the Assessment Programme tasteMINT already started. tasteMINT aims at HighSchool Graduates having the chance to explore their strengths in engineering and natural science and get in contact with female students of appropriate courses of studies. Individual feedback helps them to make a more established decision on the end of the assessment centre. The existing programmes “Kinderferienzeit“, “Girls’ Day“, “Schnupperstudium für Schülerinnen“, “Do-Ing in Aachen“ will be expanded to increase the proportion of females among students and research assistants. Especially, it is planned to build up a showcase of diverse RWTH career paths of successful scientists into industry. Therefore a series of presentations with the title “I did it my way – careerpaths from RWTH Aachen University to industry” will start in October 2009. With the intention to illustrate social diversity as a factor of success the motivation of all scientists shall be increased to reach a sensitisation for the broad field of diverse career paths. In addition to that role-models and best-practices are demonstrated. During the runtime of both Clusters of Excellence the Center for Learning and Knowledge Management and Department of Information Management in Mechanical Engineering arranges periodically different workshops to match all iteratively implemets the presented measures of the toolbox. After each implementation cycle the results are reflected and thereby a model of “A Model of Use for Arrangements and Instruments of the Cross Sectional Processes in the skill-intensive Organisation Cluster of Excellence” (ASPO) is build up. The intention throughout the efficient networking and knowledge management measures applied in “Supplementary cluster activities” and “Cross Sectional Processes” is to create a model which can be transferred to other complex science-based clusters and networks.

Going diverse in the two Clusters of Excellence

Appendix

Fig. 1 Poster

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Strategic Transfer Communication in Prevention Research as a Contribution to the Innovative and Competive Ability of Enterprises Ingo Leisten, Frank Hees

Abstract The innovation pressure as well as the huge dynamism of the working environment demand a high flexibility, autonomy and interconnection, not only of enterprise but also of employees. The meaning of the physical and mental health of employees becomes an important factor of the innovation ability, according to the concept “only a healthy employee is an innovative employee”. Indeed, a sustainable integration of occupational security and health in operational acting can only be created by an active participation of enterprises in the development of new prevention approaches. In order to make cooperation between prevention actors (especially those of the academical field) and enterprises succeed in yielding mutual benefits a fundamental change in the comprehension of the role of entrepreneurial practice in the research process is necessary: No more research FOR practice, but research together WITH practice. That means: a strategic transfer communication concept by the use of a cooperative research design is needed. This article shows a concept that picks up on impulses especially from engineering to develop strategic transfer communication in prevention research as a contribution to innovative and competitive ability of enterprises. Keywords Knowledge Management · Research on Innovational Aspects of Society · Experiences in University-Industry Cooperation

1 Introduction Facing the challenges of the ongoing developments in global economics, the constantly increasing globalization, the increasing complexity and dynamisation of (business) processes [HL08], once more the question arises, how well enterprises

I. Leisten (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected] © [2009] ICERI2009. Reprinted, with permission from ICERI2009 Conference Proceedings. ISBN: 978-84-613-2955-7, IATED, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_9

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cope with constant competition? The German occupational scientist Volkholz [Vol07] answers this question: by being unique. Applied to Occupational Safety and Health that means: it “shall and has to be measured by the question if (it) contributes to the enterprise’s development and ability to undergo changes” [Vol07]. In times in which innovations, corporate responsibility and sustainable solutions are decisive factors in macroeconomic competition the interface between science and entrepreneurial practice is of increasing importance. The transfer of innovative science from research into entrepreneurial practice (a transfer suiting target groups and delivering results quickly) is becoming more and more the focus of scientific considerations [Lud07]. Numerous research disciplines are dealing with the developments of innovative as well as long-lasting solutions and procedures for business practice [AW05]. Enterprises interested in the latest results of science and research to augment their competitive abilities are also numerous. Thereby the current promotional focus of the German Federal Ministry of Education and Research (BMBF) “Preventive Occupational Health and Safety” offers an interesting field of application for the design of transfer since prevention is considered a central element of Human Resources and thus as a roadmark for innovation and sustainability of enterprises which currently has often not been put into entrepreneurial practice yet. On the one hand, research results on Preventive Occupational Health and Safety must not only be successfully transferred into enterprises but also have to be sustainably integrated there. Inversely, many research questions have to be derived from practice. However, this exchange process between scientists and enterprises does not always succeed. This is also the case with prevention research, aggravated by the fact that the needs of Occupational Health and Safety often are not – or insufficiently – reconciled with the primary contentual and financial goals of the enterprises [HL08]. Isolated research can not increase competitiveness, only a cooperation of research and enterprises can expand the potential of occupational research. The target groups of the current projects in Preventive Occupational Health and Safety are as diverse as the projects: they range from the creative sector to health care, crafts and trade to tax officers. Global Players as well as microentrepreneurs are integrated withtin the field of research. Labour unions, professional and industrial associations as well as chambers of industry and health insurances are involved. The challenge is: complex personnel and institutional structures need a systematic and strategic transfer communication.

2 Strategic Transfer within Occupational Safety and Health Within the domain of occupational research the objective “funding of competitiveness and innovation skills” is not a new one. However, the transfer problem is not completely solved within the new BMBF funding programme “Working, Learning, Developing Skills. Potential for Innovation in a Modern Working Environment”. This was emphasized by statements made in a survey conducted by Project StArG [sta], asking researchers dealing with the research focus “Preventive Occupational

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Safety and Health” about the transfer of their research results [HLR07]. Two different types of reasons have been differentiated: On the one hand it is possible that the target systems of Occupational Safety and Health fundamentally contrast with those of the enterprises. On the other hand it is possible that the enterprises have different research problems, yet they are not able to phrase them precisely. To identify these is the necessary condition for a successful research process in the sense of a sustainable change within an enterprise in the field of Preventive Occupational Safety and Health. Within the context of a constant increase of national and international research funding, researchers increasingly focus on problems concerning the successful transfer of research knowledge into practice, helping to enhance the effectiveness and efficiency of investments made by research sponsors. But not only the transfer into the entrepreneurial practice within the framework of research and innovation transfer has to be considered. Actors of different recursion levels like individual assistants or the employees of the enterprise, lobbies and networks, politics and society have to be integrated into the transfer process, in a way that suits the relevant target groups. Especially within the domain of occupational research such a complex personnel and institutional structure can be determined. But it is already a success if the transfer processes can be approached on different levels [HLBH09]: The direct, operative transfer of research results into entrepreneurial practice (Interactive, Deep Transfer): the transfer is part of the research process meaning it is a test field for research results and the resulting research questions, which again can be of strategic importance. The strategic transfer into the general public (Public Transfer): Because they have a normative effect and can therefore in the long run enforce new international standards, it is important to publish the results of research projects and catch the attention of the general public. If one applies these assumptions to transfer communication within Preventive Occupational Safety and Health, the combination of Interactive, Deep Transfer and Public Transfer can help to optimise difficulties concerning transfer: the explicit forms of knowledge are therefore with the help of Public Transfer publicly presented and communicated, whereas for the development of implicit knowledge different methods of the Interactive, Deep transfer seem to be more suitable. Intermediary, politics and science as well as enterprises, which are not directly integrated into the research, are the main target groups. These target groups are to be reached by applying Public Transfer. By applying Interactive, Deep transfer in contrast to Public Transfer a great amount of implicit knowledge can be imparted. The objective here is not primarily to pass on information, but by using the transfer information to generate relevant knowledge for the enterprise, allowing the enterprise developing specific Know-How. After this it has to be considered whether the different involved want to apply this Know-How. Only if they do, the specific solution makes sense. For the field of Preventive Occupational Safety and Health this means to promote the competitive and innovative capacity as well as the unique integration of prevention within the enterprise.

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3 Interactive, Deep Transfer Through the Integration of Entrepreneurial Practice into the Research Process Within the last years an obvious increase concerning the speed of innovation within all innovative industries has be observed [Koh08]. Furthermore it becomes clear that the innovation process is changing from a traditional push approach to a demand and lead market orientated process, with the innovation activities increasingly oriented downstream. For rapid innovations an early interaction with the customer and a close connection to the fields of innovation is of importance [Ger04]. A promising transfer strategy is the exchange between enterprises and science before the actual research starts and to agree on a common research focus in advance. Especially within the early stage of an innovation process there is often a tendency to act unstructured and dynamic [HV03]. This shows the necessity of a close and interactive cooperation between research and practice prior to the start of a research project. It allows to compare research gaps with the actual need for research results and both researchers as well as entrepreneurs contribute their ideas to the project. Arrangements concerning Preventive Occupational Safety and Health can only become an integral part of an enterprise if there is an active cooperation, for both transfer partners successes become apparent and the business culture is further developed in terms of Preventive Occupational Safety and Health. How can this be achieved? Every research project and enterprise is acting to fulfil its specific purpose [Han88]. The purpose displays the vital exchanges between a project or an enterprise and its environment, i.a. each project or enterprise needs to adjust its actions to the need of the respective client [Rie97]. Only if they can fulfil the needs of their clients the purpose is fulfilled and the project or rather the enterprise is acting successfully [HM00]. Before an active cooperation between enterprises and researchers can start, these purpose and therefore the objectives of the cooperation, have to be determined. The purpose of research and the purpose of enterprises are of an essential different kind because the projects concerning Occupational Safety and Health do not hit the enterprises’ primary objectives. Concerning subject matters, different interest may collide – regarding to the process and the result of value performance. This gap has to be reduced and common interfaces have to be found. Within these interfaces subgoals of occupational safety and health should help to strengthen the core objectives of the enterprises so that the needs of the stakeholders of Preventive Occupational Safety and Health and those of the clients do better consist. Because of the different conceptions and expectations a common focus of cooperation and interaction has to be determined. Research and entrepreneurial practice should coordinate their actions and secure that they work on a common research focus [Dun04]. This is the fundament for a cooperative, interactive research process in which the enterprises play the role of co-producers. This means a changed role: from a passive object of observation to an independent innovator. The collaboration starts when research and enterprises identify the common interfaces of the particular purpose and determine these interfaces as one common purpose of the coorparation. As in this interface it is recorded which clients and needs the reasearch project and enterprise can satisfy


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together, this interface is the basis of the cooperation. Therefore it is important to focus on this interface, which can be extended during the project concerning Preventive Occupational Safety and Health. Only if Preventive Occupational Safety and Health is deliberately established in this way it can be viewed as an integral part of an enterprise. It has a sustainable impact because it is of direct importance for the success of the enterprise.

4 Successful Public Transfer to the Stakeholders of Preventive Occupational Safety and Health Public Transfer is in view of the fact an important factor that it places the stakeholders of Preventive Occupational Safety and Health in the centre of transfer. The aim and purpose of Public Transfer is to guide the public interest and point out the necessity to integrate Preventive Occupational Safety and Health into business practice. According to Freeman [Fre84] the term stakeholder means “any group or individual who can affect or is affected by the achievement of a corporation’s purpose”. The influence of the individual stakeholders is strongly dependent of the general conditions of the enterprise/project and of the interaction between the individual stakeholders [Bal99]. Stakeholders of Preventive Occupational Safety and Health are for example branch-specific or non specific organizations and associations, public and political institutions, health insurances or trade unions. All stakeholders have different requirements which the enterprises and their measures for Preventive Occupational Safety and Health have to satisfy. For the formation of a target-oriented Public Transfer the individual stakeholders, who are of relevance for the enterprises in this project, have to be identified. Especially intermediaries have to be integrated into the transfer process to use their potentials for a long-term integration of preventive thinking. As mentioned before, contradictions between more on the business purpose orientated requirements (like those of the sales and capital market) and more value-oriented requirements (for example those of different lobbies) are predictable. Every enterprise itself has to evaluate if this is of limited, mid-level or of a long term importance. Concerning this evaluation the orientation and vehemence of the requirements of the stakeholders is of great importance. Successful public transfer within Preventive Occupational Safety and Health responds to the stakeholders at that point. This may support expanding a lobby of Preventive Occupational Safety and Health influencing entrepreneurial practice.

5 Transfer Engineering as a Concept for the Strategic Design of Transfer Communication The starting point for the analysis of the chosen field of research within Preventive Occupational Safety and Health is the observation that the transfer of knowledge from research into practice works better in some projects than in others. Hence the

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question arises how the transfer activities of the current BMBF projects dealing with a certain research focus differ from each other and which factors of success can be deduced. Because of the already described importance of communication and information within the innovation process the focus of the analysis concerns the extend of integration of business practice into the research process. Thereby it is assumed that information pathologies are an essential reason for the failed transfer of research results into practice. Following Scholl [Sch04] information pathologies are information relevant for decisions, which are (although they are in principle accessible) not correctly produced, passed on, gathered or processed. Following Bruhn [Bru03], the proximity to customers becomes apparent both within the customer orientation of service offers (meaning through the usability of research results) and within the customer orientation in the interactive behaviour. The projects concerning the current BMBF research focus “Preventive Occupational Safety and Health” are analysed and systematises following Kunz and Mangold’s [KM03] segmentation model for customer integration. This analysis focuses the role of the entrepreneurial practice within the research process as well as the integration degree. This classification follows various empiric data, based on surveys and interviews as well as on a qualitative content analysis of documents and media of the respective projects. The first step towards customer orientation, which has already been realized by many research projects, is to collect information, especially information concerning current and future needs within business practice and corresponding concepts for project work [DB09]. A few well-known and widespread approaches for the integration of customers are mainly dealing with the first stage of the innovation process. Therefore interviews with customers at the beginning of a research project are common practice. Thereby business practice takes up the role of a passive observation object. Traditionally and enforced by the political promotion transfer is an essential task in the last stage of research projects. Within this stage the results and solutions will be presented to business practice. The role of business practice can be characterised depending on the applied type of media as a heteronomous (push media) or self-determined (pull media) dialogue partner. The analysis shows as well, that some projects view business practice as an equal interaction partner: for example with the help of regular workshops taking place at different stages of project work, research results are compared with the requirements of business practice and therefore the research design can be changed where it is necessary. The analysis, however, shows that some projects go beyond the described basic approaches: they realise a cooperative, interactive research process for the purpose of customer integration, so that the innovation activities are marked by common system and problem solving capacities between enterprises and customers [BDMS09]. Entrepreneurial practice is seen analogue to the understanding of Open Innovation within the branch of production and service industry “not only as a source of information concerning the customer’s requirements, but also as a source of information about possible solutions.” [RP05] The more intensive thereby the interaction and the need for cooperation with the customer are (in this case business practice within research processes) the better are the conditions for the


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acceptance of new perspectives and information [BDMS09] -this applies within research as well as entrepreneurial practice. Approaches for the design as well as for a solution to the described tasks (concerning the transfer of research results) can be found within the fields of linguistics, communication science, psychology, pedagogic as well as business studies. Especially within the field of engineering trend-setting ideas can be found, which have not been sufficiently considered within the scientific debate. Especially within engineering science impressive examples for a successful transfer from research into practice can be found. In these examples the addressee of transfer communication has no longer the role of a research consumer but of a research producer. Engineering offers concepts for the development of solution strategies by use of proven methods for example from the field of Service Engineering. The concept of Service Engineering supports enterprises “to organise services in a way that they can be offered to the market in a desired quality and efficiency” [BS03], by constantly including the customers and their respective needs into the provision of services. Thereby the researcher’s motivation is combined with the motivation of the addressee, whereby the addressee not only becomes part of the transfer process, but rather becomes a co-producer of research results. Within the framework of interaction between the transfer partners the potentials from research and (entrepreneurial) practice are used for the realisation of effects following research transfer. For the integration of the addressee into the research process -and therefore for a successful research transfer -a concept concerning Transfer Engineering is designed, describing a systematic approach for the design of transfer communication. By understanding the addressee as an expert and therefore as a constitutive part of the research process, Transfer Engineering enables research to work consequently for the needs of business practice. With the help of research designs from the field of engineering, approaches of research transfer which have already realised a successful integration of the addressee can be demonstrated. Examples can be found amongst others within the Agile Software Development, in models for process synchronisation within the automobile industry (e.g. Methology for Engineering Process Synchronisation) or realising Open Innovation product and service engineering.

6 Perspective Within fields dealing with a complex personnel structure, as in Preventive Occupational Safety and Health, an extensive participation of the addressee within the research process seldom takes place. Projects concerning the research focus “Preventive Occupational Safety and Health” are therefore checked with regard to the kind and extent of integration with which the addressee is integrated into the research process as well as checked for successful instruments for the realisation of this integration. Based on the classification of these methods into the concept of Transfer Engineering a procedure is shown that transfer communication can be successfully shaped by the consequent integration of the addressee into the research process. In Summary: due to the present results of reflection, two steps are needed

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for the improvement of the transfer of research projects and therefore for a successful cooperation between research and enterprises: 1. For the improvement of Interactive/Deep Transfer and therefore for the promotion of competitiveness and innovation skills of enterprises through Preventive Occupational Safety and Health, business practice has to be integrated into the research process. 2. With the help of Public Transfer intermediary, for social discourse relevant stakeholders and lobbies have to be approached in addition to business practice and to be sensitised for the concerns of Preventive Occupational Safety and Health. Prevention research needs the active participation of enterprises to produce successful research results. This participation should already start with the foundation of the research projects so that they can respond to the requirements of entrepreneurial practice and approach problems. Thereby transfer partnerships are formed, in which research and practice cooperate as experts to increase the research success or rather to achieve an increase of innovation skills and competitiveness. For this purpose, the suggested approach of Transfer Engineering offers methods used within the field of engineering. To integrate a strategic transfer of research results and innovative knowledge into business practice the standard “research for practice” has to be changed in “research with practice”.

References [AW05]

G. Antos and S. Wichter. Wissenstransfer durch Sprache als gesellschaftliches Problem. Frankfurt a. M, 2005. [Bal99] B. Balkenhol. Ein unternehmenskybernetischer Ansatz zu Integration von Umweltmanagementsystemen. Aachen, 1999. [BDMS09] E. Bamberg, J. Dettmers, C. Marggraf-Micheel, and S. Stremming. Innovationen in Organisationen – der Kunde als König? Huber, Bern, 2009. [Bru03] Bruhn. Kundenorientierung. Bausteine für ein exzellentes Customer Relationship Management. DTV-Beck, München, 2003. [BS03] H.J. Bullinger and A.-W. Scheer. Service Engineering – Entwicklung und Gestaltung innovativer Dienstleistungen. Springer, Berlin, 2003. [DB09] J. Dettmers and E. Bamberg. Innovationen durch Kundenorientierung? In E. Bamberg, editor, Innovationen in Organisationen – der Kunde als König? Huber, Bern, 2009. [Dun04] W. Dunkel. Arbeit am Kunden. Herausforderungen und Zukunftschancen für das personenbezogene Handwerk. In R. Kreibich and B. Oertel, editors, Erfolg mit Dienstleistungen. Innovationen, Märkte, Kunden, Arbeit. Schaeffer-Poeschel, Stuttgart, 2004. [Fre84] R. Freeman. Strategic Management. A Stakeholder Approach. Marshfield, 1984. [Ger04] A. Gerybadze. Knowledge Management, Cognitve Coherence and Equivocality in Distributed Innovation Processes in MNCs. Management International Review, 44(Special Issue 3):103–128, 2004. [Han88] D. P. Hanna. Designing Organizations for High Performance. Reading, Mass, 1988. [HL08] K. Henning and I. Leisten. Lernen und Arbeiten für Innovationen: Lust auf Zukunft – zwölf Thesen. In D. Streich and D. Abel, editors, Innovationsfähigkeit in einer


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modernen Arbeitswelt, Personalentwicklung, Organisationsentwicklung, Kompetenzentwicklung. Frankfurt am Main, 2008. [HLBH09] K. Henning, I. Leisten, U. Bach, and F. Hees. Präventionsforschung und unternehmerische Praxis: Zwei Seiten einer Medaille. In K. Henning, I. Leisten, and F. Hees, editors, Innovationsfähigkeit stärken -Wettbewerbsfähigkeit erhalten, ARMT, pages 12–30. Mainz Verlag, Aachen, 2009. [HLR07] F. Hees, I. Leisten, and A. Richert. Unveröffentlichter Akzeptanzbericht des Metaprojektes StArG. Aachen, 2007. [HM00] K. Henning and S. Marks. Kommunikations-und Organisationsentwicklung. Aachen, 6 edition, 2000. [HV03] C. Herstatt and B Verworn. Bedeutung und Charakteristika der frühen Phasen des Innovationsprozesses. In Management der frühen Innovationsphasen: Grundlagen Methoden. Neue Ansätze. Gabler, Wiesbaden, 2003. [KM03] W. Kunz and M. Mangold. Segmentierungsmodell für die Kundenintegration in Dienstleistungs-Innovationsprozesse. Eine Anreiz-Beitrags-theoretische Analyse. www.Win-serv.de, 2003. [Koh08] J. Kohler. Wissenstransfer bei hoher Produkt-und Prozesskomplexität. Gabler, Wiesbaden, 2008. [Lud07] J. See Ludwig. Wissenschaftstransfer, Wissenstransfer und neue Veränderungskulturen. In J. Ludwig and M. Moldaschl, editors, Arbeitsforschung und Innovationsfähigkeit in Deutschland, pages 238–247. München, 2007. [Rie97] H. Riekmann. Managen und Führen am Rande des 3. Jahrtausends: Praktisches, Theoretisches, Bedenkliches. Frankfurt a.M., 1997. [RP05] R. Reichswald and F. Piller. Open Innovation. Kunden als Partner im Innovationsprozess. www.Impulse.de/downloads/open_innovation.pdf, 2005. [Sch04] W. Scholl. Innovation und Information. Wie in Unternehmen neues Wissen produziert wird. Hogrefe, Göttingen, 2004. [sta] StArG. www.starg-online.de. for more information. [Vol07] V. Volkholz. Capability for Innovation. In J. Ludwig and M. Moldaschl, editors, Arbeitsforschung und Innovationsfähigkeit in Deutschland, pages 41–49. München, 2007.

A Methodology to Reduce Technical Risk in the Development of Telematic Rescue Assistance Systems Matthias Müller, Michael Protogerakis, Klaus Henning

Abstract In Germany demand for Emergency Medical Services (EMS) physicians is outstripping supply. Telematic Rescue Assistance Systems (TRAS) offer the opportunity to use EMS physicians more efficiently by reducing the on-scene time. By transmitting audio, vital signs and video data telematically, they bring the expertise of a remote elder EMS physician, a hospital or otherwise specialized institution to the emergency site. However, with increasing complexity of the systems the technical risks become harder to manage. A more formal approach to reduce these risks is needed to ensure patient safety. In this paper some exemplary properties that are more or less inherent in all TRAS are presented. Based on these features and existing work, a methodology to reduce technical risks in developing TRAS is introduced. Keywords Telemedicine · Emergency Medical Services · Risk Management · Telecare

1 Introduction The German EMS system is challenged by the demand of its services. The number of EMS missions has risen by 50% since 1990 [SBB04]. The proportion of missions that are accompanied by an EMS physician has grown from 33% of the total to 50%. As a result the number of emergency missions involving an EMS physician has more than doubled. Unfortunately, the increase in demand was accompanied by a decrease in the number of physicians available [Mar08], thus further aggravating the situation. Besides, an aging population demands more medical intervention and services. This will put additional pressure on the system in the future. In order to preserve the German EMS system, EMS physicians have to be employed more efficiently [Sea09]. In many missions the EMS physician is sent out, although he is not really needed, because the patient is not in a possibly lifeM. Müller (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected] © [2009] IEEE. Reprinted, with permission, from „Second International Conference on Computer and Electrical Engineering, iccee“, Vol. 1, IEEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_10

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threatening situation. Even when his presence is indicated e.g. for decision making, his manual abilities are needed in less then 15% of all missions [GHM03]. Provided he received all relevant information, diagnosis and treatment could be decided on from another location than the emergency site. Even in situations when time to definite treatment plays a crucial role like in heart attack or stroke [GdLA04]. TRAS deliver patient information instantly to any relevant institution. Shortening the time between such an emergency incident and definite treatment improves patient outcome. Besides, the EMS physician does not necessarily lose time shuttling between ambulance station, emergency site and hospital in cases where his physical presence is actually not needed on scene. In Aachen, Germany, researchers from the ZLW/IMA at RWTH Aachen University and the University Hospital Aachen along with the engineers from P3 communications and Philips Healthcare are developing a TRAS in the Med-on-@ix (medonaix.de) project. Their aim is to give an EMS physician at a remote site all the data needed to make timely informed decisions on diagnosis and treatment [PGH09]. Med-on-@ix is funded by the Federal Ministry of Economics and Technology and the industrial partners (www.simobit.de). TRAS are different in their approaches and their details, yet they can be described in general terms.

2 Characterization of Telematic Rescue Assistance Systems Different TRAS follow a similar structure. TRAS link an EMS physician with the emergency site. An emergency site is the spot where patient data are gathered. This can be the patient location at his home or elsewhere as well as the ambulance. For simplicity, the place from which the EMS physician or another specialized institution provides the EMS team with expertise will be referred to as the Competence Center. It can be a hospital, a fire department or relevant institution. Different TRAS have been developed. StrokeNet, for instance, transmits audio and video data in order to diagnose stroke patients directly from the ambulance, so that patients can be routed to stroke units directly when necessary (www.strokenet.de). The aim of Med-on-@ix is to transfer various vital signs via audio, photo, video on a portable solution directly from the patients’ location, where they – in Germany – are usually stabilized prior to transport. Ortivus has developed a telemonitoring solution for ambulances, which transmits vital signs and audio from a portable solution to a physician in a hospital (www.ortivus.se). All TRAS mentioned above are used in preclinical environments. Critically ill patients are stabilized for transport. At the facility of definite treatment, e.g. the emergency room, catheter laboratory or stroke unit, the patient is handed over. The less time this handover postpones definite treatment the better. Providing the admitting facility with data on the incoming patient early on shortens the critical interval to appropriate treatment by allowing time for preparation [Sea08]. Also, some time-consuming double examinations of the emergency

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patient can be avoided, provided the data are made available before the patient arrives. Data in TRAS are gathered electronically and also are automatically checked for plausibility. Electronic records of EMS missions are easier to data mine, facilitating an assessment of the quality of patient care. Also they may be exported to Hospital Information Systems (HIS). Because hospitals guard their HIS from outside access due to security reasons, neutral open data formats such as Health Level Seven (HL-7) may be used to provide HIS with TRAS data. TRAS must fulfill a number of requirements. At the emergency site vital parameters, audio and possibly video data must be acquired. An interface for entering patient data and documenting the mission must be provided. All patient data must be displayed to the supervising or physician responsible. Data from the emergency site and treatment directions from the EMS physician must be transmitted wirelessly, because there are no landlines to be relied on. The data must be archived for further evaluation as well as for legal reasons. The privacy of both the patient and the EMS personnel must be protected. Equipment used at the emergency site must be portable and durable. TRAS are technically located at the emergency site and the Competence Center. At the emergency site data have to be acquired, processed and communicated. A mobile computer that can be taken to the patient location is used to enter data and to control functions at the site. Medical devices supply a variety of information such electrocardiograms and pulsoximetry. An audio device is used for the communication with the Competence Center. Some TRAS allow the capturing of video data. At the Competence Center patient data are displayed to the physician responsible on one or more monitors. An audio device allows voice communication with the emergency site. Additional external information sources such as databases regarding treatment of poisoning may provide the EMS team with additional outside expertise. Support functions such as archiving and maintenance are needed.

3 A Methodology for Reducing Technical Risk in the Development of Telematic Rescue Assistance Systems Demand for TRAS is likely to grow as Patients’ lives depend on TRAS. Therefore technical risks to the proper functioning of TRAS have to be reduced. Currently each system that is newly developed or enhanced is designing its own approach to reducing technical risks. Several consortia are developing their own methodology to reduce technical risk, although their systems are similar. A common methodology could save resources spent on deciding on how to reduce risk, thus decreasing development costs leaving more resources for the actual identification, evaluation and mitigation of technical problems. Methodologies for reducing these risks have stood the test and been shown to be of value in other industrial sectors [Bie03]. TRAS are very complex systems, consisting of numerous geographically distributed components. Their details can be overwhelming, if not examined with a

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Fig. 1 Technical Views

focused perspective. Technical views on the system include hardware, software and IT security (Fig. 1). Both hardware and software are examined with their established methods. When assessing IT security risks, all relevant hardware and software is looked at. Non-engineering views such as legal considerations may also be needed, but are not the focus of this paper. A methodology to reduce technical risk of TRAS has to strike the balance between being too broad – fitting all systems, yet being short on the details – and being too narrow – specifying the details, but just fitting a few systems. Both hardware and software are examined during the concept phase, when requirements and the design of the system are defined, and during the implementation phase. Design is easier to amend during the concept phase. Therefore the system is examined in this phase. When the system is implemented, the individual components are tested for compliance to the requirements. If they comply, they are integrated and tested again. Some components like medical devices may have already been thoroughly examined by the manufacturer. They have to be included in the risk management of the system, albeit their subcomponents may not need to be examined again. In contrast to software, hardware wears out over time due to material stress. Therefore system hardware has to be replaced sooner (e.g. batteries) or later (e.g. displays). Hardware defects are usually easier to identify than software defects and limited to fewer components. Hardware risks are identified early on in the concept phase. Using the characteristics of TRAS appropriate methods are chosen. Instructions are given on how to combine them in the examination of a TRAS. Deductive methods like Fault Tree Analysis [Com06b] examine the possible causes of a defined event (e.g. a system breakdown). Inductive methods like Failure Modes and Effects Analysis [Com06a] identify the consequences of a component failing. Both inductive and deductive methods should in theory identify the greatest risks for the system. Since no method by itself is perfect they are combined to complement each other, one identifying risks that the other did not and vice versa. The widely accepted IEC 60300-3-1 already describes a number of methods [Com03], with their abilities. For instance, a Fault Tree Analysis can handle combinations of faults, whereas a Failure Modes and Effects Analysis cannot. During the implementation phase the components developed are tested to the requirements defined. They are integrated into subsystems and tested again. Software does not consist of anything physical, so it is not subject to material tiring. Often its components are interdependent. One wrong calculation in one module

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may cause another one to fail. The impact of a software error is hard to fathom. It may range from harmless to system breakdown. The methodology for reducing software risks starts out with a requirement analysis for orientation. For this the analyses of documents as well as interviews are used. Heide [Hei04] recommends conducting a Fault Tree Analysis to identify major risks. At the end of the concept phase design is reviewed exhaustively prior to implementation, which corrects design errors early on. During implementation code is reviewed. Once components are finished, they are tested using a combination of function-oriented tests (e.g. black-box tests), structure-oriented tests (e.g. white-box tests) and fault-oriented tests. Units are tested and integrated successively. IT-Security is highly relevant to TRAS and certain problems distinguish the field from others. EMS personnel at the site and the EMS physician in the Competence Center rely on accurate and timely data for treating an emergency patient. Patient data are highly confidential and have to be specially protected. Since portable devices may get stolen more easily, special protection is needed to secure the data on them. Failing to secure information properly can have serious legal consequences to the users of the system as well as to the developer. Common security risks of healthcare IT are given in ISO 27799 [fS08] and are adapted to fit EMS. Certain measures of IT security have to be built in when developing the system. Here the methodology will use the BSI-100ff [fI05] catalogues which give prescriptions for existing IT systems on how to achieve a standard level of security. Guidelines for implementing an information security process may be given.

4 Conclusion A model was created that fits a common TRAS. TRAS as a group share common properties. A methodology was presented which takes into account the characteristics of existing TRAS as well as previous work to build upon. As it has been shown that such a methodology is both necessary and feasible, the methods used should be further adapted to TRAS. Also further views may have to be developed. This paper has focused on hardware, software and IT security, but non-engineering views such as medical, legal and organizational considerations as well as acceptance by patients and personnel may be required. The management of technical risks of TRAS should become more standardized and more affordable. The methodology presented in this paper is a step in this direction. Acknowledgement The depicted research has been funded by the German Federal Ministry of Economics and Technology, P3 Communications GmbH, Philips Healthcare and the Fire Department of the city of Aachen.

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References [Bie03]

U. Biegert. Ganzheitliche modellbasierte Sicherheitsanalyse von Prozessautomatisierungssystemen. PhD thesis, Stuttgart University, Stuttgart, Germany, 2003. IAS. [Com03] International Electrotechnical Commission. IEC 60300-3-1: Dependability management - Part 3-1: Application guide - Analysis techniques for dependability - Guide on methodology. Technical report, 2003. [Com06a] International Electrotechnical Commission. IEC 60812:Analysis techniques for system reliability - Procedure for failure mode and effects analysis (FMEA). Technical report, 2006. [Com06b] International Electrotechnical Commission. IEC 61025: Fault tree analysis (FTA). Technical report, 2006. [fI05] Bundesamt für Informationssicherheit. BSI-Standard 100-1, Version 1.0. Technical report, 2005. [fS08] International Organization for Standardization. ISO 27799: Health informatics - Information security management in health using ISO/IEC 27002, January 2008. [GdLA04] C. Gibson, J.A. de Lemos, and E.M. Antman. Time is muscle in primary PCI: the strength of the evidence grows. Eur Heart J, pages 1001–1002, June 2004. [GHM03] A. Gries, M. Helm, and E. Martin. The future of preclinical emergency medicine in Germany. Der Anaesthesist, 52:718, 2003. [Hei04] A. Heide. Ursachenanalyse und Bewertung der Verantwortung bei Funktionsstörungen von softwaregesteuerten Komponenten im Maschinenbau. PhD thesis, ZLW/IMA, RWTH Aachen University, Aachen, Germany, 2004. [Mar08] W. Martin. Arbeitsmarkt für Ärztinnen und Ärzte: Der Ärztemangel nimmt weiter zu. Deutsches Ärzteblatt, 105:853–854, 2008. [PGH09] M. Protogerakis, A. Gramatke, and K. Henning. A System Architecture for a Telematic Support System in Emergency Medical Services. In 3rd International Conference on Bioinformatics and Biomedical Engineering, Beijing, 2009. [SBB04] R. Schmiede, H. Behrendt, and E. Betzler. Bedarfsplanung im Rettungsdienst: Standorte - Fahrzeuge - Personal - Kosten. Springer, Berlin, 2004. [Sea08] K.H. Scholz and et al. Optimizing systems of care for patients with acute myocardial infarction. STEMI networks, telemetry ECG, and standardized quality improvement with systematic data feedback. Herz, 33:102–109, March 2008. [Sea09] M. Skorning and et al. E-health in emergency medicine - the research project Med– on–@ix. Der Anaesthesist, pages 285–292, March 2009.

Defining a universal actor content-element model for exploring social and information networks considering the temporal dynamic Claudia Müller, Benedikt Meuthrath, Sabina Jeschke

Abstract The emergence of the Social Web offers new opportunities for scientists to explore open virtual communities. Various approaches have appeared in terms of statistical evaluation, descriptive studies and network analyses, which pursue an enhanced understanding of existing mechanisms developing from the interplay of technical and social infrastructures. Unfortunately, at the moment, all these approaches are separate and no integrated approach exists. This gap is filled by our proposal of a concept which is composed of a universal description model, temporal network definitions, and a measurement system. The approach addresses the necessary interpretation of Social Web communities as dynamic systems. In addition to the explicated models, a software tool is briefly introduced employing the specified models. Furthermore, a scenario is used where an extract from the Wikipedia database shows the practical application of the software. Keywords Social Web · Wikipedia · Social networking

1 Introduction The Social Web is composed of various applications, such as Flickr, twitter, del.icio.us, personal Weblogs and Wikipedia. The success or failure of these Web applications is heavily based on their social infrastructure (e.g. rules, policies, organization structure, etc.) [HSH+ 08]. Consequently, an understanding of the dynamics and evolution of social and informational structures, which emerge in such virtual spaces, is essential. Wikipedia, as a representative of Social Web applications, is utilized to introduce an actor content-element model. This model allows the description and analysis of C. Müller (B) Center of Information Technologies, University of Stuttgart, Allmandring 30A, 70569 Stuttgart, Germany e-mail: [email protected]

© [2009] IEEE. Reprinted, with permission, from „International Conference on Advances in Social Network Analysis and Mining, ASONAM ’09“, IEEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_11

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Social Web applications more precisely in terms of existing contextual and temporal interdependencies. However, there is a broad range of studies already dealing with the analysis of Wikipedia. These studies often answer questions in terms of usage patterns, the overall link structure, and relevant information in Wikipedia’s articles, and they can be roughly divided into explanatory data-based analyses, aggregated (i.e. graph-based) approaches, and visualization techniques. Selected examples are introduced in the following paragraph. Explanatory data-based analyses are carried out to investigate author contributions in terms of article quality [AdAPR08], to estimate the importance of privileged users for content creation [KCP+ 07], or to evaluate the information quality in Wikipedia [STSG05]. In aggregated approaches, Wikipedia is interpreted as Wikigraph, where the temporal development [BCD+ 06], the inherent characteristic of preferential attachment [CSC+ 06], and the complex nature [ZBSD06] are investigated. Moreover, hidden social patterns are revealed by applying social network analysis on so-called revert graphs [SCPK07] and tripartite relations consisting of categories, users and articles are defined [NT08]. Visualization techniques are carried out to substantiate specific aspects, for example the editing activity of Wikipedia is visualized by Chromograms [WVH07], changes on talk pages are illustrated by history flow diagrams [VWKvH07], and co-authorship networks show author-based relationships between articles [BA06]. Despite these various approaches, an approach that integrates these different perspectives is still missing. This gap is filled by the proposed actor content-element model which is composed of different models and a software employing these models. The contribution presented here is organized as follows: firstly, the most important concepts in Wikipedia are briefly explained. Secondly, the universal analysis model is specified. Using this model, two temporal network types are defined. Thirdly, a measurement model, considering different classes, is specified. Existing capabilities of applying the measurement model and the associated software is emphasized in a scenario. Here, different analysis approaches are presented and discussed. Finally, limitations are stated and future challenges are described.

2 Theoretical Foundation Volunteers around the world, who write different language versions, have established Wikipedia. The process of creating and sharing information in such a virtual information space can be explained by a simplified model: a person, let us call her Alice, writes an article by externalizing her knowledge as information. This information is stored as data in a database (i.e. a text file) which splits the data into different tables and uncouples them from the existing context. Another person, let us call him Bob, reads this article and internalizes the information contained. Bob might be able to extend the acquired information. Again, Bob’s knowledge is externalized in the article and then Alice can internalize this information. Between these two people, a

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timely shifted communication process takes place because the output of one person can be used as input by the other and vice versa. A similar process takes place in other information spaces such as Weblogs or Folksonomies. Only the characteristics of knowledge exchange and the name of the content objects differ slightly. All mentioned entities can be assigned to different dimensions which as a whole, constitute the social information space [Fuc04]. Actors (in the example Alice and Bob) belong to the individual dimension. The timely shifted communication between actors describes the interactional dimension. The article or content level is the integrating dimension in which the cooperation takes place. The main entities, actor and content elements, should be retrieved from available application data. The open source software MediaWiki is used by Wikipedia and all data is stored in a SQL database. The MediaWiki database scheme [Fou09] has been analyzed, the most important concepts identified, and modeled in Figure 1. A user can be an author of a page or just a reader. An author is a user who has created a version of an article. Each version belongs uniquely to one page. Pages are assigned to a specific namespace, which allows the separation of pages depending on their function and avoids page-naming conflicts. Wikipedia has 18 basic and two custom namespaces. Depending on the namespace, a page is interpreted differently. Selected page types are shown in Figure 1. These types are considered further: articles (ns:0 = dynamic content), files (ns:6 = static content), categories (ns:14 = structural elements) and templates (ns:10 = layout elements). There are different relationships between page types: links, inclusions and assignments. So-called Wikilinks ([[ar ticle_name]]) are established between articles. Furthermore, an article can utilize templates which are included by template links ([[T emplate:N ame]]), can tag categories by using category links ([[Categor y:N ame]]), and link to media files (e.g. PNG, PDF, etc.) by using media links ([[Media:N ame]]).

Fig. 1 UML class diagram showing the used concepts and their relations in Wikipedia

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2.1 Universal Actor Content-element Model In the subsequent section these MediaWiki-based entities are transferred to a universal actor content-element model1 that can be applied to different types of information spaces. In the universal actor content-element model, the main concepts consist of two types of vertices and three different types of relationships. Figure 2 shows the UML (Unified Modeling Language) definition of such a model. What an information space is made of is defined in the core. It consists of actors and content elements. Actors and content elements form bidirectional knowledge relationships: every content element in the information space has at least

WikiLink

Contextual Relationship

*

*

Content Element

*

*

Node

InfoSpace

Knowledge

*

*

Edge

* * 1..*

Actor

*

*

Social Relationship

Collaboration

Network Graph

Fig. 2 UML class diagram of a universal actor content-element model

1 A description of a content-actor model appears in [KPLB07]. Although their model includes network data, network analysis and visualization itself is not considered.


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one actor, while an actor can have multiple content elements. In addition, actors are connected with each other in social relationships (e.g. collaboration, acquaintance, communication, etc.), and content elements are linked to each other in contextual relationships (e.g. hyperlinks, common topics, wiki categories, etc.). Finally, an information space contains or aggregates other information spaces. Based on this informal description, a formal definition of an information space is derived: S = (A, P, Sd ), where A consists of a set of actors, P is a set of content elements, and Sd refers to a set of additional contained information spaces, which may be empty.

2.2 Defining Temporal Collaboration and Wiki-link Networks The universal model defines two main concepts, actors and content elements, which are related by specific relationships. In this section, the definition is applied to derive two network descriptions for a social network (collaboration network C = [ A × A]) and an information network (Wiki-link network W L = [P × P]). These networks are specified by using basic entities of a Wiki (cp. Figure 1). The time is one major variable in the network definition as opposed to conventional network descriptions. A temporal collaboration network is an undirected graph G C with a set V A of authors as vertices, and a set E C of collaborations as edges. Basically, an author Ai creates a version vti ∈ V E R at a certain time ti . This version vti belongs to a page P, which itself consists of versions P = {vt0 , ..., vti , ..., vtn } ⊆ V E R. A collaboration C = (Ai , A j ) exists if Ai is the author of vti , A j is the author of vt j and vti , vt j ∈ P. Based on the defined interval [tstar t , tend ] the version is incorporated into the network. The temporal collaboration network is a weighted graph, because each edge has a specific weight based on the number of mutual versions WV E R of two connected authors. Only the versions which rely on the same content elements and which are established and exist in the defined period of time [tstar t , tend ] are considered. This combined information leads to the following description: G C (V A , E C , WV E R , tstar t , tend ). A temporal Wiki-link network is a directed graph G W L consisting of a set of Wiki pages V P and a set of Wiki-links E L , where (P1 , P2 ) defines a connection from a page P1 ∈ V P to a page P2 ∈ V P . The first version vt0 of a page Pi is before the upper boundary of the analyzed time interval: t0 ≤ tend . Furthermore, links E L exist in a version vti with ti ≤ tend . Only a subset of the previously introduced page types is used for this network: V P = V A R ∪ VM E and E L = E A R L ∪ E M E L , where V A R are articles, VM E are media files, E A R L are article links and E M E L are media

Fig. 3 Kamada-Kawai-based visualization of a Wiki-link network; category: human computer interaction

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links. The existence of broken links is considered in a single measure. All these considerations are summarized in the following description: G W L (V P , E L , tstar t , tend ). The network descriptions can be defined on a more abstract level. The collaboration network is then an instance of an interaction network, and the Wiki-link network is a context network. For example, in Flickr, content elements are photos or tags attached to photos. Actors share these content elements. The interaction network can be therefore described as a collaboration network in which actors are linked when they use the same tag. Based on these network definitions, the measurement model is presented in the next section. Finally, the connection of the universal model, the network descriptions and the measurement system provides a complete toolbox to investigate virtual information spaces.

2.3 Specifying Measures for Information Spaces At this stage, the universal model and the temporal network descriptions are defined. The last part of the approach is to specify a measurement system. Generally, a measure m is a function m : U → Q which assigns a measured value q ∈ Q to each entity u ∈ U , with q being the value of a quantifiable attribute of u. The measurement system is applied to time-dependent data. Measures are classified in two main categories: network specific and information space specific measures. These categories contain further classes. At the moment, the measurement system is only implemented for Wiki-based information spaces. The aim is to specify a solution which is independent of the investigated information space. An exploration of the previously defined networks is carried out by measures which belong to NodeMeasure, EdgeMeasure, and NetworkMeasure classes. On a microscopic level, the analysis, especially of vertex positions, is accomplished by measures such as Betweenness Centrality, Eigenvector Centrality, and Page Rank. An analysis of network structures is realized by measures such as Density, Diameter and Distance. The calculation of these measures is not explained here. Therefore further reading is recommended [dCRTB05]. The classes ContentElementMeasure, ActorMeasure, and InfoSpaceMeasure are domain specific measures. They are classified here into five groups (cp. Table 1). Activity related measures show dynamics in terms of conducted changes of content elements or by authors. Scope related measures evaluate the range of changes, i.e. the number of pages an author worked on, or the number of authors who worked on a page. The growth reflects the number of newly created pages. The size simply shows the extent of a page or contribution and the linking describes the connectedness in the information space. All defined networks and measures are realized in software which is introduced in the next section.

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Claudia Müller et al. Table 1 Classification of Wiki-specific measures

Measure type

Actor (A)

Content element (P)

Activity Scope

Page Edit Count Page Changed Count

Version Count Author Count

Growth

Page Creation Count

Size

Contribution Amount

Linking

Added Internal/ External/ InterWiki Links

Information space (S)

Total Page Edit Count Total Page Changed Count Page Creator Total Page Creation Count Page Size Total Page Size/Contribution Amount Page Internal/ External/ Total Internal/ External/ InterWiki Links InterWiki Links

2.4 Applied Software All theoretical considerations are united in one software solution. SONVIS2 is a Java-based, open source software that is based on the Eclipse Rich Client Platform (RCP). RCP enables the creation of generic applications with a native graphical user interface. It offers a simple dynamic component-based model, which contains the functionality of the application, to develop plug-ins. Network visualization is implemented using the Prefuse Visualization Toolkit3 , and measurement on graphs is calculated by GNU R, an open source software environment for statistical computing and graphics4 . This architecture provides an Eclipse extension point for connector plug-ins to implement other data sources (e.g. other Wiki software, Weblogs, etc.) and extension points for other analyses. The SONVIS graphical user interface is based on completely configurable workspace layouts. Currently, two main perspectives are pre-defined: analysis perspective and manipulation perspective. A general overview of certain developments is given in the analysis perspective. After loading the selected database, basic Wiki measurements are automatically conducted and results are visualized in tables and specific diagrams. All measures are categorized according to the introduced measurement system (cp. Section 2.3). First statistical descriptive measurements (i.e. ratio of user/author) and temporal measurements (i.e. author growth, number of articles and rate of change) are graphically visualized. The manipulation perspective enables an enhanced visual manipulation of loaded networks. A filter function allows specific analyses of given categories, namespaces and tie periods. There are three different network layout algorithms implemented: Kamada-Kawai, Fruchterman-Reingold and Circle Layout. A visual filtering of the network is possible by adjusting the minimal node degree and the minimal edge

2

More information are available at http://www.sonivis.org. http://prefuse.org/ 4 http://www.r-project.org/ 3


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weight. The node size and color can be changed depending on selected measures. All calculated measures and networks are automatically transferred to the XMLbased GraphML format. In the next section, the existing potential of applying SONVIS to explore Wikibased information spaces is shown.

3 Scenario The English Wikipedia version is the largest with 2,708,022 content pages (15,771,620 pages altogether), 8,752,671 registered users and 146,069 active users (who had been active in the last 30 days) in January 2009. The complete Wikipedia content from April 2008 has been downloaded and extracted. On this local database copy, specific database procedures have been executed. These precomputed database tables significantly raise performance. For example, one of the pre-calculated tables contains all the links of every version. Therefore, the calculation time is reduced because the search for links in all versions is unnecessary. In the scenario, only a small part of the whole Wikipedia content is used to illustrate the practical application of the proposed model. All categories within the category human computer interaction (HCI) are extracted with a path length of 2. The used data set consists of 77 articles with 37,757 versions made by 16,904 authors (6,629 named authors, 10,275 anonymous authors), who have contributed 1,281,581 kBytes of raw text. Selected functions of SONVIS are introduced to investigate the page link structure and general usage patterns based on editing activities. The first step is to get a general impression of the content structure. For this, the Wiki-link network of the data set is visualized by selecting the maximal time period. The color-coding functionality of SONVIS is applied to the visualized network. The bigger the size of the node, the higher the Page Size value, while node color indicates the Version Count of a page. An interesting fact is that, a more precise image of assigned articles in the HCI category was expected, but categories such as virtual reality (with pages William Gibson and virtual reality) dominate the topical range. However, the network visualization reveals five conspicuous vertices in terms of their color and size: radio frequency identification (RFID), mouse (computing), virtual reality, ergonomics and William Gibson. Selected characteristics of these articles are shown in Table 2: Page

Table 2 Overview of five selected articles; category: human computer interaction Article

m p_sz

m ver

m au

m nau

RFID Mouse (computing) Virtual reality Ergonomics William Gibson

96,711 56,518 37,780 12,695 88,399

3,242 2,405 1,462 1446 1,216

1,739 1,260 745 671 380

582 668 329 262 227

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Size m ps z , Version Count m ver , Number of Authors m au and Number of Named Authors m nau . Based on these results, the collaboration structures of the RFID article are investigated more deeply. The size of the node shows the Contribution Amount, which is defined by the number of characters an author has contributed measured in kByte, whereas the color shows the editing activity (Page Edit Count) of the author. The first edit was on 15th January, 2003. The collaboration network is visualized in four different timeframes (cp. Figure 4). The aim is to identify authors who are steadily active during the investigated period of time. A point to note is that, all authors of the first timeframe, we call them pioneers, are only active in the first but not during the following timeframes. In the third phase, the “author” with the highest Contribution Amount is a bot that reverts vandalism. By considering the activity in terms of Page Edit Count, a user can be identified who has actively contributed to Wikipedia since 2005. The last period shows a similar contributor distribution. Two bots and one author with an administrator status have contributed most in terms of character count. The highest activity is from a Wikipedian who patrols recent changes. His Contribution Amount is therefore negative because of the high number of reverts he has carried out.

(a) 2003-01-15 to 2004-05-04

(b) 2004-05-04 to 2005-08-23

(c) 2008-08-23 to 2006-12-12

(d) 2006-12-12 to 2008-04-01

Fig. 4 Four timeframes of the collaboration network, article: RFID


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While presenting this very short scenario, more questions are asked than answered. However, the object was to show the existing potential of applying SONVIS to Wikipedia.

4 Conclusion and Further Research In this paper an approach is presented to explore virtual information spaces employing three models which are built on each other. Firstly, the general information sharing approach of Wikipedia was analyzed and the main entities, actors and content-elements, are identified. Starting from these concepts, a universal analysis model was composed which served as the basis for temporal network definitions. In order to understand the network evolution, a measurement system was defined. In a scenario, the existing potential of integrating different analysis and visualization methods was highlighted. Wikipedia was used as example to illustrate the viability of the proposed solution. However, the evaluation of the SONVIS software in terms of usability, extensibility, and interoperability is still missing. For this, it is planned to more exclusively integrate potential users to existing software development processes. The universal actor content-element model is a generally valid concept, because Social Web applications have the same inherent structure; they consist of content elements as well as actor information. The proposed model enables the investigation of previously separated Web applications, since an information space can contain other information spaces (cp. Section 2.1). For example, the Wiki analysis can be combined with an email analysis if there is a sufficient overlap in the actor group. At the present time, new connectors for Folksonomies (esp. Bibsonomy) and source code management systems (esp. SVN) are implemented in order to reveal existing similarities of such information spaces in terms of evolutionary community processes. In addition, it is intended to generalize and extend the measurement model. Text mining techniques are integrated to augment the traditional network analysis. Acknowledgements The development of SONVIS is a team effort. We thank the core members of the SONVIS Team: Anne Baumgraß, Sebastian Burkhart, Andreas Erber, Janette Lehmann, Robert Schmidl and Irene Sturm.

References [AdAPR08]

[BA06] [BCD+ 06]

B. Thomas Adler, Luca de Alfaro, Ian Pye, and Vishwanath Raman. Measuring Author Contributions to the Wikipedia. Technical report, School of Engineering, University of California, May 2008. Robert P. Biuk-Aghai. Visualizing Co-Authorship Networks in Online Wikipedia. Communications and Information Technologies, 2006. ISCIT ’06. International Symposium on, pages 737–742, 18 2006-Sept. 20 2006. Luciana Buriol, Carlos Castillo, Debora Donato, Stefano Leonardi, and Stefano Millozzi. Temporal Analysis of the Wikigraph. In Proceedings of the Web

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Intelligence Conference (WI 2006), pages 45–51, Los Alamitos, CA, USA, December 2006. IEEE Computer Society. A. Capocci, V.D.P. Servedio, F. Colaiori, L.S. Buriol, D. Donato, S. Leonardi, and [CSC+ 06] G. Caldarelli. Preferential attachment in the growth of social networks: the case of Wikipedia. Physical Review E, 74:036116–1–6, 2006. [dCRTB05] Luciano daF. Costa, Francisco A. Rodrigues, Gonzalo Travieso, and P. R. Villas Boas. Characterization of complex networks: A survey of measurements. Advances in Physics, 56(1):167–242, January 2005. [Fou09] Wikimedia Foundation. MediaWiki MySQL database layout. URL: http://www. mediawiki.org/wiki/Manual:Databaselayout, 2009. [Fuc04] Christian Fuchs. Knowledge Management in Self-Organizing Systems. Journal of Knowledge Management Practice, 5, 2004. [HSH+ 08] James Hendler, Nigel Shadbolt, Wendy Hall, Tim Berners-Lee, and Daniel Weitzner. Web science: an interdisciplinary approach to understanding the web. Commun. ACM, 51(7):60–69, 2008. A. Kittur, E. H. Chi, B. A. Pendleton, B. Suh, and T. Mytkowicz. Power of the few [KCP+ 07] vs. wisdom of the crowd: Wikipedia and the rise of the bourgeoisie. In 25th Annual ACM Conference on Human Factors in Computing Systems (CHI 2007), San Jose, CA., 2007. [KPLB07] Hyunmo Kang, Catherine Plaisant, Bongshin Lee, and Benjamin B. Bederson. NetLens: iterative exploration of content-actor network data. Information Visualization, 6:18–31, 2007. [NT08] Fawad Nazir and Hideaki Takeda. Extraction and analysis of tripartite relationships from Wikipedia. In IEEE International Symposium on Technology and Society, ISTAS 2008, pages 1–13, Sydney (Australia), June 2008. [SCPK07] Bongwon Suh, E.H. Chi, B.A. Pendleton, and A. Kittur. Us vs. Them: Understanding Social Dynamics in Wikipedia with Revert Graph Visualizations. Visual Analytics Science and Technology, 2007. VAST 2007. IEEE Symposium on, pages 163–170, 30 2007-Nov. 1 2007. [STSG05] B. Stvilia, M. B. Twidale, L. C. Smith, and L. Gasser. Assessing information quality of a community-based encyclopedia. In Proceedings of the International Conference on Information Quality - ICIQ 2005, pages 442–454, 2005. [VWKvH07] Fernanda B. Viegas, Martin Wattenberg, Jesse Kriss, and Frank van Ham. Talk Before You Type: Coordination in Wikipedia. In 40th Annual Hawaii International Conference on Systems Science (HICSS), pages 78–78, Jan. 2007. [WVH07] Martin Wattenberg, Fernanda Viégas, and Katherine Hollenbach. Visualizing Activity on Wikipedia with Chromograms. Human-Computer Interaction – INTERACT 2007, pages 272–287, 2007. [ZBSD06] V. Zlatic, M. Bovzivcevic, H. Stefanvcic, and M. Domazet. Wikipedias: Collaborative web-based encyclopedias as complex networks. Physical Review E, 74, 2006.

A Composite Calculation for Author Activity in Wikis: Accuracy Needed Claudia Müller-Birn, Janette Lehmann, Sabina Jeschke

Abstract Researchers of computer science and social science are increasingly interested in the Social Web and its applications. To improve existing infrastructures, to evaluate the success of available services, and to build new virtual communities and their applications, an understanding of dynamics and evolution of inherent social and informational structures is essential. One key question is how communities which exist in these applications are structured in terms of author contributions. Are there similar contribution patterns in different applications? For example, does the so called onion model revealed from open source software communities apply to Social Web applications as well? In this study, author contributions in the open content project Wikipedia are investigated. Previous studies to evaluate author contributions mainly concentrate on editing activities. Extending this approach, the added significant content and investigation of which author groups contribute the majority of content in terms of activity and significance are considered. Furthermore, the social information space is described by a dynamic collaboration network and the topic coverage of authors is analyzed. In contrast to existing approaches, the position of an author in a social network is incorporated. Finally, a new composite calculation to evaluate author contributions in Wikis is proposed. The action, the content contribution, and the connectedness of an author are integrated into one equation in order to evaluate author activity. Keywords Social Web · Wikipedia · social networking · collaboration networks

1 Introduction The Social Web is composed of various applications such as Flickr, twitter, del.icio.us, personal Weblogs and Wikipedia. The success or failure of these Web applications is heavily based on their social infrastructure (e.g. social norms, rules, C. Müller-Birn (B) Institute for Software Research, Carnegie Mellon School of Computer Science, 5000 Forbes Avenue, Pittsburgh, PA 15213, USA e-mail: [email protected] © [2009] IEEE. Reprinted, with permission, from “IEEE/WIC/ACM International Joint Conferences on Web Intelligence and Intelligent Agent Technologies, 2009. WI-IAT ’09”, Vol.1, IEEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_12

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policies, organization structure, etc.) [HSH+ 08]. Such virtual communities lead to a new form of organizing information production which is decentralized, collaborative and non-proprietary. Resources, such as photographs, bookmarks, posts and tweets, are shared and new, collaboratively created outputs are distributed between loosely connected individuals [Ben07]. Understanding dynamics and evolution of virtual communities and the underlying social infrastructure is essential to improve existing infrastructures, to evaluate the success of available services or to build new virtual communities. The motivation is to transfer existing research results from the area of open source software development communities to open communities. A general model to describe author contributions in open communities is sought. In this contribution, a composite calculation to classify author contributions in Wikis is defined. This contribution is organized as follows. 1. Existing studies of Wikipedia research are introduced to present the different approaches of evaluating author activity. 2. The dynamic collaboration network is defined and three approaches to evaluate author activity in such a network is described. The edit count is utilized as an action calculation for author contributions, the content significance shows the real content contributions of an author, and the betweenness centrality is used to evaluate the leverage (i.e. topical influence) of author contributions. 3. The data set and the pre-processing of the data set are explained. All previously introduced calculations are applied. Firstly, different groups of contributors in terms of their importance to the content growth are investigated. Secondly, all presented calculations are separately applied. Thirdly, the action of an author, the added significant content, and the topical influence are combined to reveal the main and most important contributors. 4. A discussion about existing limitations in this research and an outlook on further research activities is given.

2 Related Work There is a broad range of studies that deal with Wikipedia, answering questions in terms of overall link structures and usage patterns. Existing studies can be roughly divided into explanatory studies, aggregated approaches (i.e. graph structures), and visualization techniques. In one study, the importance of privileged users for content creation at the beginning of Wikipedia’s growth is uncovered [KCP+ 07]. In the investigated period, the influence of the elite declines and the work of ordinary authors is increasingly important. In another study, existing methods evaluating editing patterns are extended by differentiating system roles (e.g. admin, sysop) of authors [OB07]. Author behavior is compared in different language editions. Furthermore, author edits are evaluated in terms of their influence on article quality [SH07]. Within an extensive overview about existing calculations, quantitative

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calculations are combined with qualitative measures [AdAPR08]. A contribution is only considered if other authors accept the added text of another. In aggregated studies, Wikipedia is interpreted as Wikigraph and its temporal development [BCD+ 06], characteristic of preferential attachment [CSC+ 06], and its complex nature [ZBSD06] are investigated. More than that, hidden social patterns are revealed by applying social network analysis to so-called revert graphs [SCPK07]. Visualization techniques are carried out to substantiate specific aspects: for example, the editing activity of Wikipedia is visualized by Chromograms [WVH07], changes on talk pages are illustrated by history flow diagrams [VWKvH07], and co-authorship networks show the relationship between articles [BA06]. The existing research shows different approaches to evaluate author contributions. An integrated approach which deals with a combined calculation from data mining, text mining, and network analysis is still missing. This research intends to close this gap by proposing a composite calculation to deal with an integrated approach.

3 Methodology In this section the dynamic collaboration network in Wikis is defined and three perspectives to evaluate author contributions in such networks are introduced. The open source visual analytics software SONIVIS [SON09] is applied. This software facilitates the exploration of social and information networks in Wiki-based information spaces. It is based on the Eclipse Rich Client Platform (RCP). Network visualization is implemented using the Prefuse Visualization Toolkit, and network measurements are calculated by GNU R, an open source software environment for statistical computing and graphics.

3.1 Dynamic Collaboration Network Wikis can be seen as dynamic social systems which can be described by two main entities, actors and content, linked by specific relationships. These entities are used to exemplarily derive one network description for a social network. As opposed to conventional network descriptions, time is considered as one major variable which addresses the dynamic character of a Wiki. A dynamic collaboration network is an undirected graph G C with a set V A of authors as vertices, and a set of collaborations as edges E C = {(ai , a j )}, where ai , a j ∈ V A with i, j ∈ N (i = j). Basically, an author ai creates a version vti ∈V E R at a certain time ti . This version vti belongs to a page P, which consists of P = {vt0 , ..., vti , ..., vtn } ⊆ V E R revisions. A collaboration C = (ai , a j ) exists if ai is author of vti , a j is author of vt j and vti , vt j ∈ P and the particular version is created in the defined interval [tstar t , tend ]. The dynamic collaboration network is a

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weighted graph with each edge having a specific value based on the number of mutual versions WV E R of two connected authors. The combination of this information leads to the following description: G C (V A , E C , WVER , tstar t , tend ). Basically, the dynamic perspective of network analysis allows for the analysis of network states, vertices and their edges, as well as changes in structure and configuration of the network [Car03]. There are different approaches to visualize dynamic networks: cumulative and sliding-window based analysis (cp. [GLZD03], [MMBd05]). They differ in the way of recording the network parameters. Cumulative analysis includes the aggregation of all changes and elements in one network over a relatively long time period. Changes in the network structure are visible, but the sequence and existing interdependencies in network processes are not identifiable. In the sliding-window based approach, a small time period of network life is analyzed. The network is completely detached and is based on single events. A sequence of these events can be evaluated in terms of time of occurrence and rhythm. In this study, a static visualization of the network based on the specified time periods is shown.

3.2 Action Analysis of Collaboration Networks The edit count is an often applied measure to assess author actions in Wikis. For example, edits of different authors are applied to evaluate the page based reputation of an individual [SH07]. The edit count is also used as a descriptive indicator for measuring Wiki dynamics [RTG08]. More formally, the Wikipedia content set C consists of content elements (pages) P = { p1 , ... pm }. Each page has different versions Pi = {vt0 , ...vtn }. Each version vti is created by an author ai at a certain time ti . The edit count can be described as follows [AdAPR08]: m EC (ai ) =

pm tn

vtn .

p=1 t0

The easier the calculation of the edit count, the more difficult the interpretation of this measure is. For example, a high edit count does not relate to a large text because it can be caused by “minor edits”. A person who profoundly extends the description of one article, might have the same edit count as a person who just improves the punctuation. Even more difficult is the fact that the quantitative edit count of an ordinary author might be equal to the edit count of vandals and spammers, whereas the qualitative result of the edit is completely different. However, the calculation to evaluate the activity level of an author is applied and the significance of how this measure can be improved is shown.


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3.3 Content Analysis of Collaboration Networks The measure significant content describes the relevant content a user has added. The significance of each term is calculated by weighting all terms depending on their local context. Only terms with a high local frequency (in the page) and a low distribution in the content set are taken into account. The content set C is a specific collaboration network, including all pages that are edited. Basically, the term frequency f i,n describes the amount a term tm i occurs in a page pn . Depending on the selected network adjustments, the function f is calculated for a specific period of time. The content set is defined by the actual growth of term development and all added and subsequently undeleted terms, all deleted and subsequently subtracted terms, and the union of both sets are considered. This definition refers to the dynamic nature of the defined network. Because pages exhibit different text lengths, the normalized term frequency is calculated. The normalized term frequency n f of a term tm i on a page pn is the term frequency f i,n divided by the total frequency of all terms contained in the defined content set C: n f i,n =

f i,n

tm i ∈C

f tm j,m

.

The normalized term frequency is thus the relative frequency of a term. The inverse term frequency id f of a term tm i is calculated by the total number of pages of the content set C, divided by all pages including the term tm i : id f i = log

|C| . |C : f tm i ∈ C|

Both measures are used to specify the importance of a specific term for a page: wi,n = n f i,n · id f i . Now, the relevance of the content a user added to a page can be seen. The calculation content significance is defined as: m C S (ai ) =

i max

f i,n,ai · wi,n ,

i=1

where fi,n,ai is the frequency an author ai has added a term tm i on a page pn and where wi,n is the importance of a specific term for this page. In the next section, a calculation to evaluate the position of an author in a collaboration network is introduced.

3.4 Leverage Analysis of Collaboration Networks The betweenness centrality is adopted to evaluate the leverage of author activities in dynamic collaboration networks. It is assumed that authors edit not only one

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article, but more likely various articles in a topic area. Authors who edited different articles are between other authors in a network. The more often a person has this position, the more central this author in terms of betweenness centrality is. Authors who work on different articles in a field have a better overview of existing topics or missing topics. They are able to compare the quality of different articles perhaps more objectively. Generally, a vertice that resides on many of the shortest paths between other vertices has a higher betweenness than those that do not [Fre77]. For an author in a collaboration network, the betweenness centrality is measured thus [WF97]: m C B (ai ) =

j 20. Next, the edits in each of the defined time intervals were quantified and each author, depending on his period based edit count, was assigned to one of the groups. Figure 1 shows the cumulative edit count by groups. According to the results [KCP+ 07], the user group of low contributions exhibited the highest activity based on the edit count. The group of low contributors had the highest editing activity, if all edits were totalled. In comparison, the group of middle and low contributors only played a minor role. The differences in the chart compared to the results presented [KCP+ 07], were caused by the different group levels but the overall impression of the high impact of authors with fewer contributions was still the same. A closer look at the group of high contributors was taken and a ranking was created. It showed a list of authors with their highest (cumulative) value in all peri-

Fig. 1 Cumulative edit count per user group

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Claudia Müller-Birn et al. Table 3 Edit count of highest ranked authors Author name

Edit count

Skomorokh DXBari Wikinger Arthur Rubin Frecklefoot Numsgil CaNNoNFoDDa Imroy 71.231.3.17 Warren

m EC m EC m EC m EC m EC m EC m EC m EC m EC m EC

= 414 = 110 = 67 = 63 = 54 = 46 = 46 = 41 = 38 = 34

Active periods tactive tactive tactive tactive tactive tactive tactive tactive tactive tactive

=2 =2 =2 =2 = 11 =4 =1 =4 =1 =4

ods and the number of periods an author was active. Table 3 shows the ten highest values. The group comprises administrators and two rollbackers. For example, in period 13, the user Skomorokh (rollbacker) had the highest cumulative edit count over all periods, but the user Frecklefoot was the most continuously editing person in the network. In the next section, this distribution was compared to the significant content contributions, and again specific authors were looked at.

5.2 Author Activity Based on Content Significance Firstly, all terms and their frequencies in the category HCI were computed. Then the importance of each term in a specific article was calculated. Selected terms (highest ranked) in the category virtual reality were for example: xvros (Project “eXtensible Virtual Reality Operating System”), bump (Bump mapping, computer graphics technique), embm (Environment Mapped Bump Mapping—3D graphics technology), gouraud (Gouraud Method used in computer graphics), and ray (Ray tracing, graphics, is used for 3D image generation). After calculating the significant content added by each author (cp. Section 3.3), the group borders were specified based on the previously introduced procedure. The usage of the computed terms was examined in the whole period of time for all authors. The following group borders were defined: the group of low contributors 0 ≤ m C S (ai ) ≤ 45 exhibited 2,264 authors (90.38%), the group of middle contributors 46 ≤ m C S (ai ) ≤ 1, 000 had 216 members (8.62%) and the last group of high contributors (m C S (ai ) > 1, 000) contained 25 members (0.998%). Figure 2 shows the results of the group division in each period. The resulting chart is completely different compared to the diagram in Figure 1. Until the beginning of 2005, the added terms in each group were approximately the same. A different development existed from 2005. The high contributor group had an outstanding position compared to the other user groups. The contributors with middle activities were not very balanced in their activities, but overall, the group of low contributors showed the smallest topical engagement in the development of the category virtual reality. These results contradicted the previous findings. As opposed to various studies [OB07] and


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Fig. 2 Cumulative edit count per user group

[KCP+ 07], the importance of high contributors was revealed for the overall content development, even though the edits of this group were very low. These authors were examined further. Table 4 shows the most important authors in terms of their added significant content. Interestingly, the group of authors changed completely compared to the previous analysis, because of the changed perspective. Six of the ten authors in this list are administrators in Wikipedia. The bots (computer programs which do specific automated tasks) which have in this calculation the highest values were ignored. This was due to the fact that it was not considered whether the added content was new content or previously existing text. In future studies a potential to improve this measure exists.

Table 4 Added significant content of highest ranked authors Author name

Significant content

Lectonar Gtg204y Wiki alf ST47 Konman72 Omicronpersei8 Oxymoron83 Johan321 Xaosflux Acetic Acid

mC S mC S mC S mC S mC S mC S mC S mC S mC S mC S

= 66.9131 = 52.4038 = 51.5236 = 51.4693 = 51.4617 = 51.4617 = 47.2025 = 46.2139 = 36.8825 = 35.7496


=1 =1 =2 =1 =1 =1 =1 =1 =1 =1

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5.3 Author Activity Based on Leverage In order to evaluate the topic coverage of authors, the dynamic collaboration networks in every period was visualized. One period was relatively long (half a year), but only an impression of the overall development was required. Based on the network visualization, the growing number of active people over three years and the growing number of individuals who worked on different articles could be seen. Even though every window had the same size, the number of authors increased above average. Exemplarily, two network slices of the dynamic collaboration network are presented in Figure 3. The node size depends on the significant content an author has added and the node color illustrates the edit count of an author. The different articles were designated to show the growing number of individuals who edited more than one article on the network. Whereas in period 5 (2003-07-01 to 2003-12-31), 83 authors changed 16 articles, in period 9 (2005-07-01 to 2005-12-31) 540 authors had already edited the same number of articles in the category. If the general activity and content development is observed, the same results will be obtained. The number of authors is growing, but the number of articles is almost the same. In earlier periods, the betweenness centrality of the collaboration network was lower than in following periods; that meant that more people worked on different articles on the network. In Table 5, the most central authors in terms of their betweenness centrality were observed. This list also shows different authors. Two of these authors were administrators in Wikipedia. As oppose to the previous two calculations, the betweenness centrality is not a cumulative value because a pure addition of the values changes the validity. The values shown here are the highest values in all periods. After the third calculation, it became more complicated to identify the most important authors. Each ranking showed important authors in terms of one specific aspect. The intersection between the different sets was very small. Consequently, a new measure is proposed to get a more consistent picture.

5.4 Integrated Calculation to Evaluate Author Activity In this section, the different interpretations of author contributions in one description are integrated. The three calculations deal with an author’s action, content and connectedness. Each of these calculations should be considered equivalently and high values of authors should not skew the result. Periods in which one value is equal to zero are regarded. For example, if an author has a very high edit count in one period but contributed no significant content, or worked on only one article, one of the values is zero. All values are incorporated in order to consider the continuity of author activities. All these considerations lead to the following equation:

m AC (ait ) =

m˜ C S (ait )0.5 ∗ m C B (ait )0.5 , m˜ EC (ait )0.5

A Composite Calculation for Author Activity in Wikis: Accuracy Needed Ray tracing

147

VRML

Virtual community X3D

Bump mapping

Direct X

Virtual reality

Cyberspace

Flight simulator

Psychoacoustics

William Gibson

Gourad shading Virtual reality

Anarchy online Open GL Augmented reality

(a) Period 5: Jul 03 – Dec 03 XVROS Augemented reality

Anarchy online

Artifical life

Virtual reality

Flight simulator

Psychoacoustics

Wire frame model

User interface design

Cyberspace William Gibson OpenGL Gourad shading VRML DirectX

Bump mapping

(b) Period 9: Jul 05 - Dec 05 Fig. 3 Dynamic collaboration network; node size m C S (ai ), node color m EC (ai ); pages are highlighted by dashed line elipses

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Claudia Müller-Birn et al. Table 5 Betweenness centrality of highest ranked authors Author name

Betweenness centrality

81.220.61.226 Nikai Wik Traroth DXBari Lexor Frecklefoot 129.69.118.8 Timwi Minesweeper

m BC m BC m BC m BC m BC m BC m BC m BC m BC m BC

= 0.3517 = 0.3281 = 0.2968 = 0.2468 = 0.2452 = 0.2099 = 0.2083 = 0.1956 = 0.1649 = 0.1515


=1 =1 =1 =1 =2 =5 = 11 =2 =2 =2

where m˜ EC (ait ) = 1 −

1 m EC (ait )α

and m˜ C S (ait ) = 1 −

1 1 + m C S (ait )α

with α = 0.25. The author contribution for all authors in each period was calculated. The different ranges of calculated values were adjusted in m˜ EC (ait ) and m˜ C S (ait ). The quadratic mean was applied to determine the cumulative author activity: tmax 1 m AC (ai ) = (m AC (ait ))2 . tmax t 0

There are different advantages of applying this measure. Authors who are doing maintenance work on Wikis have a high edit count and betweenness centrality, but low content significance. Authors who work mainly on a few articles and contributed a lot of content, have a comparatively low value for its betweenness centrality, but a high value for content significance. Table 6 contains the authors with the highest values of author activity based on the composite calculation. As expected, the ranking of the authors differs, but there are authors who are already known, such as Frecklefoot. This author has the highest betweenness centrality; however the edit count and the content significance is comparatively high. Therefore, this author can be seen as knowledge champion for the category virtual reality. Compared to all other authors shown, he has an outstanding position. However, the lower classified authors have very different activity patterns. For example, one author was active in a few periods and his activities were restricted to a few articles, but this author appears in the list because the overall activity and content contribution were relatively high.


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Table 6 Author activity of highest ranked authors Author name

Author activity

Frecklefoot Nikai Traroth Lexor Gurch 136.199.16.83 Luna Santin Robotje 129.69.118.8 DXBari

m AC m AC m AC m AC m AC m AC m AC m AC m AC m AC

= 0.2045 = 0.1930 = 0.1701 = 0.1481 = 0.1425 = 0.1296 = 0.1281 = 0.1276 = 0.1266 = 0.1204


= 11 =1 =1 =5 =2 =2 =1 =1 =2 =2

6 Conclusion, Discussion and Further Research In this paper, author contributions in Wikipedia were analyzed considering three perspectives. First of all, the edit count was used to evaluate the activity of authors. Secondly, based on text mining techniques, authors contributions in terms of the added significant content were analyzed. Thirdly, the betweenness centrality of authors in a collaboration network were assessed to estimate the leverage of author activity. Each of the introduced measures had certain advantages and disadvantages in presenting author activity on Wikis. But each calculation revealed different rankings of author activity. It was realized that a pure ranking of the highest values distorted results. A new measure was therefore proposed that combined all three introduced calculations. This calculation balanced the different aspects of author contributions in a collaboration network. With the table based visualization of results used and the very small number of results shown, it was very difficult to achieve an overall impression of the author activity in the data set. Furthermore, the changing positions in the rankings were only visible in the subsets. Therefore, a more appropriate visualization would be very helpful. There is some potential for improvement regarding the proposed calculation. The considered periods are relatively long. A more precise calculation of author contributions is possible by using shorter periods. Our new calculation has some problems in identifying vandals and spammers, as well as peoples such as rollbackers. Here, another component, the so-called amount contribution, helps. The amount contribution is the number of characters in a Byte (UTF-16 → 1 character = 2 Byte). Another approach is to extend the composite calculation by considering how long edits last [AdAPR08], for instance, how long the added content stays in an article. This could be a fourth component of the equation. Furthermore, the calculation of the added significant content revealed the high influence of bots. A better result could be achieved by only regarding new and not previously existing content. In further studies, different content sets should be compared to validate the proposed calculation. In addition, the choice to select the data set based on one category would be revised. Results could be more comparable if an article selection is used.

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Another challenge is to extend all measures by regarding the time, because an incorporation of the number of active periods, in other words the continuity of author contributions, is missing. Altogether, it can be shown that only by considering more than one measure, and by integrating these into one composite calculation, can author contributions be evaluated more exactly. Acknowledgements We thank the core members of the SONIVIS:Team: Anne Baumgraß, Sebastian Burkhart, Andreas Erber, Benedikt Meuthrath, Robert Schmidl, and Irene Sturm.

References [AdAPR08]

[BA06] [BCD+ 06]

[Ben07] [Car03]

[CH03] [CSC+ 06]

[Fre77] [GLZD03] [HSH+ 08] [KCP+ 07]

[MMBd05] [Nie06]

B. Thomas Adler, Luca de Alfaro, Ian Pye, and Vishwanath Raman. Measuring Author Contributions to the Wikipedia. Technical report, School of Engineering, University of California, May 2008. Robert P. Biuk-Aghai. Visualizing Co-Authorship Networks in Online Wikipedia. Communications and Information Technologies, 2006. ISCIT ’06. International Symposium on, pages 737–742, 18 2006-Sept. 20 2006. Luciana Buriol, Carlos Castillo, Debora Donato, Stefano Leonardi, and Stefano Millozzi. Temporal Analysis of the Wikigraph. In Proceedings of the Web Intelligence Conference (WI 2006), pages 45–51, Los Alamitos, CA, USA, December 2006. IEEE Computer Society. Yochai Benkler. The Wealth of Networks: How Social Production Transforms Markets and Freedom. Yale University Press, 2007. Kathleen M. Carley. Dynamic Network Analysis. In Ronald Brelger, Kathleen Carley, and Philippa Pattison, editors, Dynamic Social Network Modeling and Analysis: Workshop Summary and Papers, pages 133–145. National Academy Press, Washington, D.C., 2003. Kevin Crowston and James Howison. The social structure of open source software development teams. In Proceedings of the International Conference on Information Systems, Seattle, WA (USA), February 2003. A. Capocci, V.D.P. Servedio, F. Colaiori, L.S. Buriol, D. Donato, S. Leonardi, and G. Caldarelli. Preferential attachment in the growth of social networks: the case of Wikipedia. Physical Review E, 74:036116–1–6, 2006. Linton C. Freeman. A set of measures of centrality based on betweeness. Sociometry, 40:35–40, 1977. Peter A. Gloor, Rob Laubacher, Yan Zhao, and Scott B.C. Dyne. Temporal Visualization and Analysis of Social Networks. Technical report, MIT, Center for Coordination Science, Cambridge, MA, 2003. James Hendler, Nigel Shadbolt, Wendy Hall, Tim Berners-Lee, and Daniel Weitzner. Web science: an interdisciplinary approach to understanding the web. Commun. ACM, 51(7):60–69, 2008. A. Kittur, E. H. Chi, B. A. Pendleton, B. Suh, and T. Mytkowicz. Power of the few vs. wisdom of the crowd: Wikipedia and the rise of the bourgeoisie. In 25th Annual ACM Conference on Human Factors in Computing Systems (CHI 2007), San Jose, CA., 2007. James Moody, Daniel McFarland, and Skye Bender-deMoll. Dynamic Network Visualization. American Journal of Sociology, 110(4):1206–1241, January 2005. Jakob Nielsen. Participation Inequality: Encouraging More Users to Contribute. URL: http://www.useit.com/alertbox/participation_inequality.html , 2006.

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Felipe Ortega and Jesus M. Gonzalez Barahona. Quantitative analysis of the wikipedia community of users. In WikiSym ’07: Proceedings of the 2007 international symposium on Wikis, pages 75–86, New York, NY, USA, 2007. ACM. [RTG08] Camille Roth, Dario Taraborelli, and Nigel Gilbert. Measuring wiki viability: An empirical assessment of the social dynamics of a large sample of wikis. In Proceedings of the 4th International Symposium on Wikis (WikiSym 2008). Porto, September 2008. [SCPK07] Bongwon Suh, E.H. Chi, B.A. Pendleton, and A. Kittur. Us vs. Them: Understanding Social Dynamics in Wikipedia with Revert Graph Visualizations. Visual Analytics Science and Technology, 2007. VAST 2007. IEEE Symposium on, pages 163–170, 30 2007-Nov. 1 2007. [SH07] Klaus Stein and Claudia Hess. Does it matter who contributes: a study on featured articles in the german wikipedia. In HT ’07: Proceedings of the eighteenth conference on Hypertext and hypermedia, pages 171–174, New York, NY, USA, 2007. ACM. [SON09] SONIVIS. SONIVIS: Social networks in virtual information spaces. http://www. sonivis.org, 2009. [VWKvH07] Fernanda B. Viegas, Martin Wattenberg, Jesse Kriss, and Frank van Ham. Talk Before You Type: Coordination in Wikipedia. In 40th Annual Hawaii International Conference on Systems Science (HICSS), pages 78–78, Jan. 2007. [WF97] Stanley Wasserman and Katherine Faust. Social network analysis: methods and applications. Cambridge Univ. Press, Cambridge, 1997. [WVH07] Martin Wattenberg, Fernanda Viégas, and Katherine Hollenbach. Visualizing Activity on Wikipedia with Chromograms. Human-Computer Interaction – INTERACT 2007, pages 272–287, 2007. [ZBSD06] V. Zlatic, M. Bovzivcevic, H. Stefanvcic, and M. Domazet. Wikipedias: Collaborative web-based encyclopedias as complex networks. Physical Review E, 74, 2006.

Experiences from an International Student and Staff Exchange Program and Some Still Unsolved Mysteries Olivier Pfeiffer, Sabina Jeschke, Lars Knipping, Nina Reinecke, Erhard Zorn

Abstract This paper describes an ongoing exchange program between 20 partner universities; eleven from the European Union and candidate countries and nine universities form Jordan, Lebanon, and Syria, where a bilateral mobility flow between the European and the neighboring countries is implemented. While the idea of this program initially intended to focus on Information and Communication Technology (ICT) subjects only, it was later opened to students from all academic fields. Nevertheless, the better part of all participating students is from engineering disciplines. The described program encompasses undergraduate, graduate, and PhD students as well as postdocs and academic staff. By broadening their technical education, we think that all participants benefit from the reevaluation of their own cultures that occurs while functioning as part of another culture and communicating in a foreign tongue. Over 100 scholarships were awarded in the first year of the program and this number was exceeded for the second year of the program, which started in September 2009. The allocation process for this year is still underway and we expect to see a similar number of scholars in this third and final phase of the program. A part of the scholarships at the graduate and undergraduate level was granted to credit-seeking students. The rest of the graduate, undergraduate and all PhD scholarships were awarded to degree-seekers. One of the challenges that showed up was that, surprisingly for the Arab students and us, accrediting a degree obtained from some European university turns out to be much easier than getting a credit for just a single lecture attended at the very same university. The reasons for this are quite obvious: on the one hand, as a consequence of the Bologna Process, every European university today uses the European Credit Transfer and Accumulation System (ECTS) as a standard for comparing performance and achievement of students while on the other hand, all the partner countries are using the American academic system. Actually, one of them is an American university, i.e. the degrees awarded are officially registered by the Board of Education in New York State.

O. Pfeiffer (B) MuLF, TU Berlin, Straße des 17. Juni 136, 10623 Berlin, Germany e-mail: [email protected]

Originally published in “2010 ASEE Annual Conference & Exposition in Louisville, KY”, © ASEE, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_13

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O. Pfeiffer et al.

First experiences are reviewed, including the not exclusively academic obstacles that we had to overcome in teaching and learning within these different educational systems .We will also report on a survey, which we will conduct to learn about the students’ experiences and thus assure the quality of their mobilities. Keywords Internationalization · International Programmes · Higher Education

1 Overview of the Erasmus Mundus External Co-operation Window (EM ECW) The Erasmus Mundus External Co-operation Window (EM ECW) which has become part of the regular Erasmus Mundus program in the beginning of 2009 is a co-operation and mobility scheme within the area of higher education. The EM ECW was launched by the Europe Aid Co-operation Office in 2006 and has been implemented by the Education, Audiovisual and Culture Executive Agency (EACEA) of the European Union ever since. The aim of the EM ECW is to strengthen the ties between higher education institutions in the European Union and in third countries that are not part of the European Union. Specifically, the EACEA and EM ECW aim “to enable students to benefit linguistically, culturally and educationally from the experience of pursuing academic studies in another country, and to promote European Union (EU) values; to improve the transparency and recognition of studies and qualifications, in particular building on the ‘acquis’ and achievements gained of the Bologna process in this area; to enhance the skills and qualifications of foreign higher education staff so that they can contribute actively towards improvement of quality; to build the capacity of the administration and public and private sector by participation of their staff in higher education mobility activities (especially through doctorate and postdoctorate activities.” [Edub] To achieve this, student and academic staff exchanges are sponsored in order to promote the partnerships and institutional co-operation exchanges between the European and Third Country institutions. The European Commission sponsors these partnerships with grants that partially cover the costs of the organization of mobility of higher education students and academic staff and the costs of the implementation thereof. On the European side, all 27 member states as well as the candidate countries and European Economic Area (EEA) countries are eligible to become partners in this project. Each non-EU country eligible for this project is part of a certain geographical lot which usually consists of countries which lie in close proximity to each other. The partnerships sponsored through the EM ECW need to have at least five European higher education institutions of at least three countries whereas the required number of Third Country participants differs from lot to lot. In the end, a maximum of 20 partners can be involved in each partnership. However, an unlimited number of associates can be added to the project. These associates contribute to the implementation of the mobility scheme but do not receive any funding from the EU through the project.

Experiences from an International Student and Staff Exchange Program

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The mobility itself is divided into different target groups as well as different individual mobility flows: there are three target groups, i.e. scholars from the partner universities (target group one), scholars from other universities in the Third Countries (target group two) and target group three that consists of scholars in particularly vulnerable situations such as refugees, asylum seekers, or individuals with disabilities. Scholarships vary in length between one month and 34 months and are given to undergraduate, master and doctorate students as well as post-doctorates and academic staff. The project grant consists of flat rates ( C 10.000 per partner for mobility organization costs) and unit costs to cover the individual mobilities. Scholars through EM ECW receive a monthly allowance between C 1.000 and C 2.500. The costs for travelling, health insurance and tuitions fees are also covered by the scholarship. Whereas the first call for proposals in 2006 provided funds with a total of C 36.4 million for projects in nine geographical lots, consisting of altogether 24 Third Countries, the overall budget of projects awarded through the last call in 2008 amounts to C 163.5 million. The call for proposals in 2008 covered 21 geographical lots of more than 50 Third Countries.

2 Implementation of the EM ECW at our University Technische Universität Berlin (TUB) has been a part of the partnership for the geographical lot of Jordan, Lebanon, and Syria since the start of the program in 2006. The calls were renewed in 2007 and 2008. Lunds Universitet is the coordinator of this project, other European partners are Masaryk University in the Czech Republic, University of Granada in Spain, Lille University of Science and Technology in France, University of Bologna and Catholic University of the Sacred Heart in Italy, Vilnius University in Lithuania, KTH (Royal Institute of Technology) in Sweden and University of Zagreb in Croatia. One of the original partners from the United Kingdom was later substituted by University of Leiden from the Netherlands. The European partners are joined by higher education institutions from the Middle East: five Jordanian universities (University of Jordan, Jordan University of Science and Technology, Princess Sumaya University for Technology, Tafila Technical University, and Hashemite University), two Syrian universities (University of Aleppo and University of Damascus) and two Lebanese universities (Lebanese University and American University of Beirut). Table 1 illustrates the number of students as well as home countries that TUB received in the first three phases of the project. The numbers for phase 3 are tentative. As this table illustrates, 18% of all mobilities have gone to TUB in the first three years of the project. When it comes to doctorate candidates, every fourth scholar has been sent to TUB. If one has in mind that TUB is just one of eleven European partners, the predominance of TUB becomes obvious immediately. This discrepancy is more apparent in the first two phases of the project and is being corrected in phase 3 in which only seven scholars are sent to TUB.

Undergraduate Graduate Doctorate Post-Doctorate Academic Staff


Lebanon

Syria

Total


Jordan

4 4 2 0 0

1 0 0 0 0

1 0 6 1 2

7 12 5 0 3

3 13 1 0 2

9 11 9 5 4

2 3 1 1 0

0 2 0 0 0

2 1 1 2 2

Scholars sent to TUB

Scholars sent to TUB Scholars sent to EU

Call 2007 (Phase 2)

Call 2006 (Phase 1)

6 6 5 2 3

5 5 6 1 6

9 9 7 5 5

Scholars sent to EU

1 1 1 0 0

1 0 0 0 0

0 0 1 1 1


Call 2008 (Phase 3)

10 8 5 1 2

10 8 5 1 2

9 8 6 7 5

Scholars sent to EU

45

7 8 4 1 0

2 2 0 0 0

3 1 8 4 5


Total (Phase 1, 2 & 3)

251

23 26 15 3 8

18 26 12 2 10

27 28 22 17 14

Scholars sent to EU

Table 1 Numbers of Middle Eastern scholars sent to TUB and the European partner universities for the first three phases of the EM ECW program

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Total

Europe


3 0 0 0 2

11 8 3 2 2

1 0 0 0 4

Scholars from TUB to Middle East

Scholars from TUB to Middle East Scholars from EU to Middle East

Call 2007 (Phase 2)

Call 2006 (Phase 1)

17 6 0 0 7

Scholars from EU to Middle East 0 0 0 0 1


Call 2008 (Phase 3)

9 7 0 1 3

Scholars from EU to Middle East

4 0 0 0 7 11


37 21 3 3 12 76

Scholars from EU to Middle East

Total (Phase 1, 2 & 3)

Table 2 Numbers of Middle Eastern scholars sent to TUB and the European partner universities for the first three phases of the EM ECW program

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O. Pfeiffer et al. Table 3 Distribution of scholarship holders at TUB across the disciplines Computer Sciences

Undergraduate Graduate Doctorate Post-Doctorate Academic Staff Total

Engineering

Natural Sciences

Mathematics

Other

Total

3 4 6 1 1

8 4 2 1 4

1 1 2 2 0

0 1 0 1 0

0 1 2 0 0

12 11 12 5 5

15

19

6

2

3

45

Although this partnership came into being due to an earlier cooperation between these universities in the field of ICT, the EM ECW does not focus solely on ICT but was soon opened up to all academic fields. Nevertheless, the better part of all participating students is still from computer sciences and engineering disciplines as Table 3 shows. 42% of the scholars took classes or did research in one of the engineering departments at TUB. The funds for the implementation of the mobility (monthly scholarships, costs for health insurance and travel grants) are transferred to the bank account of TUB where it is the responsibility of the administrative staff to disburse these payments to the respective scholars. Since these administrative tasks were adding to the usual workload of the staff at TUB, an advisor for all matters related to the EM ECW program is now in office. Through this individual, TUB provides all services that are necessary to implement the mobilities, such as issuing visa invitation letters, enrolling the students at the university, arranging for health insurance coverage as well as travel to and from Berlin.

3 Highlights and Potential of the EM ECW The most positive aspects of the EM ECW program are the broadening of the participating scholars’ educations as well as the reevaluation of one’s own culture that occurs when one is living within a different cultural surrounding than the one used to. Students from this EM ECW have an Arabic background which usually also means that they have the Muslim faith. Moving to a western central European country serves as a culture shock for many of them. Not only do they have to learn another foreign language – not all Germans speak English – but they also have to get accustomed to a different way of life. Often, they find a path of their own between the Arabic culture they are used to and the European way of life: A female Jordanian student refused to live in a mixed dorm where female and male students lived. Therefore, she moved into her own apartment which was located off-campus. This move might have taught her a lesson in independence since she would now have to depend solely on her own because she was unable to rely on other students’ living close by.

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Due to participation in the EM ECW program, TUB was able to strengthen its ties to the Middle East. Especially co-operations with Jordan universities have been intensified and TUB is looking forward to closely cooperate with two of the Jordanian EM ECW partner-universities on a Trans-European Mobility Scheme for University Studies (TEMPUS) project within the next year. The challenges of the project refer to the differences between the European and Middle Eastern education system. Whereas the majority of the classes at Middle Eastern universities are taught in Arabic, a substantial numbers of classes are also offered in English. Several students who came to TUB as EM ECW scholars were surprised to find out that about 95% of the programs offered here are taught in German. Currently, there are only six master programs that do not rely on knowledge of the German language. For all others, students need to prove that they know German on a certain level; they even need to pass state-wide examinations such as the German Language Test for Universities (Deutsche Sprachprüfung für den Hochschulzugang, DSH) before they can enter degree programs. Due to this unawareness, several of the scholars attending TUB have to take language classes to improve their German skills. According to Van Damme, “one of the most serious problems in policies and programs aimed at increasing international mobility surely is that of the recognition of study periods and credits obtained abroad. ... The lack of transparency and ‘readability’ of higher education regulations at national, but also at institutional and sometimes even faculty levels creates all kinds of problems, resulting in a widespread uncertainty among students about the recognition of a credit or the study period in the home university. ... Automatic transferability of credits among countries even with a rather similar educational system still is a dream.”[Dir01] This is exactly what we experienced at TUB: a part of the scholarships at the graduate and undergraduate level was granted to credit-seeking students who were essentially exchange students. The rest of the graduate, undergraduate and all PhD scholarships were awarded to degree-seeking students, i.e. those students who came to Berlin not to finish a degree they had started at their home universities, but to start a completely new program. One of the challenges that appeared was that, surprisingly for the Arab students and us, accrediting a degree obtained from some European university turned out to be much easier than getting a credit for a lecture attended at the very same university. The reasons for this are quite obvious: on the one hand, as a consequence of the Bologna Process every European university today uses the ECTS (European Credit Transfer and Accumulation System) as a standard for comparing performance and achievement of students [eur99, Con] while on the other hand, all the partner countries in the Middle East are using the American academic system. Actually, the American University of Beirut is an American university, i.e. the degrees awarded are officially registered by the Board of Education in New York State. Regel claims that “because of its large, flexible, and complex academic system, because English is the main language of communication, because many of the key journals and publishers are in the U.S., and because many scholars and policy-makers have studied in the United States, the American system is a powerful

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attraction” which, he later admits, is not readily exportable. [Omp92] Same applies for the ECTS. In this case, however, the ECTS and American credit system collide and the EM ECW scholars are the ones who suffer. While the Middle Eastern countries adopted the American system for the above mentioned reasons, it complicates the EM ECW exchanges to a certain extent. More flexibility of both home and host universities in accepting credits obtained at the other institution would be really helpful for the students and the future of the program.

4 Future Developments of the Program In late 2009 the EMECA (Education, Audiovisual & Culture Executive Agency) [edua] announced changes in the Erasmus program. From 2010 on EM ECW will be part of the Action II of Erasmus Mundus program. Within this change the geographic outreach of the external cooperation will be broadened. More partner countries have been added to the recent call for proposals, e.g. the United States, Canada, and the Gulf countries and TUB is looking forward to being an active partner in Action II.

5 Conclusion TUB has benefitted from its participation in the EM ECW program with Jordan, Lebanon, and Syria, and has been a dedicated partner from the start of the program. However, the financial aspect of the project should not be overlooked: Although the coordinating university receives C 10.000 for each participating university, less than a sixth part is actually transferred to each partner. This share is supposed to cover the administrative expenditure for the duration of this four year program. At the same time, additional costs such as language-classes are to be financed by means of this so called lump sum. In the end, each partner dedicates a lot of manpower for free which is undoubtedly alright to a certain extent but one needs to be aware of these circumstances before the start of the program and joining the partnership. Summarizing, the positive aspects of joining any EM ECW program outbalance the negative financial aspects. Any student who is able to receive a better education or broaden his/her personal horizon due to participating in an exchange and scholarship program is a plus. In the future, though, more attention should be paid to the financing part of the mobilities as well as the obstacles that hinder the transfer of credits between universities in different systems of higher education.

References [Con]

Confederation of EU Rectors Conferences and the Association of European Universities (CRE). The Bologna Declaration on the European space for Education: an explanation. Technical report. http://ec.europa.eu/education/policies/educ/bologna/bologna.pdf, Last accessed on March 19, 2010.

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Dirk van Damme. Quality Issues in the Internationalisation of Higher Education. Higher Education, 41:415–441, 2001. [edua] The Education, Audiovisual and Culture Executive Agency of the European Union (EACEA). Technical report. http://eacea.ec.europa.eu/index.html, Last accessed on March 19, 2010. [Edub] Audiovisual & Culture Executive Agency Education. External Cooperation Window. http://eacea.ec.europa.eu/extcoop/call/index.htm, Last accessed on March 19, 2010. [eur99] European Ministers of Education. The Bologna Declaration of 19 June 1999. Technical report, 1999. http://ec.europa.eu/education/policies/educ/bologna/bologna.pdf, Last accessed on March 19, 2010. [Omp92] Regel Omporn. The Academic Credit System in Higher Education: Effectiveness and Relevance in Developing Countries. The World Bank’s PHREE Background Paper Series 59, pages 1–31, 1992.

A System Architecture for a Telematic Support System in Emergency Medical Services Michael Protogerakis, Arno Gramatke, Klaus Henning

Abstract The system presented in this paper is part of the research project Medon-@ix for the safe application of information technology in preclinical emergency health care. It aims at supporting emergency medical services (EMS) staff at the incident location from a remote Competence Centre (CompC). The increasing number of missions in the German EMS and the shortage of specialized emergency physicians leads to huge problems for the public health care system. Higher cost efficiency and treatment quality shall be achieved by the transfer of mission tactical data and medically relevant data such as vital signs, auscultation and video material from the emergency site to the CompC by the telematic support system. In this paper cases in which such a telematic support system can be used will be outlined. The crucial requirements and a possible hardware and software system architecture of a telematic support system for EMS will be summarised. Keywords Telematic Support · System Architecture · Middleware · Emergency Medical Services · Vital Parameter Transmission

1 Motivation The number of missions handled by the German emergency medical services (EMS) has increased by about 50 % in the last 19 years. In 2004 German EMS handled about 3.6 million incidents. The German EMS regulates the attendance of an emergency physician in the event of severe indications. The number of incidents in which an emergency physician was involved on site has increased from 33 % to approximately half of all operations in the same interval [BBS04]. These figures - as well as the number of false incidents - increased continuously over the last years. The

M. Protogerakis (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

© [2009] IEEE. Reprinted, with permission, from “3rd International Conference on Bioinformatics and Biomedical Engineering, 2009. ICBBE 2009”, IEEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_14

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problem is intensified by a shortage of physicians in German public health care. The need for increased treatment quality and higher cost efficiency is a pan-European phenomenon. Figures presented by Gries/Helm/Martin [GHM03] on the percentages of different procedures in emergency cases suggest that in a maximum of only 15 % of all incidents, the manual abilities of a physician is needed. In contrast, paramedics could handle at least 85 % of all missions, if a physician could transfer his decision competence to the incident location via a telematic support system.

2 Use Cases for a Telematic Support System in EMS The Telematic Support System connects both the emergency site and the CompC and leads to a “virtual presence of the physician” on site. The system supports the staff • at the place of accident (portable) as well as • in an ambulance vehicle during transport of the patient to a hospital (mobile). Figure 1 shows the basic flow of information between the main participants in the system. Medical and mission tactical data is transmitted from the place of

Fig. 1 Scenario overview for Med-on-@ix

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emergency or the ambulance vehicle to the CompC. The CompC can communicate with the staff at the place of emergency via an audio connection. An CompC will also help to optimise workflow by arranging communication with the health care facilities to which patients will subsequently be sent. In the first use case there is no physician on the location and a team of usually two paramedics treat an injured person at the emergency site. With the Telematic Support System the paramedics receive medical advice from the physician in the CompC. The scenario is applicable in cases where only the physicians decisions and no advanced invasive skills are needed on site. In the second scenario a emergency physician at the scene of emergency treats a patient. The CompC supervises the actions and the physician can consult the CompC in case of a seldom disease pattern. For the transport of a vitally stable patient the CompC can monitor the patient on his transport to the hospital. To develop the full benefit of a telematic assistance of EMS it is useful to design the system capable of a roaming of emergency cases between different CompCs. This allows a load balancing between the ressources and as a consequence reduces the number of necessary physicians in the CompCs.

3 Requirements The presented condensed functional and non-functional requirements concerning the system design were found in two expert workshops with physicians and paramedic staff.

3.1 Functional Requirements Table 1 shows the different necessary signals to be transmitted from emergency site as a base for the decision of the physician in the CompC with a classification into continuous live or intermittent transmission and the priority for transmission. No need could be identified by the experts for a more dynamic prioritisation or a control of these priorities by the CompC. All vital parameters shown in Table 1 must be measured by one single monitor/defibrillator device. The device must support the real-time export of all signals except the 12-lead ECG. An electronic stethoscope must allow the live wireless transmission of auscultation. The ambulance car must be equipped with at least one fixed remote control camera to allow the transmission of live video and high quality pictures. A portable camera must provide a video live stream and high resolution steady pictures from the place of emergency. Up to three wireless headsets must be comprehended into the voice communication on the place of emergency. The microphones of the on-site staff can be activated

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Michael Protogerakis et al. Table 1 Signals to be transferred from site and their priorities Signal 12-Lead-ECG Voice Communication Rhythmn ECG Non-Invasive Blood Pressure Pulse Oximetry Kapnometry Defibrillator Invasive Blood Pressure Central Venous Pressure High Resolution Pictures ≈30 sec Video Sequences Video Stethoscope

Continuous/Intermittant Transmission

Priority

intermittant (5–30 min) continuous continuous

1A 1B 2

intermittant (1–5 min) intermittant continuous intermittant continuous intermittant intermittant continuous continuous intermittant

3 4 10 5 8 6 7 9 11 12

intermittant continuous intermittant

13 14 15

by a central control device on site. The quality of the headsets must be of diagnostic quality for auscultation. As an important step towards better quality control the system must feature the documentation of medical and mission tactical data by a software on site and in the competence software [Ber06]. The documented data from the place of emergency must be displayed in real-time in the CompC. The documentation software must receive and display textual commands from the CompC, e.g. for the application of drugs. The documentation software must allow an automatic data import of patient data from the medical devices. Pictures taken with a camera device must be embedded in the documentation. Commercial mobile radio networks are well established and available at reasonable prices in most countries. If they are used redundantly they can be utilised even for safety critical applications to take advantage of the huge capabilities in data transfer compared to Professional Mobile Radio Standards such as Terrestrial Trunked Radio (TETRA). GSM and TETRA can be used for voice communication where they can still deploy their advantage of high availability. All transmitted data from the place of emergency must be archived for later evaluation and quality management. The latter access to (anonymized) archive data must be limited by a appropriate authentication system.

3.2 Non-functional Requirements To be easily adapted to the heavily varyiing local conditions in EMS the system architecture must be configurable in a modular way. This applies especially to medical


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devices and to mobile communication technologies. The main issues concerning safety, security and reliabilty that have to be ensured in the system design are • the safety from interception of patient related data, • the prevention of unauthorized access to the system and • the data privacy of staff and patient related data. Thus all wireless communication must be secured by signing and encrypting the data. A mobile device such as a Tablet PC must be used as the central control unit and for the documentation software on site. The audio transmission of auscultation from the stethoscope must be of diagnostic quality. Therefore the stethoscope must allow the wireless transmission e.g. via Bluetooth with the A2DP standard. The video cameras must feature a resolution from at lest 640x480 pixels and a frame rate of at least 15 frames per second. A change of the frame rate must be possible during online operation. For energy and weight efficiency reasons a fixed camera in the ambulance vehicle must feature a hardware compression of the video stream. A portable camera must either be mounted on a small telescope tripod that is fixed on one of the other units or be a head mounted model. Bluetooth 2.0 must be used for the connection between the communication unit and the headsets. The headsets must feature the HSP/HFP as well as the A2DP profile to listen to the stethoscope signal. The system must provide a middleware solution to ensure its extensibility and adaptability. It must reestablish lost connections due to problems on the underlying communication channels. It must support the abstraction of hardware vendor specific interfaces, such as the real-time interface of the ECG/defibrillator unit, by the means of adapters between the vendor specific device driver and a middleware interface. In the case of insufficient bandwidth it must feature the prioritisation of data according to Table 1. The system must ensure the synchronicity of signals in configurable groups. The communication unit must offer a dedicated IP based packet tunnel and a seperate voice service to the middleware. It must support the use of Professional Mobile Radio services (PMR), such as TETRA and a Circuit Switched GSM mode for voice communication. Common mobile network technologies such as GPRS with EDGE, UMTS with HSPA must be supported through a generic interface for the IP based communication. The unit must offer one tunnel through the parallel channels of different providers. It must uplink a bandwidth information to the middleware.

4 Hardware Distribution and Network Architecture The distribution of hardware components and the physical network architecture is shown in Figure 2. The components on site are connected to the communication unit according to the requirements described above. The communication unit is a

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embedded computer which hosts the middleware, the networking logics and the hardware network interfaces. It connects to the ambulance vehicle via an 802.11 network or directly to Public Switched Telephone Network (PSTN) and the Internet through GSM/TETRA and GPRS/UMTS. The same applies to the communication unit in the ambulance. The connection between the On-Site Communication Unit and the Ambulance Vehicle Communication Unit is for redundancy only. Additionally peripherial devices such as a printer are connected to the Ambulance Vehicles Communication Unit by Ethernet. On the CompC’s side the servers are connected to the PSTN via ISDN and to the Internet. The Clients in the CompetenceC connect to the Servers through a local network.

Fig. 2 Hardware Distribution and Network Architecture Overview


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5 Software Architecture 5.1 Architecture Layers On an abstract view, the architecture of the telematic system is divided into the Application Layer, the Session Layer and the Network Layer as shown in Figure 3. The Application and the Session Layer are distributed between the CompC site and On-site respectively the Ambulance Vehicle. Both sides are connected through one VPN Tunnel and Circuit Switched Audio connections in the Network Layer. The Application Layer encapsules the medical devices and other sensors as well as the clients and servers in the CompC. The Session Layer consists out of the Middleware which is responsibile for the session management and the conditioning of all in- and outgoing data. Multiple encrypted VPN Tunnels in the Network Layer are established over multiple concurrent physical links and bonded to one virtual tunnel interface. While techniques for vertical handovers like Mobile IP and the Session Initiation Protocol (SIP) in mobile networks have been well established over the last few years [GV06] the parallel use of multiple links to increase bandwidth is still a challenge [LB06]. The resulting networking properties of the bonded tunnel are determined by the fact that the order of arriving packets on the receiver side is non-deterministic due to the different behaviours of the underlying communication channels. That makes protocols like UDP without robustness against reordering of packets useless. The TCP protocol is much more robust against packet reordering. Bohacek et. al. described a new TCP protocol with high resistance against packet reordering [BHL+ 06]. The Real-Time Transport Protocol (RTP) extends UDP with a reordering robustness and is well suited for real-time streaming applications. ([IAC99], [SCFJ03]) RTP is one of the possible communication protcol used by ZeroC’s Internet Communication Engine (ICE) which was chosen to implement the Middleware. For the Messaging Part buffers are read from a Packer/Priority Calculator that polls data from the buffer according to the Priority Table if there is enough bandwidth and packs data to frames that are transferred through a TCP connection to the Middleware on the receiver side utilizing ZeroC’s Internet Communication Engine (ICE). [VVM+ 07]

Fig. 3 Overview of the different logic layers in the system

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5.2 Middleware Architecture Figure 4 shows the most important components of the Middleware on the sender side which is basically divided into a Streaming Part for the transfer of live-data, such as ECG and Video and a Messaging Part for Session Management, transfer of high resolution pictures and Control Purposes. Each signal path is feeded by a Device Driver that abstracts from vendor specific details and converts the incoming data. To achive the integration of services with real-time and synchronicity requirements the Streaming Part must balance different directives: • It must ensure the synchronicity of different signals in “synchronisation groups” such as the different ECG leads. • In the case of an insufficient total available bandwith it should prevent the “stuttering” of the signal output on the receiver side (continuity). The minimal length of continuous data is determined by the minimal length needed for diagnostic purposes. • The Middleware should not present too old data to the receiver side (timeliness). Only the most recent parts of the minimum useful length from the sender’s side must be transmitted. Therefore in order to achieve a trade-off between both continuity and timeliness, streams will be broken down into smallest segments that are still medically interpretable. To achive this, the Streaming Part design contains two buffers and a resampler or recoder in between. A controller calculates the parameters to achive the described balance for the buffer and resampling/-coding parameters.

Fig. 4 Middleware Architecture


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There is one Packer for each synchronisation group of streaming signals. It fetches data from outgoing buffers of all signal paths in one synchronisation group and multiplexes them. Like for the Messaging Part the data is then packed and transmitted via ICE. The transport protocols used here are either TCP or RTP dependent on the data class of the synchronisation group.

6 Outlook and Conclusion Telematic assistance in the safety critical field of EMS can be achived with the already established Professional Mobile Radio in combination with commercial mobile network technologies. The parallel use of multiple physical links adds reliability and can be secured by using VPN mechanisms. A middleware architecture based on this technology is constricted in the choice of usable transport protocols. It must offer different channels for message oriented communication and streaming oriented communication with real-time and synchronicity requirements. For the future the architecture will be extended to fulfil the needs for the interoperability with other CompCs and for the interconnection with hospital information systems.

References [BBS04]

Holger Behrendt, Emil Betzler, and Reinhard Schmiedel. Bedarfplanung im Rettungsdienst - Standorte, Fahrzeuge, Personal, Kosten. Springer, 2004. [Ber06] S. Bergrath. Retrospektive Analyse der Datenqualität eines kommerziellen Datenbanksystems für den Notarztdienst und der Dokumentationscompliance des Notarztdienstes der Stadt Aachen. Phd thesis, 2006. [BHL+ 06] Stephan Bohacek, Joao P. Hespanha, Junsoo Lee, Chansook Lim, and Katia Obraczka. A new TCP for persistent packet reordering. IEEE/ACM Trans. Netw., 14(2):369–382, 2006. [GHM03] A. Gries, M. Helm, and E. Martin. Die Zukunft der präklinischen Notfallmedizin in Deutschland. Anaesthesist, 52:718–724, 2003. [GV06] R. Good and N. Ventura. A multilayered hybrid architecture to support vertical handover between IEEE802.11 and UMTS. In IWCMC ’06: Proceedings of the 2006 international conference on Wireless communications and mobile computing, pages 257–262, New York, NY, USA, 2006. ACM. [IAC99] Sami Iren, Paul D. Amer, and Phillip T. Conrad. The transport layer: tutorial and survey. ACM Comput. Surv., 31(4):360–404, 1999. [LB06] Ji Li and Jack Brassil. On the performance of traffic equalizers on heterogeneous communication links. In QShine ’06: Proceedings of the 3rd international conference on Quality of service in heterogeneous wired/wireless networks, page 33, New York, NY, USA, 2006. ACM. [SCFJ03] H. Schulzrinne, S. Casner, R. Frederick, and V. Jacobson. RTP: A Transport Protocol for Real-Time Applications, June, 2003. [VVM+ 07] F. J. Villanueva, D. Villa, F. Moya, J. Barba, F. Rincón, and J. C. López. Lightweight middleware for seamless HW-SW interoperability, with application to wireless sensor networks. In DATE ’07: Proceedings of the conference on Design, automation and test in Europe, pages 1042–1047, San Jose, CA, USA, 2007. EDA Consortium.

Designing Agile Processes in Information Management Uschi Rick, René Vossen, Anja Richert, Klaus Henning

Abstract Nowadays’ projects have to cope with increasingly dynamic and turbulent environmental conditions [HHL09]. Agile approaches are one possibility to successfully face this challenge. While combining agile with more traditional process models seems to be usual software development practice in industry [HDGZ06], it lacks of scientific reflection. In this paper, an approach for process design is presented that may be used in information management projects and that combines the advantages of agile software development methodologies and those of traditional information management methods. The agile information management provides process designers with a tool suite that consists of roles, values and principles and a set of various methods and that implements iterative and incremental processes in small steps. Early results of a case study confirm the appropriateness of the approach for challenging frequent changes (e.g. due to changing markets, user needs or vague requirements), interdisciplinary cooperation and communication between the involved roles. Keywords Agility · process design · agile information management

1 Introduction In organisations the trend may be witnessed that there is an increasing pressure to be agile with regard to information, knowledge, work and technology; hence the trend goes from planning on a long-term prospect to constant adjustments and realignment [Des07]. In this context, DeMarco [DeM01] argues that nowadays it is rather speed and mobility that matter, than the “right” development of a software product. Downsizing the processes is one method to account for this new mobility, i.e. slenderizing them to so called lightweight or agile processes [SB02]. As of the 1990s [Aue07, HGS09] several of such agile processes have been drafted for U. Rick (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

© [2010] IEEE. Reprinted, with permission, from “The 2nd IEEE International Conference on Information Management and Engineering (ICIME)”, IEEE, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_15

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software development to cope with increasing dynamics in a business environment [Coc07, DeC04, BA05]. Today however, information and communication technologies are gaining increasingly more significance in business processes and support organisations to face the growing dynamics [GB03]. To date, there are only a few approaches which present or analyze eligible agile process models for specific use on information management. This paper presents an agile approach that combines classical information management and the advantages of agile software development. The focus is on the design of agile processes that can be used for information management projects and products.

2 State of the Art In recent papers and also in practice, “agile” and “agility” can frequently be found, yet there is no coherent definition. In addition, there are different interpretations of what agile information management or similar terms actually mean. Among these definitions, one finds approaches which primarily relate agility to information or the need for it itself (information centred), such as [BM07]. Other authors [Rou07, Yan06] describe agility as those properties of a system, which is utilized for information management (system centered). Further information management may be used in the environment of agile software development; [Dor04] and [Mel06] are advocates of these. Approaches which try to connect management and technology can be found in [Gal07, LP07] and [GS07] among others. The latter concepts however, are strategical rather than actually suggesting processes. The authors Knublauch [Knu02a, Knu02b] Baumeister [Bau04] and Auer [Aue07] at last, head into a similar direction as the one presented in this paper and apply the agile methods to knowledge management and more specifically to knowledge modeling and engineering. Their ideas are introduced in the following. According to Knublauch [Knu02a, Knu02b] heavyweight process models are often less useful to knowledge-based systems due to the high expenses for change they entail and the creative potential they fail to fully exploit. Knublauch hence aligns values, principles and methods to match the ones of Extreme Programming [BA05] for knowledge- and specifically ontology-based systems. In the case of Baumeister [Bau04, BPS04], capability for smaller teams and vague specifications provide the reason for agile processes in the realm of diagnostic knowledge systems. Following the concepts of Extreme Programming, the authors introduce an agile process model, which allows for early and continuous feedback, incremental planning and a flexible schedule. The methods used are adapted to match the actual case and complemented by an adaptation of refactoring procedures. Auer [Aue07] drafts and discusses an agile methodology for knowledge engineering called RapidOWL in order to render development and usage of knowledge bases even more efficient. This methodology is based upon Knublauch [Knu02a] and the Wiki-Concept [LC01] and is similar to Knoblauch’s approach. The author

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focuses on agile development of those knowledge bases, where the application is beforehand not known or not easy to determine, and on structured representations as opposed to unstructured textual documents of Wikis [Aue07]. As information management needs to face today’s dynamics and complexity of markets, there is a strong need for agile process models that are applicable to the whole domain of information management, not only to the information or knowledge modelling. Before presenting the approach for such a model, the following chapters describe the underlying concepts of agility and information management.

3 Agility According to the agile manifesto of agile software development [agi01], a consequent shift of values is proposed for information management projects in order to face today’s dynamics and complexity: • • • •

Individuals and interactions over processes and tools Working software (here: running processes) over comprehensive documentation Customer collaboration over contract negotiation Responding to change over following a plan

Fig. 1 Agility zones (according to [Til07])

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While the secondly mentioned aspects still are of value, the firstly mentioned aspects are more important. Agility is the ability to face growing complexity and dynamics [Til07] and can be seen as a gradual quality [LP07]. According to [Rie92], there are four zones depending on the actual dynamics and complexity (also known as “dynaxity”, see also [Hen09]): static, dynamic, turbulent and chaotic. Each zone requires a higher standard of tasks to be solved and of the involved people the ability to cope with turbulences and thus higher agility capabilities. Figure 1 illustrates the four zones of growing dynamics and complexity as well as the role of agility. Agile software development suggests implementing agility with common values, principles and practices. These are further developed by a team of software developers in order to manage fast deliveries of high quality software and its adoption to permanently moving business goals [DeM01]. One such approach is Extreme Programming according to [Bec99]. Before presenting this idea in the context of information management, the basic definition of information management that is used in the present paper is given in the following chapter.

4 Information Management Information management includes all management tasks within an organisation or another business entity that are concerned with a computer supported or computer supportable information and communication system; this system is developed according to the existing and possible technical support of the tasks to be solved and according to the needs of people that are assigned with these tasks [GB03]. Thus, an information and communication system consists of humans, organisational issues and technology also known as HOT approach [SH92, Mar91]. In case of complex or experience based information, it may be necessary to add non-computer supportable means, e.g. consulting services or workshops with experts, in addition to what is accessible by the computer supported or computer supportable information and communication system. Further, the focus of this paper is on more on processes within projects rather than on whole organisations. According to [Sch98] information management includes the management tasks planning, leading, coordinating and controlling of gathering, processing, transmitting, saving and providing information in order to support the business goals. As leading issues are of importance for all tasks to the authors’ opinions, they are implicitly involved in all tasks. In order to stress the relevance of decision making tasks, the task leading of the definition above is substituted by the decision making [GB03] in the present paper.

5 Process Design in Agile Information Management In this chapter, an approach for designing agile processes for the development of information management products is presented on the basis of the underlying concepts described in the previous chapters. The authors suggest agile processes to be


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consisting of the roles of people involved, common values, principles and methods used. These components relate to each other and may support each other [Til07]. The processes need to be individually designed according to the tasks, the actual agility zone and the team involved [Til07]. Further, there are different levels of abstraction that need to be taken into account (similar to the levels for tasks and activities in [GB03]): There are the processes of the whole project (macro level), the processes within teams, work packages or sub teams (meso level) and the processes of individuals and single tasks (micro level). The presented approach can be regarded as a toolbox for process designers and managers in the domain of information management. The different components are briefly introduced in the following.

5.1 Roles The allocation of roles to team staff is done according to professional competences and according to personality profiles. In this way, the teams may benefit the most from professional and social cooperation. In order to cope with complex tasks, it is of importance to ensure an interdisciplinary team [TRH06, TPH06] and enhance cooperation and communication [KHHM09]. In this way, different (disciplinary) perspectives may be integrated and may help to manage the challenges provided by complex tasks. Regarding the functional roles in information management projects there are usually the following roles involved: User, domain expert, technical staff, non technical staff (editorial staff etc.) and eventually operator and customer (if different from user). For software dominated projects it is appropriate to have the additional roles of a tester and an architect. Further, it might be useful to distinguish different roles on an organisational perspective: e.g. project manager, work package leader and team members. Finally, there are roles that can be derived from the environment of a project that also have to be taken into account. Examples are project partners or the organisational hierarchies beyond the project officer like a possible chief executive officer (CEO).

5.2 Values and Principles Managing agile processes requires a common system of values and principles that can be seen as a framework in order to ensure high quality teamwork, open minded and close cooperation with users and customers, excellent and rapid results that exactly meet the needs of users and customers. Besides the ideas that are stated in the agile manifesto, the values communication, simplicity, feedback, courage and humility [BA05] are to be implemented in the teams and processes. In addition to these values, several principles are presented in literature that link the abstract values with concrete methods. In the following some of the main principles are highlighted. Teams in an agile information management need to embrace change as it is the competitive edge of users and customers [Bec99]. These are to closely work with

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the team in order to ensure rapid and direct feedback [Bec99]. Team work is selforganised [agi01] and realised with flat hierarchies in order to allow spontaneous communication, creativity and a high motivation. Further, it is of great importance that the team regularly reflects their own work and processes [BA05].

5.3 Methods While the roles, values and principles mainly are taken from agile software development, the methods used here originate from both areas, software development and information management. They have been adapted to the new application field and new methods have been added. The methods can be clustered according to their strategic or operative dimension and assigned to the management phases planning, decision making, coordinating and control that have been presented above. The presented approach for designing agile processes proposes a toolbox that consists of about fifty methods that can be chosen by a process designer and adapted to the specific needs of a project. These needs can be derived from the tasks, the agility zones and the team involved as described above. Further, the process designer allocates the methods to the different processes (on macro, meso and micro level) and decides about their order of application. It is not possible to describe in-depth all methods in the present paper. Thus, some examples are pointed out. Creativity [PN03] and scenario techniques [PH06] can be used for strategic planning and decision making. Systems of aims and management ratios [GB03] allow a systematic control of the work done. Here it is important to keep the measurements as simple as possible [Bec99] (e.g. deadlines from week to week). Strategic workshops with the whole team seem appropriate to develop common visions and plans, to coordinate the tasks, to reflect on the work done, on team work and processes as well as to control the achieved aims (e.g. in task charts for the whole project). The conjoint work on common aims and plans attributes to the alignment of the different parallel processes and to the motivation of the team. Concerning the operative dimension of information management, weekly team meetings are obligatory for the whole team. In order to ensure efficiency, they are to be kept short. On-site users and customers [Bec99] allow for rapid feedback and spontaneous communication as they are more easily within reach. In this way, the adoption of work to specific needs may be ameliorated. Good team work is very important in an agile information management and supported by common code and document ownership and work in pairs (to ensure high quality and creative results) [Bec99]. All documents and results stick to a simple design and are developed incrementally and iteratively in small releases [Bec99]. This allows for frequent deliveries, rapid feedback and frequent testing (software, system, integration, usability, acceptance etc.). The methods cost accounting and human resource management [GB03] are examples for information management methods that are used for controlling within the operative dimension of the presented approach.


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6 Case Study The approach for designing agile processes has been developed and used within one of the information management projects that the authors are responsible for. The project is called KISSWIN, an online communication and information platform for young researchers (KISSWIN.de) that is funded by the German Ministry of Education and Research. KISSWIN aims at providing information, promotion and advice for young researchers concerning all aspects of a scientific career (career paths, funding opportunities, funding organizations etc.) in Germany. It provides the researchers with workshops, consulting services, job databases as well as databases providing information on funding opportunities and funding organizations, current news, announcements and events. KISSWIN is particularly suited for a case study of the approach due to the following reasons: The project has to cope amongst others with frequently changing markets, vagchanging markets, vague requirements and requires a very close collaboration with users, customer and domain experts. The various KISSWIN services can be seen as a large scale information and communication management system1 that needs to be implemented in small iterations by an interdisciplinary team. In this context, the means of traditional information management are limited and do not support adequately the need for iterative, flexible and cooperative work. Thus, the approach for designing agile processes within the development of information management products has been implemented within KISSWIN. The results still need to be evaluated in detail but a first insight will be provided here. The approach is well suited for fast and flexible reactions to the market and to user needs as the iterative and incremental development allows for early feedback and testing in small steps. The various principles and methods support the interdisciplinary cooperation and enhance the frequent and early communication between the team and users, customers and domain experts. The following challenges have become obvious while working with the presented approach. First, the flexible approach needs adaption to the specific needs of a project and its team. This requires experienced process designers and project managers. This is important to mention but equally matches to classical information management as well as to classical agile software development processes. Second, it might be hard for the project manager to synchronize the different processes due to their parallelism, phase-delayed implementation and dynamics. This again supports the claim for an experienced leadership person.

1 In this context, the organisation presented in the definition in section IV needs to be substituted by the term project.

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7 Conclusion The present paper provides an approach for designing agile processes that can be used in information management projects. The agile processes are consisting of the roles of people involved, common values, principles and methods used. The presented tool suite is very flexible and needs to be individually designed according to the tasks, the actual agility zone and the involved team on the one hand and according to different levels of abstraction (project, team and individual) on the other hand. First evaluation results have shown that the design of agile processes as it is presented in this paper is well suited to cope with frequent changes and vague requirements of information management products. Due to its iterative approach, it facilitates early feedback, testing and the communication between all stakeholders. However, it needs to be stated that using the approach requires experienced process designers and managers due to the flexibility of the approach and due to the complexity that is justified by parallelism, phase-delayed implementation and dynamics of processes. The case study and these early results still need to be analyzed and elaborated in more detail. Further, it seems interesting to gain more insights on the combination of agile and more traditional approaches as well as the practical implementation of such combined processes.

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Kulturveränderung oder kulturbasierte Veränderung? Eine strategische Entscheidung Robert Schmitt, Thilo Münstermann, Klaus Henning, Alexandra Ottong

Zusammenfassung Der Erfolg von Veränderungsprojekten muss für das Management und alle Beteiligten ersichtlich sein. Um die geeigneten Methoden für einzelne Projekte empfehlen zu können, sollten die Unternehmenssituation, der Typ des Veränderungsprojekts und die vorherrschende Unternehmenskultur berücksichtigt werden. Die individuellen Projekttypen beeinflussen das Gewicht einzelner Unternehmenskulturmerkmale, welche sowohl fördernd als auch hemmend sein können. Zusätzlich lassen sich erfolgreiche Veränderungsprojekte durch den Gebrauch der richtigen Methoden zur richtigen Zeit charakterisieren. Eine Toolbox hilft hier bei der Auswahl. Der theoretische Hintergrund fußt auf Kommunikations- und Motivationsaspekten sowie organisationalen Aspekten. Die Toolbox bietet flexible methodische Unterstützung und integriert die Unternehmenskultur. Ziel ist es, Veränderungsprojekte vor dem Hintergrund unterschiedlicher Unternehmenskulturen abzusichern. Schlüsselwörter Unternehmenskultur · Kulturmerkmale · Change-Management · Change-Projekte · Veränderungsprojekte Kulturbasierte Veränderung The success of a change-project must be obvious for management and all participants. To recommend the most appropriate methods for single projects, company specific conditions, the change-type and the prevailing corporate culture should be considered. The individual change-types influence the effect of specific culture characteristics, which may be supportive or inhibitory. Additionally, successful changeprojects are characterized by the use of the right methods at the right time. A toolbox supports in choosing. The theoretical background is based on communicational and motivational aspects as well as organizational phenomena. The toolbox provides flexible methodological support and integrates corporate culture. The aim is to safeguard the quality of change-projects on different corporate cultures.

R. Schmitt (B) Fraunhofer-Institut für Produktionstechnologie (IPT), Steinbachstr. 17, 52074 Aachen, Germany

Originally published in „Strategien von kleinen und mittleren Unternehmen. Jahrbuch der KMU-Forschung und -Praxis 2010“, Edition „Kleine und mittlere Unternehmen“, © JOSEF EUL VERLAG, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_16

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1 Einleitung Warum gelingen manche Veränderungen scheinbar problemlos und andere haben mit enormen Widerständen zu kämpfen? Viele Antworten auf diese Frage konnten in den letzten Jahren gefunden werden. Transparente Kommunikation, konsequentes Vorleben oder Einbeziehung aller Gruppen von Beteiligten gelten als Erfolgsfaktoren für gutes Change Management. Zudem sind typische Phasen und Abläufe von Veränderung umfassend untersucht und ein breites Spektrum an Methoden vorhanden. Dennoch scheitern viele Change Manager, und das häufig obwohl sie in einem anderen Unternehmen bereits ähnliches erfolgreich umgesetzt haben. Gründe dafür können in der Unternehmenskultur – den impliziten Mustern, nach denen sich Gruppen und ganze Organisationen verhalten – liegen. Bestimmte Methoden passen zu einer Kultur besser als zu einer anderen und die generelle Reaktion einer Organisation auf eine anstehende Veränderung ist längst nicht immer gleich.

2 Stand der Forschung Kultur spielt eine entscheidende Rolle für das Funktionieren einer Organisation. Sie beeinflusst das menschliche Verhalten auf jeder Organisationsebene. Unternehmenskultur bezieht sich auf die fest verankerten Werte, Einstellungen, Glauben und Normen, die die Mitglieder einer Organisation teilen und beinhaltet den unterbewussten Teil des organisatorischen Lebens [SBG96]. Sie manifestiert sich in verschiedenen organisatorischen Faktoren, wie z. B. Organisationsstrukturen, Kontrollsystemen, Symbolen, Routinen sowie Ritualen [Joh92] und ist mit vielen Schlüsselprozessen wie Unternehmens- und Mitarbeiterführung aber auch dem Unternehmenserfolg verbunden [Sch85, CQ06]. So wird seit Jahren kaum bestritten, dass die Unternehmenskultur ein wichtiger Faktor für Change Projekte ist und eine große Rolle bezüglich der Veränderungsfähigkeit einer Organisation einnimmt [Sen00]. Diese wiederum wird beeinflusst durch die Einstellung der Mitarbeiter zu Konflikten, Kritik, dem Teilen von Informationen und Experimentieren in Prozessen und Produkten (vgl. Abb. 1). Kultur bedingt den Grad an Offenheit eines Managements für neue Ideen, an Willen sensitive Aspekte offen zu diskutieren sowie der Autonomie der Mitarbeiter und Unterstützung ihrer Aktionen. Darüber hinaus bestimmt sie das Ausmaß bis zu welchem die Organisationsstrukturen Veränderungen ermöglichen. Demzufolge kann eine Organisation, abhängig von der Kultur, viele verschiedene Veränderungsstrategien beschließen [KE02]. Sobald die Methoden in einem Veränderungsprozess jedoch nicht mit der existierenden Unternehmenskultur vereinbar sind, besteht eine große Gefahr des Scheiterns. Daher ist es ein wichtiges Element eines Change Prozesses die vorherrschende Unternehmenskultur zu verstehen [AC08, SD81]. Dennoch ist der Umgang mit diesem Wissen alles andere als einfach. Kultur ist häufig schwer zu beschreiben, nur langfristig zu verändern und in ihren Auswirkungen kaum einzuschätzen. Es stellt sich also die Frage wie Unternehmenskultur sinnvoll und operativ brauchbar in das Change Management

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Abb. 1 Organisational culture and change [Sen00]

integriert werden kann. Herangehensweisen an Unternehmenskultur lassen sich grob in zwei Strömungen unterteilen. Die erste bildet Modelle zur Beschreibung und Erfassung von Unternehmenskultur, mit dem Ziel diese möglichst vollständig abzubilden. Daraus sind eine Vielzahl von Ebenen- und Dimensionsmodellen entstanden. Die andere Strömung bilden Ansätze zur Kulturveränderung, welche auf unterschiedliche Weise Unterstützung dabei bieten, von einem kulturellen Ist-Zustand in einen gewünschten Soll-Zustand zu gelangen. Da Unternehmenskultur sich aber in den Einstellungen und Gewohnheiten eines Unternehmens äußert, bedeutet Kulturveränderung nichts anderes, als dass die Einstellungen und Gewohnheiten zahlreicher Mitarbeiter und Führungskräfte verändert werden müssen. Und zwar nach Möglichkeit dauerhaft. Eine solche Kulturveränderung ist schwierig durchzusetzen und häufig ein langwieriger Prozess [Pul00], S. 199 ff., [Sch85], S. 5. Beiden beschriebenen Strömungen ist jedoch gemein, dass implizit oder explizit von einer „Veränderungskultur“ ausgegangen wird, also einem erstrebenswerten Kulturtyp, der jede Form von Veränderung positiv beeinflusst. Vor dem Hintergrund ihrer Wahrnehmung und Beurteilung der Realität und vor dem Hintergrund ihrer persönlichen Ziele, Werte und Interessen, verhalten die Menschen sich ihrer Ansicht nach völlig logisch. Dementsprechend erachten sie auch ihr Handeln im Unternehmensalltag – gestützt von der vorherrschenden Unternehmenskultur – als folgerichtig. Dauerhafter organisatorischer Wandel kann also nur dann erreicht werden, wenn er in der bestehenden Unternehmenskultur verankert wird [Kot96]. Nach Meinung verschiedener Autoren geschieht diese Verankerung der Veränderung in der Kultur durch Veränderung der existierenden Kultur [CQ06, Kot96, Sch85, SBG96]. Durch die feste Verbindung von einer Organisation und ihrer Kultur ist diese jedoch sehr schwer zu verändern. Auch kleine Veränderungen in der Unternehmenskultur bedürfen viel Zeit und je stärker die Kultur ist, umso

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schwieriger wird es sie zu verändern. [Kot96, Sch87]. In vielen Quellen (z. B. bei [Kot96, Sch87, SD81, See00, Sen00] wurde diese Problematik erkannt und daher versucht eine effiziente Lösung hierfür zu finden. Nach Kotter [Kot96] ist es ein schwerwiegender Fehler mit dem Veränderungsprozess zu starten indem Normen und Werte geändert werden. Die Kultur kann nur dann verändert werden, wenn sich zunächst das Verhalten der Mitarbeiter ändert und diese neuen Verhaltensweisen einen sichtbaren Mehrwert hervorgebracht haben. Hinter dieser Sichtweise verbirgt sich auch Johnsons [Joh92] Begründung für erfolgreiche kulturelle Veränderungen: Das Erschaffen eines geeigneten Veränderungsklimas. Dann ist die Veränderung weit verbreitet akzeptiert und als notwendig für die Organisation angesehen. Schneider et al. [SBG96] sehen es ebenfalls als problematisch an, Unternehmenskultur direkt zu verändern. Sie sind der Meinung, dass kulturelle Veränderungen durch änderung der alltäglichen Gesetze, Praktiken und Routinen (z. B. Organisationsklima) geschehen, welche die Handlungen der Mitarbeiter führen. Da diese greifbarer sind, als Werte und Glauben der Mitarbeiter, sind sie auch leichter zu verändern. Wenn Wandel notwendig ist, muss die Organisation sich vorbereiten, um unvermeidliche Probleme handzuhaben und einige Zeit und Geld in den Prozess zu investieren [Sch87, SD81]. Außerdem erfordert eine erfolgreiche kulturelle Veränderung oft auch eine Veränderung von Schlüsselpersonen in der Organisation [Kot96, Sch87, SD81]. Veränderungen der Unternehmenskultur sollten also eher dann in Betracht gezogen werden, wenn die Kultur sehr schwach ist oder die Zukunft definitiv einen anderen Kulturtyp verlangt. Da vor allem bei kleinen und mittleren Unternehmen (KMU) die verankerte Kultur durch die engen und stark verwurzelten Beziehungen im Unternehmen und die Nähe der Mitarbeiter zueinander als eher stark anzusehen ist, lässt sich vermuten, dass eine Kulturveränderung hier auf massiven Widerstand stoßen wird. Auch wenn die Unternehmensführung entscheidet den Veränderungsprozess in der Kultur zu verankern, indem sie die Kultur verändert, sollte der Veränderungsprozess dennoch mit einer Analyse der existierenden Unternehmenskultur beginnen [Sch87, SD81]. Aufgrund der vielfältigen Schwierigkeiten, die eine Kulturveränderung mit sich bringt und der Tatsache, dass sie das zusätzliche Risiko unerwünschter Nebenwirkungen bietet, wird auch ein anderer Weg zur Vereinbarkeit von Kultur und Veränderung verfolgt. Scholz [Sch87] empfiehlt, die Unternehmens- oder Veränderungsstrategie gemäß der existierenden Kultur zu verändern, anstatt die Kultur selbst zu verändern. Dieser Ansatz zur Anpassung der Veränderung an die Kultur der Organisation scheint sehr vielversprechend, bedenkt man, dass es oft mehrere Wege gibt um die gesteckten Ziele zu erreichen. Maßgeblich für den Start eines Veränderungsprozesses wäre in dem Fall die Evaluierung des Grades zu welchem die existierende Kultur der Organisation die geplante Veränderung unterstützt oder hemmt [Sen00]. Die Identifizierung der Kulturklasse unterstützt die Implementierung der Veränderung zusätzlich, da diese hilft, mögliche Schwierigkeiten durch Unvereinbarkeit zwischen der Organisationskultur und der für eine geplante Veränderung


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benötigte Kultur hervor zu heben [AC08, SD81]. Das Hauptaugenmerk sollte auf die Aspekte der Kultur gelegt werden, welche essenziell für strategischen Erfolg sind und nicht mit der geplanten organisatorischen Veränderung übereinstimmen [SD81]. Diese macht die neue Darlegung von Veränderungsstrategien einfacher und effektiver. Als Hebel zur Kulturveränderung lässt sich also folgern, dass, wenn die Mitarbeiter eines Unternehmens unter neuen Bedingungen bekommen, was ihnen wichtig ist, die meisten von ihnen relativ zügig auch ihr Verhalten ändern werden.

3 Ansatz zur kulturbasierten Veränderung Im Gegensatz zu den Versuchen und Ansätzen eine Kultur dahin gehend zu verändern, dass sie gewünschte Effekte erzielt oder Strategien unterstützt, wurde im Forschungsprojekt „Culture Based Change“ eine Vorgehensweise zur kulturbasierten Veränderung entwickelt. Wie können Veränderungen kulturgerecht, also angepasst an die bestehende und kurzfristig kaum veränderbare Unternehmenskultur, gestaltet werden? Ziel ist es also nicht, die Unternehmenskultur zu beeinflussen, sondern vielmehr sie angemessen zu berücksichtigen und im Sinne eines angepassten Methodeneinsatzes zu nutzen. Davon ausgehend, dass die meisten Unternehmen mit ihren Produkten oder Dienstleistungen erfolgreich am Markt sind, ist jede umfassende Kulturveränderung außerdem eine Gefahr für die Grundlage des bisherigen Erfolgs. Um den Erfolg von Veränderungsprojekten zu steigern wird daher vorgeschlagen, verstärkt das Change Management an die Kultur anzupassen, als umgekehrt die Kultur zu verändern. Es wird auf keinen Fall negiert, dass jede Veränderung auch die Unternehmenskultur beeinflusst, sondern lediglich dafür plädiert, den Fokus der Veränderung anders anzulegen. In solchen Fällen, in denen sich Rahmenbedingungen verändert haben und die Kultur explizit verändert werden soll, kann das hier beschriebene Vorgehen keine Hilfe bieten. Es wird aber davon ausgegangen, dass es eine Vielzahl von Veränderungsprojekten gibt, in denen nicht die Kultur direkt, sondern Strukturen und Prozesse verändert werden sollen. In diesem Sinne wäre die Veränderung der Kultur eine Folge des Change Prozesses und nicht die Ursache. Der Grund für die Bedeutsamkeit der Analyse der existierenden Unternehmenskultur ist das Versagensrisiko, falls die Praktiken während des Veränderungsprozesses nicht mit der existierenden Unternehmenskultur vereinbar sind. Die Veränderung wird höchstwahrscheinlich nicht gelingen, wenn kulturelle Normen durch Veränderungsstrategien verletzt werden [Sch85]. Daher ist die Analyse der Unternehmenskultur ein Herzstück von Veränderungsprozessen [AC08] und erfolgt innerhalb der ersten Phase im Veränderungsprozess. Praktisch noch bevor die tatsächliche Veränderung beginnt. Außerdem kann die Berücksichtigung der Rolle der Unternehmenskultur schon während der Planungsphase der Veränderung die Implementierung dieser unterstützen und eventuell sogar verkürzen. Häufig werden Veränderungsprozesse, gerade bei kleinen und mittleren Unternehmen aufgrund von begrenzten personellen und finanziellen Ressourcen mehr

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Abb. 2 Häufige Umsetzungsbarrieren bei Veränderungsprojekten: Insbesondere weiche Faktoren dürfen bei Veränderungen nicht vernachlässigt werden (Befragt wurden Verantwortliche für Projektmanagementaktivitäten, Geschäftsführer sowie Mitarbeiter in leitenden Positionen, [bea07])

oder weniger unsystematisch vorangetrieben. Oft sind die Ziele des Vorhabens klar, jedoch nicht das Vorgehen, um diese zu erreichen. Sogar der umgekehrte Fall kann eintreten, indem Maßnahmen eingeleitet werden ohne dass ein Ziel festgelegt wurde [Pul00]. Vor allem bei kleinen und mittleren Unternehmen sind erzwungene Veränderungen der Unternehmenskultur schwer durchsetzbar. Neue Denkweisen zu erzeugen und somit die Unternehmenskultur zu verändern, wie dies bei Großunternehmen der Fall ist, wäre gegen die Funktionsweise der meisten KMUs. Die Nichtbeachtung derartiger Rahmenbedingungen liegt darin begründet, dass die so genannten weichen Faktoren nicht ohne weiteres ermittelbar oder auch nicht bekannt sind [Str06] (vgl. Abb. 2). Dass diese Faktoren im industriellen Alltag werden zu gering wahrgenommen, ist teilweise auf die Technik fokussierte Ausbildung der dort tätigen Ingenieure zurückzuführen, die sich vornehmlich mit harten Faktoren ¨ auseinandersetzen [B97]. Diese Konstellation führt zu dem Phänomen, dass häufig das mangelnde Engagement der von Change Prozessen betroffenen Mitarbeiter oder eine untransparente Kommunikation beklagt wird und gleichzeitig eine Ratlosigkeit vorherrscht, wie mit Widerständen in einem Change Vorhaben umzugehen ist. Es liegen zahlreiche Methoden zur Durchführung von Change Vorhaben vor, jedoch sind sie ohne die Berücksichtigung unternehmensspezifischer Kultur nicht Ziel führend einsetzbar. Das Commitment der Mitarbeiter zur Veränderung und die zielgerichtete Anwendung der Methoden durch die Mitarbeiter werden von den weichen Faktoren der Unternehmenskultur wesentlich mehr beeinflusst als durch die harten Faktoren wie Prozesse und Strategien. Zugleich existieren Typologien und Erfolgsfaktoren von Change Projekten, die es ermöglichen, bestimmte Zusammenhänge zu erkennen. Diese werden jedoch nicht in Form von konkreten Wirkgefügen dargestellt, als dass sie zur Steuerung von Change Vorhaben eingesetzt werden könnten. Das hier beschriebene Vorgehen setzt sich damit auseinander, insbesondere KMU Werkzeuge an die Hand zu geben, mit denen Sie diagnostizieren können, wie ihre Unternehmenskultur beschaffen ist und wie sich diese auf anstehende Change Vorhaben auswirken kann.


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4 Vorgehensmodell zur kulturbasierten Veränderung für KMU Die vorgestellte Strategie der Kultur basierten Veränderung verfolgt die Arbeitsschritte „Identifikation der geplanten Veränderung“, „Analyse der Unternehmenskultur“ und „Ableiten von Methodenempfehlungen“ (vgl. Abb. 3), welche im folgenden kurz vorgestellt werden. Sie ermöglicht somit eine logische Abfolge von Arbeitsschritten und eine intuitive Vorgehensweise im Veränderungsprozess. Identifikation der geplanten Veränderung Eine Veränderung ist nicht gleich Veränderung. Der Begriff Veränderungsmanagement suggeriert ein einheitliches Fachgebiet, doch verbergen sich dahinter völlig unterschiedliche Problemstellungen, welche nur einen gemeinsamen Nenner haben: Es geht um eine Veränderung, von der eine Vielzahl von Mitarbeitern betroffen sein wird. Der erste Schritt in einem Veränderungsvorhaben ist daher, die Art der geplanten Veränderung zu identifizieren. Je genauer sich einschätzen lässt, welche Reaktionen das Vorhaben auslösen wird, umso besser lassen sich die erforderlichen Methoden auswählen. Unterschiedliche Veränderungen beinhalten in den meisten Fällen auch unterschiedliche Konfliktpotenziale. Neben den unterschiedlichen Auslösern für eine Veränderung, wie neue Technologien, Kunde und Markt, Shareholder sowie Normen und Gesetze, kann auch der Veränderungsaufwand zur Einteilung der Veränderungsvorhaben dienen. So erstrecken sich die unterschiedlichen Arten einer Veränderung über punktuelle Eingriffe zur schnellen Anpassung einzelner Teile im Unternehmen über drastische Senkungen der Kosten durch Stellenabbau und

Abb. 3 Strategie der Kultur basierten Veränderung

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Outsourcing bis hin zur vollständigen Neuorientierung, dem sorgfältig geplanten Umbau des Unternehmens zur Sicherung der überlebensfähigkeit. Im Rahmen der hier vorgestellten strategischen Unterstützung zur Veränderung erfolgt die Einteilung der Veränderungsvorhaben nach der sogenannten Typologie der Veränderung. Dies erfolgt mit Hilfe von alltäglichen Begriffen, die leicht verständlich sind und in welche die einzelnen Unternehmen sich leicht einordnen können. Es werden folgende Change Typen betrachtet: • • • • • •

Personalabbau, Kostensenkungsprogramme, Produktivitätssteigerung, Outsourcing Reorganisation/Restrukturierung und Einführung neuer IT.

Wie erwartet zeigt eine im Rahmen des Forschungsprojektes „Culture Based Change“ durchgeführte Studie deutliche Zusammenhänge zwischen Unternehmenskulturmerkmalen und dem Erfolg der unterschiedlichen Change Typen. Darüber hinaus zeigen die einzelnen Change Typen zum Teil auch einen deutlichen Einfluss auf die Erfolgswirkung einzelner Kulturmerkmale. Einige Kulturmerkmale haben außerdem über mehrere Change Typen hinweg einen starken Zusammenhang mit dem Projekterfolg bewiesen. Es erweist sich somit als strategisch ratsam, die geplante Veränderung vorab einer der Typologien zuzuordnen. Analyse der Unternehmenskultur Der strategische Umgang mit kulturellen Fragen ist schwierig, da Unternehmenskultur ein großes und wenig klar abgegrenztes Feld organisationaler Phänomene bildet. Bestehende Kulturmodelle versuchen diese meist anhand von Dimensionen möglichst vollständig zu erfassen. Diese Herangehensweise ist aus einer forschenden, erkenntnisorientierten Sichtweise richtig und wichtig, bietet aber kaum pragmatische Ansatzpunkte, da die Dimensionen notwendigerweise sehr abstrakt sein müssen, um Kultur umfassend abbilden zu können. Mit Hilfe von vordefinierten Unternehmenskulturmerkmalen lässt sich Unternehmenskultur greifbar beschreiben. Als Merkmale einer Unternehmenskultur werden einzelne Teilaspekte verstanden, die für sich alleine einschätzbar sind und einen Zusammenhang mit der Gelingenswahrscheinlichkeit von Change Projekten aufweisen. Diese Merkmale erheben hingegen nicht den Anspruch, die Unternehmenskultur vollständig abzubilden. Beispiele für Kulturmerkmale können sein, ob Mitarbeiter eines Unternehmens sich duzen oder siezen, wie Führungskräfte auf Fehler reagieren oder auch architektonische Merkmale, wie etwa die Verfügbarkeit von Kaffee-Ecken. Als strategischer Umgang mit Unternehmenskulturmerkmalen wird vorgeschlagen, einerseits die individuell spezifischen relevanten Merkmale einer Organisation zu ermitteln und andererseits die für den identifizierten Veränderungstyp typischerweise fördernden und hemmenden Kulturmerkmale auf ihre Ausprägung in der Organisation zu überprüfen. Mit Hilfe eines im o. g. Forschungsprojekt entwickelten Verfahrens ist es möglich, anhand vergangener Change Projekte die für Veränderung erfolgskritischen


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Kulturmerkmale einer Organisation individuell zu ermitteln. Möglich wird dies durch eine Modifikation der bewährten OSTO Systemdiagnose [Ise94, Hen05]. Diese Organisationsdiagnose hat die Besonderheit, dass sie Unternehmen anhand ihrer konkreten und sichtbaren Outputs „aufrollt“ und so nicht die postulierten Ziele und Strategien, sondern das tatsächliche Organisationsverhalten untersucht. Diesem Prinzip bedient sich auch die CuBa Change Diagnose. Um für Change-Projekte relevante Kulturmerkmale zu erhalten, werden nicht die Outputs des gesamten Unternehmens, sondern die eines konkreten Change-Projektes betrachtet [IFM09]. Es kann jedoch noch nicht unmittelbar auf die dahinterliegenden Kultur geschlossen werden. Outputs entstehen durch Verhalten der Organisationsmitglieder, so dass zunächst das zugrunde liegende Verhalten ermittelt wird. Verhalten wiederum darf keinesfalls mit Kultur gleichgesetzt werden. Kultur beschreibt Muster und Gemeinsamkeiten im Verhalten mehrerer Menschen und ihre überzeugungen. Einmalige Verhaltensweisen einzelner dürfen also nicht mit Kultur verwechselt werden. Die identifizierten Verhaltensweisen werden danach untersucht, ob sie typisch für Personengruppen oder die ganze Organisation sind bzw. ob das Verhalten durch gemeinsame Werte und überzeugungen der Beteiligten motiviert ist. Wird dies gefunden, zeigt sich eine klare Linie von Kulturmerkmalen über Verhalten hin zu den konkreten Auswirkungen des Projektes auf. So ist sichergestellt, dass genau jene Kulturmerkmale identifiziert werden, welche in dem betreffenden Unternehmen das Verhalten in Veränderungsprozessen in der Vergangenheit entscheidend beeinflusst haben. Weiterhin wurden die in der o. g. Studie gesammelten Erkenntnisse zur fördernden und hemmenden Einfluss von Kulturmerkmalen in einer Korrelationsmatrix zusammengetragen. Mit Hilfe eines in 2010 in der Schriftenreihe der FQS erscheinenden Anwenderleitfadens können KMU eigenständig die relevanten Kulturmerkmale untersuchen. Dazu bietet der Anwenderleitfaden verschiedene Varianten mit unterschiedlicher Intensität und Arbeitsaufwand, die auch durch ein Softwaretool unterstützt werden. Dies bietet insbesondere KMU den Vorteil, den Aufwand der Kulturanalyse an den Umfang und das Budget des Projektes anpassen zu können. Bestehende Ansätze hingegeben sind häufig mit umfangreichen Beratungsleistungen verbunden und daher für KMU bei den meisten Projekten zu kostspielig. Nach einer Bewertung der relevanten Kulturmerkmale lassen sich zum einen direkt die erfolgreichsten Methoden ermitteln. Zum anderen ist aber auch die Identifikation einer Kulturklasse möglich. Hier sind z. B. die Kulturdimensionen nach Hofstede [HH05] zu nennen. Diese beziehen sich auf Machtdistanz, Individualismus/Kollektivismus, Unsicherheitsvermeidung, Feminität/Maskulinität sowie einer Kurzzeit-/Langzeitorientierung. Bezüglich der Dimension Unsicherheitsvermeidung wird beispielsweise die Aussage getätigt, dass bei einer geringen Ausprägung die Veränderungsbereitschaft eher vorhanden ist als bei einer hohen Ausprägung. Das Zusammenspiel von Kulturklasse, Unternehmens- und ChangeTyp lässt also eine weitere Empfehlung bezüglich der Veränderungsstrategie zu. Diese bewegt sich zwar auf einer weitaus allgemeineren Ebene, als die direkte Empfehlung einzelner Methoden, kann der Veränderung an sich aber eine zusätzliche Grundlage bieten.

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Ableiten von Methodenempfehlungen Den einzelnen Merkmalen der Unternehmenskultur wird in diesem Vorgehensmodell eine unterstützende bzw. hemmende Wirkung bei der Anwendung ausgewählter Methoden des Veränderungsmanagements attestiert. überspitzt bedeutet dies, dass je weiter ein Veränderungsprojekt fortschreitet, es umso wichtiger wird, von Seiten des Top Managements auch die Gefühle zu führen. Dies verlangt eine Empfehlung einzelner, das Veränderungsprojekt unterstützender Methoden. Die für dieses strategische Vorgehenden resultierenden Methodenempfehlungen basieren auf einer von Bisenius [Bis03] entwickelten Systematik zur Gestaltung strategischer Change Prozesse, welche sich an fünf Phasen orientiert, wobei die fünfte Phase die kontinuierliche Rückführung und Verbesserung einschließt. Veränderungen und damit verbundene Veränderungsvorhaben werden häufig und fälschlicherweise als einmalige Prozesse verstanden. Tatsächlich handelt es sich jedoch um kontinuierliche Prozesse, weswegen das Vorgehensmodell einen Regelkreis darstellt. Die fünf ausgeprägten Phasen unterscheiden sich in Entscheidung zur Veränderung, Vorbereitung, Gestaltung, Umsetzung und Absicherung der Veränderung. Konzept und Umsetzung eines Veränderungsvorhabens lassen sich nicht scharf trennen. Der Grund für diese Planungsunschärfe sind die auf weichen Faktoren beruhenden Unwägbarkeiten der Organisation. Getrennt werden die Phasen durch Quality Gates, an denen die Reife paralleler Schritte der betreffenden Phase bewertet werden. Checklisten für die überprüfung der jeweiligen Phasen wurden erstellt, um die Strategieentwicklung abzusichern. Voigt [Voi06] fügte dieser Systematik einen Methodenbaukasten in Form eines Leitfadens hinzu, so dass auch kleinen und mittelständischen Betrieben die Möglichkeit gegeben ist, Methoden des Veränderungsmanagements selbstständig anzuwenden. Die Erfolgsmessung spielt hier eine wesentliche Rolle, die Auswahl der Methoden ist jedoch nicht begründet. Weiche Faktoren werden in Form von Kommunikation und in groben Ansätzen von Motivation berücksichtigt, dennoch wird kein Bezug zur Unternehmenskultur und dem damit einher gehenden Verhalten und Wertegefüge der Mitarbeiter hergestellt. Die bis heute entwickelten Methoden bieten Anhaltspunkte, welche Maßnahmen in den jeweiligen Phasen von Change Projekten eingesetzt werden können, um zum Beispiel mit möglichen Hindernissen umzugehen. Die bisher postulierten Systematiken liefert aber keine Auswahlhilfe dafür, in welchen Unternehmen und bei welchen kulturellen Rahmenbedingungen gezielt Methoden einzusetzen sind. Die bisherigen Hinweise sind lediglich zeitlicher Natur und beziehen sich auf die einzelnen Phasen des Change Prozesses. Um diesen Missstand zu beheben wird dieses Vorgehensmodell nun um die Kulturanalyse erweitert (vgl. Abb. 3). Fokussiert wird dabei auf die Ausrichtung der Merkmale der Unternehmenskultur, die flexible methodische Unterstützung von Veränderungen sowie die Berücksichtigung der unternehmensspezifischen Situation. Zusammenfassung und Ausblick Unternehmen benötigen ein Instrument in Form einer Entscheidungsmatrix, um identifizieren zu können, welche Methoden zur Steuerung von Change Prozessen


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vor dem Hintergrund ihrer speziellen Rahmenbedingungen einzusetzen sind. Ziel ist es, die Qualität der Change Prozesse vor dem Rahmen unterschiedlicher Unternehmenskulturen abzusichern. Welche Kulturmerkmale im Einzelnen sinnvoll sind, wurde im Rahmen der Strategieentwicklung durch eine Hypothesen geleitete Studie und anhand von Fallbeispielen untersucht. Die Besonderheiten dieses Modells liegen in der Kultur basierten Betrachtung von Veränderungsvorhaben, in der flexiblen methodischen Unterstützung sowie der Berücksichtigung der individuellen Risiken. Das Ergebnis ist ein Leitfaden, wann welche Methode des Veränderungsmanagements wie und zu welchem konkreten Zweck eingesetzt werden kann. Hinzu kommt die individuelle Berücksichtigung der Unternehmenskultur. Durch den Einsatz des Kultur basierten und Methoden gestützten Vorgehens, wird das Risiko bei Veränderungsprozessen minimiert. Es wurden spezifische Kriterien zur näheren Bestimmung der kulturellen Einflussfaktoren festgelegt. Für jeden einzelnen definierten Einflussfaktor werden aus allen prinzipiell in Frage kommenden die für die betrachtete Veränderung relevanten Methoden ausgewählt. Hinweis zum Forschungsprojekt Das IGF-Vorhaben (15593 N/1) der Forschungsvereinigung Forschungsgemeinschaft Qualität e.V. (FQS), August-Schanz-Str. 21A, 60433 Frankfurt am Main wurde über die AiF im Rahmen des Programms zur Förderung der industriellen Gemeinschaftsforschung und –entwicklung (IGF) vom Bundesministerium für Wirtschaft und Technologie aufgrund eines Beschlusses des Deutschen Bundestages gefördert. Die durchführenden Forschungsstellen sind das Fraunhofer-Institut für Produktionstechnologie (IPT) und das Institut für Unternehmenskybernetik an der RWTH Aachen (IFU).

Literaturverzeichnis [AC08]

Michael J Austin and Jennette Claassen. Impact of organizational change on organizational culture: implications for introducing evidence-based practice. Journal of EvidenceBased Social Work, 5(1-2):321–359, 2008. ¨ [B97] K. Büchter. Klein- und Mittelbetriebe: Träger des Strukturwandels? Relativierungen zu Prosperität und Qualifikationsbedarf. Zeitschrift für Arbeitsforschung, Arbeitsgestaltung und Arbeitspolitik, 6(4):412–428, 1997. [bea07] Status-Quo des Change Managements in Deutschland, 2007. http://www.bearingpoint.de. [Bis03] A. Bisenius. Systematik zur qualitätsgerechten Gestaltung und Absicherung strategischer Veränderungsprozesse. PhD thesis, RWTH Aachen University, 2003. [CQ06] Kim S. Cameron and R. Quinn. Diagnosing and Changing Organizational Culture. Jossey-Bass, San Francisco, CA, USA, (Revised edition) edition, 2006. [Hen05] R. Henning. OSTO Systemdiagnose, Leitfaden zur systemischen (und systematischen) Diagnose komplexer Systeme und eigener Verantwortungsbereiche aus der Hubschrauberperspektive. Technical report, OSTO Systemberatung GmbH, November 2005. [HH05] Geert Hofstede and Gert Jan Hofstede. Cultures and Organizations - Software of the Mind: Intercultural Cooperation and Its Importance for Survival. Mcgraw-Hill Professional, New York, (Revised and expanded 2nd edition). edition, 2005.

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[IFM09] Ingrid Isenhardt, Paul Flachskampf, and Thilo Münstermann. Auf dem Weg zum kulturbasierten Change. managerSeminare Das Weiterbildungsmagazin, 135, 2009. [Ise94] Ingrid Isenhardt. Komplexitätsorientierte Gestaltungsprinzipien für Organisationen dargestellt an Fallstudien in Reorganisationsprozessen in einem Großkrankenhaus. Augustinus Verlag, 1994. [Joh92] G. Johnson. Managing strategic change - strategy, culture and action. Long Range Planning, 25:28–36, 1992. [KE02] Adrianna J. Kezar and Peter D. Eckel. The Effect of Institutional Culture on Change Strategies in Higher Education: Universal Principles or Culturally Responsive Concepts? The Journal of Higher Education, 73(4):435–460, 2002. [Kot96] J. Kotter. Leading Change. HBS Press, Boston, MA, 1996. [Pul00] K. Pullig. Innovative Unternehmenskulturen : zwölf Fallstudien zeitgemässer Sozialordnungen. Rosenberger Fachverlag, Leonberg, 2000. [SBG96] B. Schneider, A. Brief, and R. Guzzo. Creating a climate and culture for sustainable organizational change. Organizational Dynamics, 24:7–19, 1996. [Sch85] Edgar H. Schein. Organizational Culture and Leadership: A Dynamic View. Jossey Bass, San Francisco, CA, USA, 1 edition, 1985. [Sch87] C. Scholz. Corporate culture and strategy - The Problem of Strategic Fit. Long Range Planning, 20:78–87, 1987. [SD81] H. Schwartz and S. Davis. Matching corporate culture and business strategy. Organizational Dynamics, 10:30–48, 1981. [See00] R. Seel. Culture and complexity: New insights on organisational change. Organisations and People, 7:2–9, 2000. [Sen00] B. Senior. Organizational change and development. In N. Chmiel, editor, Introduction to Work and Organizational Psychology. A European Perspective, pages 347–383. Oxford: Blackwell Publishing, 2000. [Str06] G. Strina. Zur Messbarkeit nicht-quantitativer Größen im Rahmen unternehmenskybernetischer Prozesse. PhD thesis, RWTH Aachen University, 2006. [Voi06] T. Voigt. Systematik zur qualitätsgerechten Umsetzung organisatorischer Veränderungsprozesse. PhD thesis, RWTH Aachen University, 2006.

Network Management for Clusters of Excellence - A Balanced-Scorecard Approach as a Performance Measurement Tool Florian Welter, René Vossen, Anja Richert, Ingrid Isenhardt

Abstract Supplementary Cluster Activities constitute an important organisational part within the structure of the German Cluster of Excellence “Tailor-Made Fuels from Biomass” at RWTH Aachen University, because they focus on the entire clusters efficient networking process and successful strategic cluster development. As research teams from different scientific fields collaborate, the strategic management of interdisciplinary processes becomes necessary to enhance scientific cooperation. Therefore, amongst other measures of cluster development, a Balanced-ScorecardApproach is implemented to measure the performance of the entire Cluster of Excellence. With the annual implementation of the Balanced-Scorecard-Approach, crucial key performance indicators have been collected, compared and analysed for the strategic management of the Cluster of Excellence, to facilitate innovation activities through adequate measures. Keywords Scientific Networks · Management · Performance Measurement · Interdisciplinarity

1 Introduction Since 2006, huge financial investments in science have been made, due to the efforts of the German Federal Government, to promote excellent university institutions in Germany. The initiation and development of Clusters of Excellence were conducted in this context. Clusters of Excellence are scientific networks with heterogeneous partners of scientific institutions which follow a common vision. During the first

F. Welter (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

© 2010 All rights reserved. No part of the material protected by the copyright notice may be reproduced or utilized in any forms or by any means, including photocopying and recording, or by any information storage and retrieval system, without the written permission of The Business Review, Cambridge United States ISSN: 1553-5827. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_17

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five years of the funding period, each Cluster of Excellence was financed with approximately 40 million Euros. The case study of this paper analyzes the Cluster of Excellence “Tailor-Made Fuels from Biomass” (TMFB) at Rheinisch-Westfälische Technische Hochschule (RWTH) Aachen University, which follows a common vision of developing sustainable tailor-made biofuels for clean combustion. In this context, scientists from engineering, chemistry, biology and sociology work together to explore solutions using a holistic approach. The fact that such a heterogeneous consortium of 20 university institutions, two non-university research institutions, and nineteen scientific and industrial advisors needs to be managed with adequate networking measures has already been taken into account before the establishment of the TMFB in November of 2007. Hence, the organisational structure of the TMFB includes the Supplementary Cluster Activities to support networking activities among its participants, located regionally, as well as globally, to monitor and enhance the strategic development of the entire network. Due to their overall function within the Cluster of Excellence TMFB, Supplementary Cluster Activities are aimed at the efficient networking of scientific processes. Therefore, a conceptual framework has been developed, considering closer cooperation among single cluster projects and a closer connection and exchange between all Integrative Research Fields (IRFs) and Core Interaction Fields (CIFs). The IRFs and CIFs are the scientific pillars in the overall organisational structure of the Cluster of Excellence, the Fuel Design Center (cf. Fig. 1). The biggest challenge in facilitating cooperation in the TMFB lies in meeting the demands of the different specialists, like engineers, chemists and biologists, located in different scientific pillars of the research cluster. Only if this challenge is overcome, will the entire cluster performance and scientific output be improved [Sau05]. Because of this, the enhancement of the satisfaction of all employees within the network constitutes an important aspect conducted by the Supplementary Cluster Activities, as well as the

Fig. 1 The Fuel Design Center and the structure of the Supplementary Cluster Activities [Uni]

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initiation of the learning processes and knowledge management within the cluster by a continuous reflection of all networking activities. The Supplementary Cluster Activities approach consists of three main tasks: Knowledge Management and Dissemination, Personal Development and Benchmarking (cf. Fig. 1). The focus of the paper is on the Knowledge Management and Dissemination task, which contains the implementation of a cluster-specific Balanced-Scorecard-Approach. By explaining this approach in detail, the necessity of measuring the network performance shall become obvious for successful strategic cluster development.

2 Overview of the Supplementary Cluster Activities One of the three main tasks belonging to the Supplementary Cluster Activities deals with Benchmarking. Instead of the other main tasks, all managed by the Center for Learning and Knowledge Management and the Department of Information Management in Mechanical Engineering at RWTH Aachen University, the Öko-Institut e.V. – Institute for Applied Ecology in Germany, will economically and ecologically benchmark the newly developed methods of the TMFB, in comparison to the existing processes or such underdevelopment [Uni]. Another main task - Personal Development - is divided into the sub-tasks Education and Lifelong Learning, Promotion of Young Researchers and Promotion of Equal Opportunities (cf. Fig. 1). An aim of the main task of Personal Development is to enhance the interpersonal exchange and networking among the staff of the TMFB. Due to the fact that scientists from different institutes and departments collaborate within the Cluster of Excellence, it is very important for a successful cluster development to arrange opportunities to discuss, or present, achieved milestones regularly. Because of that, strategy workshops for professors and leading researchers, or colloquia, for research assistants and PhDs are conducted once a year to foster scientific networking activities. For example, the intention of the colloquia for research assistants is the definition of the IRF- and CIF-specific objectives by all participants, as well as the placement of each objective into the entire scientific process of the cluster. By conducting this step, the potential of synergies within the cluster become clarified. A subsequent presentation of the content of each IRF and CIF for all participants enables everybody to inform themselves about details and ask further questions. Apart from the scientific exchange and the social aspects – the goal of the fostering of socialising and networking among the employees of the cluster can be reached by the conduction of regular colloquia. This is especially important during the initial phase of the Cluster of Excellence where socialising is crucial, because the scientists become acquainted with each other. Thus one can state that in this phase of cluster development the basis for the trust and cooperation in the forthcoming cooperationphases is generated [Ahr04, ACM06, Sau05]. In the sub-task Education and Lifelong Learning, the Supplementary Cluster Activities are setting up an advanced training programme, consisting of seminars and workshops for the staff of the TMFB. This programme enables employees within

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the cluster to enhance their methodological, rhetorical and/or didactical skills. It supports this by the development of excellent scientific skills. Furthermore, not only are the contemporary employees of the TMFB in the focus of the Supplementary Cluster Activities, but also are potential scientists of the future. Due to this fact, a summer school for students interested in the scientific approach of the TMFB will be organised in the context of Promotion of Young Researchers by the staff of the Supplementary Cluster Activities in 2010. With the intention to recruit more young students for a scientific career in natural sciences and engineering sciences, this measure seems to be very promising and fits well into the future concept of RWTH Aachen University, aimed at the integration of more undergraduate students into research projects. The measure also underlines the growing importance of interdisciplinary research of natural sciences and engineering [Aac08]. In addition, a workshop has been organised in the context of the sub-task Promotion of Equal Opportunities to discuss the needs and possibilities of female researchers working within the Cluster of Excellence. With the input of the discussions of this workshop, a set of tailor-made measures will be developed for the promotion of female researchers. Furthermore, networking activities for the German national-project tasteMINT (funded by the German Federal Ministry of Education and Research) have been intensified by the Supplementary Cluster Activities, to reach more female pupils and inspire them into a career in engineering sciences or natural sciences. As a result, assessors for the MINT-subjects (Mathematics, Information Technology, Natural-Sciences and Technology) are educated within the TMFB, to introduce pupils into cluster-specific topics. Moreover, the presence of the representatives of the Supplementary Cluster Activities at the fair fam2008 (14th to 16th November 2008) and at the conference Going Diverse (29th to 30th November 2009) in Aachen, Germany, contributed to the further recruitment efforts of the TMFB among female researchers. To receive information about gender and diversity activities from other Clusters of Excellence at RWTH Aachen University, the contact to the gender representative of UMIC (Ultra High-Speed Mobile Information and Communication) has been strengthened, to share the best practices of both clusters in the future. The third of the three main tasks of the Supplementary Cluster Activities deals with the topic Knowledge Management and Dissemination. In reference to Dissemination, the Supplementary Cluster Activities initiated the conception and the design of a cluster-specific brochure for the TMFB in 2008. On the one hand, the brochure contributed to a general overview of the scientific approach of the entire cluster for every member of the TMFB. On the other hand, the brochure also contributed to a broader public perception in regard to further industrial or scientific partners interested in cooperating with the Cluster of Excellence. Concerning the sub-task Knowledge Management, an important step to a closer interdisciplinary connection of all scientific actors within the TMFB was realised by the implementation of the technical tool Knowledge Map in June 2009. The semantic web of the Knowledge Map enhances networking activities and simplifies the cluster-internal flow of information, because it connects project-specific information with associated information (e.g., personal contacts or published literature


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of the TMFB members). Hence, by using the web-based tool via the cluster-specific intranet, every participant of the TMFB has the possibility to fill in the Knowledge Map with personal content and information [BSHH06, SBH+06] Thereby, competences and responsibilities, as well as the cluster-specific scientific knowledge, can be shared and disseminated. Thus, the Knowledge-Map constitutes a tool in which the development of a “common language” [SGF03] of the entire network can be strengthened and cluster-internal synergies can be enhanced continually [HIO03] . The process of finding a common language in networks like the TMFB is a great challenge, because different scientific disciplines use different scientific terms and definitions. All these described measures are applied in the context of the Supplementary Cluster Activities to enhance the overall performance of the TMFB during the cluster’s runtime of five years. Moreover, product and process innovations were aspired as the scientific results of the entire interdisciplinary network with its overall vision to develop sustainable tailor-made biofuels for clean combustion. Thus, the scientific process to reach this vision is supported by the Supplementary Cluster Activities. During this process, the implementation of an adequate controlling tool is crucial to measure the performance (progress as well as stagnation) of different subprojects, as well as the level of the Cluster of Excellence. Hence, the implementation of a cluster-specific Balanced-Scorecard-Approach, which can monitor cluster performance to derive adequate new measures or adjust former measures, shall subsequently be explained.

3 Cluster Internal Performance Measurement Since the Cluster of Excellence TMFB constitutes a heterogeneous scientific network, publicly funded from 2007 to 2012, an adequate performance measurement system is needed to control the scientific output, personal development and the entire management strategy of the cluster. Because of that, the introduced Balanced-Scorecard-Approach in the TMFB enables the measurement of the key performance indicators of the entire Cluster of Excellence annually. The Balanced-Scorecard (BSC), developed in 1992 by Kaplan and Norton, constitutes a “performance measurement system” [KN92]. It was primarily created as a communication-, information- and learning-system within enterprises. Hence, the Balanced-Scorecard-Approach, implemented in the TMFB and specified to the needs of the cluster, tries to transfer the theory from classical corporate controlling to the controlling of highly complex, knowledge intensive networks, like the Cluster of Excellence. Due to the fact that the network of the TMFB is characterised by a completely other form of organisation and management than an enterprise, several modifications of the former BSC are necessary. A special character of networks affects the network-specific organisation of work, because cooperation within the networks is based upon the voluntary decision of each actor to take part in the network

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[AC04, Sau05]. Because of this, no strong hierarchical structures can be found within the networks in contrast to the stronger hierarchical structures in conventional enterprises. Therefore, choosing the right way of decision-making depicts an enormous challenge for cluster management, because decision-making cannot just be done in a simple top-down manner, but needs to be conducted in a step-by-step manner through discussions with all actors in the network. Concerning the TMFB, the willingness to lead a dialogue between the layer of the cluster management, leading professors and leading researchers on the one side and the layer of PhDs and research assistants on the other side, is crucial to build up the trust for a successful development of interdisciplinary cooperation. To initiate a dialogue between these two layers within the Cluster of Excellence, the Balanced-Scorecard-Approach is a promising tool, as it allows the definition of a common cluster vision, common targets and milestones [FS02]. In how far the vision and targets are fulfilled by all participants of the cluster, can be examined by the implementation of a Balanced-Scorecard-based survey among all members of the TMFB. The questions and corresponding figures of the survey are defined by the Supplementary Cluster Activities in cooperation with the executive board of the cluster during the initial phase of the TMFB and can be compared and re-designed, if necessary, for the purpose of control after each survey once a year. But how exactly is the Balanced-Scorecard-Approach implemented within the TMFB? First of all, it is necessary to define a common vision for the entire cluster, which can be described as the development of ‘tailor-made fuels from biomass for clean combustion’. This vision has to be communicated among all of the layers of the actors in the Cluster of Excellence, meaning that everybody has to adapt his or her scientific work to the defined common vision. In addition, the vision can be divided into several sub-targets and milestones, helping us to make the vision more measurable for all participants of the TMFB and allowing a cluster-specific control. In contrast to the classical controlling approach, which stresses the importance of hard (quantitative) financial figures, a BSC tries to include soft (qualitative) figures, like the cluster-internal learning atmosphere or the development of cooperation among the researchers [FS05]. This is an important reason for the implementation of a Balanced-Scorecard-Approach for the purpose of control within scientific networks, which cannot just be reduced to their financial outcome [Ahn03]. According to the primary BSC of Kaplan and Norton, the modified BalancedScorecard-Approach for the TMFB possesses four perspectives necessary to create sub-targets. Nevertheless, these four perspectives specify the needs of the TMFB, because they are not identical to the former perspectives named by Norton and Kaplan. The Financial Perspective remains an integral part of a modified BalancedScorecard-Approach, but the focus within this perspective is set on questions concerning the working time of the researchers within the TMFB. Another of the four perspectives is the Customer Perspective/Output. This perspective is important, because sub-targets are defined in it, including the needs of the customer. For instance the industry can be defined as a customer who is interested in innovative scientific results of the TMFB. But also the generation of positive effects by the existence of the cluster of excellence on the research location of Aachen, e.g., the image of RWTH Aachen University can be defined as a sub-target, and


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therefore, it can be a component of the Balanced-Scorecard-Approach. The third of the four perspectives of the BSC in the TMFB is constituted by the Internal Perspective/Research Cooperation. One of the aims of this perspective is the achievement of a strong and productive cooperation among the staff within the cluster. In addition, facilitating direct and indirect communication between all actors in the TMFB is a crucial sub-target of the Internal Perspective/Research Cooperation, because a lack of scientific exchange within the cluster limits the development of interdisciplinary scientific results. Finally, the promotion of all employees in the network of the TMFB – individuals, as well as groups of scientists - is a sub-target of the Learning and Development Perspective. Reaching a level of highly motivated scientists in the Cluster of Excellence constitutes a common goal which has to be controlled regularly, so that adequate adjustments can be introduced by cluster management, if they become necessary. The implementation of the Balanced-Scorecard-Approach in the TMFB can be visualised by an iteration loop of different steps run through once a year (cf. Fig. 2). With the intention to measure the performance of the network (step 1), the accomplishment of a web-based survey is a crucial part of the Balanced-Scorecard-based evaluation (step 2). Due to the fact that the web-based survey is executed among the layers of executive board, leading professors and leading researchers, as well as among the layer of PhDs and research assistants, comparable figures can be collected. Hence, an adequate statistical approach for the comparison of the figures depicts the calculation of the average values throughout the scaled answers. The range of the scaled answers varies from 1 = ‘positive answer’ up to 5 = ‘negative answer’. For the statistical analysis of the data (step 3) these two layers are important and necessary to compare the corresponding answers of each group. In addition

Fig. 2 Implementation of the Balanced-Scorecard-Approach in the TMFB (Center for Learning and Knowledge Management and Department of Information Management in Mechanical Engineering (ZLW/IMA) RWTH Aachen University)

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to the average values, the standard deviation of the respective answers has to be calculated to analyse the differences in the range of the given answers. Furthermore, qualitative remarks can be given by the participants, so that not only figures are collected through the survey, but also qualitative answers or suggestions. By doing so, on the one hand, differences among the answers between the two layers becomes obvious and, on the other hand, similarities and progress becomes clear [Jan03]. It seems obvious that a question, evaluated positively by both layers, is a worthwhile target, but the different evaluation of answers displays a need for action for the cluster management. Because of this, the reflection of all answers (step 4) is a significant task conducted by the representatives of the Supplementary Cluster Activities, together with the executive board of the TMFB. By reflecting on the development of the entire network, a process is initiated described by Kaplan and Norton as “double-loop-learning” [KN01a]. This means that management reconsiders decisions made in the past in the context of actual circumstances and the needs of the Cluster of Excellence. Furthermore, the identification of suitable measures, e.g., concerning the promotion of cooperation within the entire network or single groups of the network, is a very important step which follows after the reflection (step 5). With the implementation of the defined measures, the iteration loop is completed and a new one can follow to re-measure the performance of the network. The accomplishment of the iteration loops within the TMFB is planned every twelve months, so four loops can be accomplished during the five years of the project (first evaluation in 2009, last evaluation in 2012). An advantage of these four iterations is the possibility to compare the development of the answers nearly over the entire project period to promote the development of an ongoing strong interdisciplinary cooperation.

4 Results of the First Balanced Scorecard Approach Through the analysis of the answers of the first web-based survey, which constitutes a crucial step to measure the performance of the Cluster of Excellence, important insights concerning the status-quo and the further strategic development of the TMFB became obvious. Although participation in the first web-based survey was voluntary for all members of the cluster, a relatively high overall response rate of 66% was achieved between 2nd July 2009 and 29th July 2009. This response rate was positive and illustrated the successful implementation of the Balanced-Scorecard-Approach. Thus, 23 of 28 people (82%) took part among the representatives of the cluster management, leading professors and leading researchers, in comparison with 43 of 70 participants (61%) among the PhDs and research assistants.

4.1 Results of the Internal Perspective/Research Cooperation The analysis of the questions belonging to the Internal Perspective/Research Cooperation elucidated the ability to present the content and scientific line of


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argumentation of the entire Cluster of Excellence, as well as of the different subprojects of the cluster, was very high throughout all layers of participants. This illustrates that the vision and the sub-targets of the TMFB were communicated very well among all actors in the initial phase of the scientific network, an important achievement for the heterogeneous consortium of the TMFB. The internalisation of the common vision constitutes a crucial element of a cluster-internal Balanced-Scorecard-Approach, because just those visions and targets can be reflected each year, which are comprehended and accepted by all actors of the network [KN01b]. In spite of the internalised common vision of the TMFB, other results of the Internal Perspective/Research Cooperation illustrated that the flow of information within the Cluster of Excellence still needs to be enhanced. On the one hand, the established BSCW-Server used as a cluster-internal platform for communication and data was evaluated as being too slow and too static. Hence, a complement and more extensive use of the Knowledge Map by all actors of the network promise to augment a more dynamic flow of information within the TMFB. Additionally, the introduction of a newsletter has been considered by cluster management as a consequence of the first evaluation to provide actual information on all sub-projects of the entire network for all cluster members. Moreover, the necessity to foster face-to-face communication in the TMFB became evident in the questions concerning the quantity of the cluster- and sub-project meetings. For instance, the majority of PhDs and assistants would like to conduct a colloquium for research assistants more often than just once a year.

4.2 Results of the Learning and Development Perspective After the interpretation of the questions concerning the Learning and Development Perspective, one can underline the general atmosphere in the TMFB as perceived very positively by all participants of the first Balanced-Scorecard-based survey. This can be described as a crucial achievement for the initial phase of the heterogeneous network. Furthermore, the yearly International Workshop and the Thematic Workgroups of the cluster received an excellent evaluation, which accentuates the importance of these interdisciplinary activities, concerning cluster-internal learning processes, to optimise the entire scientific output. In contrast, a prevailing acceptance of reporting activities (e.g., the quarterly status report or the yearly report) could not be stated after the interpretation of the answers. Thus, some additional qualitative remarks of the participants illustrated that more time for scientific work is needed, instead of time invested in administrative activities like reporting. Another important aspect in the Learning and Development Perspective dealt with the introduction of an advanced training programme for the entire cluster. The corresponding remarks of this topic emphasised that some of the actors of the network demanded further training in scientific writing or presentations and communication skills, so that the organisation and development of adequate cluster-specific seminars can be intensified by the representatives of the Supplementary Cluster Activities within the TMFB.

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4.3 Results of the Customer Perspective/Output In regard to the Customer Perspective/Output, a couple of insights became clear. On the one hand, the majority of the respondents underlined that within the entire Cluster of Excellence, more research output is achieved than in 50 single research projects. This means that the basic intention of the scientific cluster concept is accepted. This can be evaluated as positive, because the researchers obviously profit from synergies based on close cooperation and regular interpersonal exchange. In addition, the foundation of the TMFB promoted the image of the entire research location of Aachen, so that a long term goal of the entire German excellence initiative, shaping RWTH Aachen University as a globally known excellent research location, became closer. Furthermore, the participants stated that other projects were initiated beyond the borders of the cluster. This can also be evaluated as a very positive output. On the other hand, the contacts to industrial partners should be improved after the interpretation of the Balanced-Scorecard results. Although a formal exchange already exists between the scientists of the TMFB and the Industrial Advisory Board, which constitutes an important part of the organisational structure of the Cluster of Excellence, an intensification of contacts to industrial partners is possible, e.g., in the form of special industrial working groups for single sub-projects.

4.4 Results of the Financial Perspective In reference to the division of working time within the TMFB, the results of the Financial Perspective elucidated that relatively high differences exist between the answers of the two layers of participants, although one has to stress that those differences all turned up on a positive level of answers. For instance, the layer of cluster management, leading professors and leading researchers, emphasised that the research assistants received enough temporal free space to fulfil their tasks within the Cluster of Excellence. In comparison, the evaluation among the PhDs and assistants was worse, but overall, it was still on a quite positive level. This fact can be described as a typical dilemma of manager-employee-relationships characterised by arguments of the respective group on each side of the dilemma.

5 Concluding Remarks The results of the first Balanced-Scorecard-based evaluation in the TMFB support the executive board of the Cluster of Excellence in its management decisions, and thus, the results are helpful for the strategic development of the entire network. On the one hand, the executive board considers adequate measures by interpreting the results of the Balanced-Scorecard-Approach together with professors, leading researchers and representatives of the Supplementary Cluster Activities. On the other hand, decisions on some measures are discussed together with all research assistants and PhDs of the Cluster of Excellence to avoid too many top-down decisions,


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which can hamper voluntary scientific cooperation based on trust. Due to the fact that evolving trust is crucial for successful cooperation within the cluster, the opportunity for bottom-up proposals and suggestions from research assistants should be considered as very important concerning decision-making [FE04]. In addition a bottom-up-approach positively influences the development of the entire Cluster of Excellence through highly motivated employees. In regard to the further scientific development of the TMFB, one can stress as a concluding result that the scientific cooperation among researchers is already on a good level, but it still has to be enhanced to become excellent , not only on the level of IRFs, but also on the level of the entire cluster. Concerning this, the creation of a common figure canvassing the holistic scientific processes in the TMFB has been initiated by cluster management and the representatives of the Supplementary Cluster Activities, so that each single research project can be aligned in this figure by its representatives. With the aim to generate a more detailed overview of clusterinternal scientific processes for all members of the cluster, the figure can be assessed as an integral part of visualising the entire scientific cooperation.

6 Summary The Supplementary Cluster Activities of the German Cluster of Excellence “TailorMade Fuels from Biomass” (TMFB) at RWTH Aachen University are responsible for different measures that support stronger cooperation between the researchers working within the cluster, as well as the strategic management of the entire network. The main tasks including the corresponding measures are titled with Benchmarking, Personal Development and Knowledge Management and Dissemination. This paper explained the range of activities conducted by the representatives of the Supplementary Cluster Activities. The focus lied on the implementation of a cluster-specific Balanced-Scorecard-Approach. To what extent modifications of the classical controlling tool are necessary to match the needs of the TMFB have been elucidated. Hence, the Balanced-Scorecard-Approach of the TMFB contains four perspectives, although the qualitative figures play a more decisive role for the controlling of the scientific network than in the primary controlling approach for enterprises. Furthermore, the implementation of the Balanced-Scorecard-Approach in the Cluster of Excellence can be visualised by an iteration loop with five steps, starting with a web-based survey among the staff of the cluster conducted once a year. With the collected answers from the survey, figures in the form of average values can be calculated, which constitutes comparable values to measure the performance of the entire cluster. An advantage of this approach is the fact that adequate measures can be defined after the analysis of these figures to foster the success and scientific output of the TMFB. The web-based survey tries to evaluate all implemented measures to determine problems and opportunities. Within the Cluster of Excellence, this web-based survey was a great success. Not only did a high percentage of research staff participate in the survey, but basic problems within the cluster and

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improvement suggestions became clear by the reflection of the results. One of these improvement suggestions is the generation of a common figure for the TMFB, in which every single project can be aligned as part of the entire scientific process. Moreover, the outcome of the survey illustrates that the majority of respondents believe that within the entire Cluster of Excellence, more research output is achieved than in 50 single projects. This illustrates the synergy effects caused by the structure of the cluster which focuses on interdisciplinary cooperation. This work was performed as part of the Cluster of Excellence “Tailor-Made Fuels from Biomass”, which is funded by the Excellence Initiative by the German federal and state governments to promote science and research at German universities.

References [Aac08]

RWTH Aachen University Rheinisch-Westfälische Technische Hochschule Aachen. RWTH Aachen im Exzellenzwettbewerb. September 2008. [AC04] A. Amin and P. Cohendet. Architectures of knowledge. Firms, capabilities, and communities. New York, 2004. [ACM06] B. Asheim, P. Cooke, and R. Martin. The rise of the cluster concept in regional analysis and policy: a critical assessment. In B. Asheim, P. Cooke, and R. Martin, editors, Clusters and regional development: Critical reflections and explorations, pages 1–29. New York, 2006. [Ahn03] H. Ahn. Effektivitäts- und Effizienzsicherung. Controlling-Konzept und BalancedScorecard. Frankfurt am Main, 2003. [Ahr04] D. Ahrens. Netzwerke: Von der Konfrontation zur Kooperation. In R. Oertel and F. Hees, editors, Das Netzwerk-Kompendium – Theorie und Praxis des Netzwerkmanagements, 1–8. 2004. [BSHH06] W. Backhaus, S. Sattari, F. Hees, and K. Henning. A Web-based Knowledge Map for integrating expert knowledge into higher education. In Conference Proceedings: 7th International Conference on Information Technology Based Higher Education & Training, Australia, Sydney, July 2006. [FE04] M. Fromhold-Eisebith and G. Eisebith. How to institutionalize innovative clusters? Comparing explicit top-down and implicit bottom-up approaches. Research Policy, special issue: Regionalization of Innovation Policy, 34(8):1250–1268, 2004. [FS02] H. R. Friedag and W. Schmidt. Balanced Scorecard – Mehr als ein Kennzahlensystem. Freiburg im Breisgau, 2002. [FS05] H. R. Friedag and W. Schmidt. Balanced Scorecard: Der aktuelle Stand nach 15 Jahren. Der Controlling Berater – Informationen, Instrumente, Praxisberichte, (7):433–458, 2005. www.rechnungswesen-office.de, downloaded 2009-05-22. [HIO03] K. Henning, I. Isenhardt, and R. Oertel. Wissen – Innovation – Netzwerke. Wege zur Zukunftsfähigkeit. 2003. [Jan03] C. Jansen. Scorecard für die Wissensmanagement-Performance in heterogenen Unternehmensnetzwerken. Fortschritt-Bericht VDI Reihe: 8: Meß- Steuerungs- und Regelungstechnik, 1024, 2003. [KN92] R. S. Kaplan and D. P. Norton. The Balanced Scorecard Measures That Drive Performance. Harvard Business Review, page 71–79, February 1992. [KN01a] R. S. Kaplan and D. P. Norton. Balanced Scorecard – Strategien erfolgreich umsetzen. Stuttgart, 2001. [KN01b] R. S. Kaplan and D. P. Norton. Die strategiefokussierte Organisation – Führen mit der Balanced Scorecard. Stuttgart, 2001.

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J. Sauer. Förderung von Innovationen in heterogenen Forschungsnetzwerken und Evaluation am Beispiel des BMBF-Leitprojektes SENEKA, volume 55 of Aachener Reihe Mensch und Technik. Mainz Verlag, 2005. [SBH+06] S. Sattari, W. Backhaus, K. Henning, E. Sjoer, N. Gronau, P. Pawlowsky, and M. Weber. The Web-based Knowledge Map - A Knowledge Management Tool for Preservation of Vital Expert Knowledge into Higher Education. In Mit Wissensmanagement besser im Wettbewerb! Tagungsband zur KnowTech 2006, pages 229–238, München, 2006. [SGF03] M. Schmette, E. Geiger, and M. Franssen. Phasenmodell für Netzwerke. In K. Henning, I. Isenhardt, and R. Oertel, editors, Wissen – Innovation – Netzwerke. Wege zur Zukunftsfähigkeit, page 65–71. 2003. [Uni] RWTH Aachen University, editor. Cluster of Excellence “Tailor-Made Fuels from Biomass”. Sample Proposal for the Establishment of Clusters of Excellence.

Part II

Next-generation teaching and learning concepts for universities and the economy

Application of Remote Technology to Electrical Power System Laboratories Saleh Al-Jufout, Sabina Jeschke, Abdullah Y. Al-Zoubi, Jarir Nsour, Olivier Pfeiffer

Abstract A prototype of a remote laboratory to conduct electrical power experiments over the internet has been developed to allow students to access the setup and perform measurement and analysis of typical electrical power experiments. The main goal of the paper is to provide a mean of resource sharing of expensive power equipment to students from other universities in Jordan and beyond in addition to students at Tafila Technical University, where the traditional electrical power systems laboratory is located. The design approach is based on modifying the existing traditional systems to facilitate remote access via the web. One typical experiment addressing synchronization procedure of two generators has been performed with a power system simulator. The data acquisition system and remote access of the power laboratory were designed based on the Lab-View programming language. Initial on students’ evaluation of the proposed online laboratory indicates that encouraging results may be obtained with remote experimentation when improved pedagogical aspects are integrated properly in the measurement procedures. Keywords Remote Experiments · Power Engineering · Engineering Education

1 Introduction Electrical power engineering ([WC99], [FKU+ 92]) is one the vital majors in higher educational system in Jordan. Power engineers are responsible for the establishment, operation and maintenance of the national power grid in addition to the interconnection with the neighbouring countries. The laboratory of power systems is one of the most decisive laboratories in this major. In some institutions, this laboratory is computer-based without any physical components while in others: it is based on small-scale separate physical components. The most modern electrical power system laboratory is an interconnected simulator composed of low-power S. Al-Jufout (B) Electrical Engineering Department, Tafila Technical University, P.O. Box (179), Tafila (66110), Jordan e-mail: [email protected] © [2009] EDULEARN09. Reprinted, with permission from EDULEARN09 Conference Proceedings. ISBN: 978-84-612-9802-0, IATED, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_18

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generating units, different types of transformers, busbars, overhead transmission lines, cables and different types of static and dynamic loads in addition to the protection systems of the individual components and the overall system. The diversity of this laboratory depends mainly on the allocated budget. Thus, modern comprehensive power system laboratory may only be found at very few universities throughout the Middle East. Modern technology enables the remote access to equipment via the internet ([SRAA05], [AAZB08]). This proves to be particularly valuable in the case of electrical power engineering education to enable students to access such expensive laboratory instruments and equipment and to conduct experiments remotely. A consortium of universities may be formed to share laboratory resources by distributing online experiments over a given semester amongst the respective modules thereby allowing greater numbers of students to perform experiments with minimum cost.

1.1 Remote Laboratories A common point of criticism of the academic education at universities is that it is too remote from reality: theoretical knowledge is taught by lecturers and memorized by students, although it is often not thoroughly understood and cannot be used in real life applications. Hence closing the gap between theoretical and practical knowledge and checking the outcome is a major goal of online examinations. On the one hand using remote experiments this theoretical knowledge can be advanced to reality, while on the other hand the connection between abstract concepts and concrete challenges can be quantified. One of the intellectual challenges is to understand the role of a physical theory, the role of a physical model and the role of an experiment. Often, these terms are intermixed, and the classical curriculum offering separates lectures for theoretical and purely experimental laboratory classes do not make it easier for students to really comprehend the relations. Experiments play a central role in natural and engineering sciences and Modern eLearning technology may bridge the gap between theory and practice. The integration of new media into teaching and research has led to two principle kinds: virtual laboratories and remote experiments. Remote laboratories particularly enhance access to experimental setups for all students independent of limitations in time, budget, or access to classical laboratories and — maybe even more important — make the measured data electronically available for further analysis, enabling the students to directly compare the prognoses from the model with the results of their own measurements. Thus, web-based education [GNR05] has furthered the field of traditional electrical engineering education ([GMP+ 03], [DMM06]). It has also changed the traditional teaching style in higher education. When digital computers as well as various software and hardware are used in laboratories and classrooms, they can provide much more effective and efficient ways in teaching and make many mathematics related engineering problems easier to understand ([TPA06], [MRA+ 05]). Remote experiments are real-world experiments, remotely controlled from anywhere outside the laboratory, at almost any given time. Remote experiments consist

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of two vital parts, namely the experiment itself, which is supposed to be conducted remotely, and the remote control mechanism. Remote experiments are capable of enhancing the access to “‘real”’ experimental techniques which are often extremely complex or cannot be transported and are therefore restricted to a rather small community of students and researchers [JPRS07]. Remote experiments and simulations are actively used in various experimental sciences; related training courses have also been explored in chemistry [MLPB04]. An example for electrical engineering is given in [WH05]. However, the relation between experiment and simulation is rarely stressed. The capability of remote access through the Internet allows the student a direct comparison of theory and model on one hand and experiment and physical reality on the other, without having to switch back and forth between library or Internet and the laboratory. An interesting and related setup is the remote experiment and virtual lab for wind tunnels developed by Esche et al. [JXG+ 06]. For a multitude of remote laboratories, National Instruments LabVIEW® is used to control the hardware and collect the experimental data. LabVIEW also possesses a convenient web-interface enabling the remote-experimenter to perform any necessary adjustments. In order to view and control the experiment, a freely available web browser plug-in has to be downloaded and installed. Due to the modular programming structure of LabVIEW®, remote experiments can easily be combined or extended [col].

2 Electrical Power Laboratory The electrical power system laboratory is fourth-year senior electrical engineering laboratory course at Tafila Technical University as well as other similar programs in a number of universities in Jordan. The laboratory draws on and correlates with the knowledge obtained by students from their sophomore electrical engineering courses such as electric circuits and power systems. Usually, all of the laboratory experiments in this course were based on traditional equipment, devices, methods and techniques for measurements, data recording and result analysis. This typically makes experiments time-consuming and inefficient, and therefore, greatly limits the effectiveness in the students’ understanding of fundamental concepts and theories from the hands-on experimentation. A pilot project is currently underway at the Department of Electrical Engineering, of Tafila Technical University, to implement remote experiments using its comprehensive TERCO® power system laboratory. This laboratory is composed of different interconnected cubicles such as the power plant module with high voltage busbars and outgoing lines, transmission lines and distribution module, receiving substation module with high voltage side and load module. A number of experiments, under normal as well as fault conditions, are usually conducted manually and may be modified to accommodate remote setups. These experiments include settings of field control parameters, turbine control rectifier

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parameters, start and stop ramps and checking AC and DC supplies, alarm indications, acknowledge and cancelling procedures, status indications of isolators and breakers. Differential relays can also be tested by resistive faults or trim faults caused inside the protective zones. In addition, load distribution can be varied using auxiliary transformers to keep the currents within certain limits and generator performance under steady state and dynamic conditions can be studied for different types of loads. Finally, the dynamic characteristics of a controller is examined and the characteristics of over-current and under-impedance starting elements can be obtained. One of the experiments that can be performed with TERCO® power system simulator is synchronizing two generators (c.f. Fig. 1a). Each generating unit is equipped with speed and voltage controllers to adjust the generator terminal voltage and frequency as shown in Fig. 1b. This experiment is usually performed by three students to achieve the conditions of synchronization (equality of the voltage magnitudes and frequencies, same phase sequence and angles): the first student adjusts the first generating unit controllers; the second adjusts the other generating unit controllers; while the third student monitors the measuring devices and selects the

(a) Generating Units Panels and Measuring Devices for Synchronizing Two Generating Units.

(b) Voltage and Frequency Controllers of a Generating Unit.

(c) Measuring Devices for Synchronizing Two Generating Units

(d) Measuring Devices for Synchronized Two Generating Units.

Fig. 1 Building a Project on LabVIEW PDA Module


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suitable moment for connecting the two generators to a common busbars. The power system simulator is provided with dual voltmeter and frequency-meter that measure and compare the voltages and frequencies at both sides of the circuit-breaker through which the connection will be performed. Rotating three-light-bulbs are provided to check the phase sequence. These bulbs are connected between the phases of the two generators. If the phase sequence is the same, the bulbs will bright and dark in a rotating manner, but if the phase sequence is wrong; they will get bright and dark together. A synchroscope is provided to the check the voltage phase difference as shown in Fig. 1c. The light in the synchroscope rotates clockwise or counter clockwise depending on which generator has a higher frequency. When the light reaches the top green area, this means that the two generators are in phase (cf. Fig. 1d).

3 Remote Power Laboratory Remote laboratories deal with performing real laboratory experiments remotely via the Internet to help develop and implement new technologies enabling students to access real laboratory setups situated either in a central location on campus or distributed over several remote areas. The actual hardware is usually composed of basic data acquisition and control board with a digital I/O port, an analogue input module, and an analogue output module. The digital I/O lines are used to control the experimental setup under test. A video camera can continuously display the experiment activities on the remote user’s screen if real-time viewing is necessary. Once students have been provided with their username and password, they can log on into the URL address of the experiment remotely via their web browser. If a student is not a registered, the system will ask her/him to register for the lab before accessing and performing the experiment and keep this login data for future use. A student’s unique key-login name is checked against a database of students’ list. After logging in to the laboratory server the student can choose an experiment from the list of experiments to perform. When starting the experiment the student remotely takes over control of the hardware in the laboratory and is able to manipulate input values. The hardware, then, acts upon the input parameter and generates the same results as if the student was actually sitting at the control panels. The results are finally collected by the local host computer and sent back to the student’s computer. The student can rerun and submit different values to the experiment as many times as desired. Once satisfied, results are submitted for grading [col]. Remote technology thus facilitates the theoretical-practical comprehension of the subject and students feel more motivated when controlling the experiments according to their own devises and initiatives, they select their own schedule and program of their practices. It also allows the lecturer to contact the students in an autonomous way and include the control of an experiment in a theoretical class. It reduces the number of groups in practical lessons and allows the lecturer to set up a system in remote control.

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Fig. 2 Remote Power Laboratory Architecture

The application of interest here is to connect two generators in parallel. The main part of the paper focuses on the understanding benefits, procedures, conditions of synchronization and power flow for proper generators connections. The solution implemented in this work follows the architecture shown in Fig. 2. Students can access the power laboratory, from the classroom via local area network (LAN) or from anywhere beyond campus limits via the internet. A dedicated server hosts the virtual instruments (VIs), programmed in LabVIEW programming language to remotely control the experiments. The procedure of the application is generating two sine waves by determining the speed of rotation of the prime mover (rpm) and voltage parameter values for the two generators. For each parameter there are two controllers: coarse and fine, to determine accurate values. The value of rpm parameter must be 1500 since the generator is of four poles and the frequency is 50 Hz, and it is divided by 30 to determine the frequency of the sine wave signal. On the other hand, the value of voltage must be around 230 V and it is multiplied by 1.414 to determine the amplitude of sine wave signal. The rpm and the voltage values of the first generator are compared with those of the second one, and if there are equal and in phase the light is on, and then the user can switch on the circuit as shown in Fig. 3. In the front panel, the student can set the value of rpm parameter of the first generator using the coarse and the fine knobs, and then can watch the value on the indicator beside the knobs. The student can then set the voltage using other coarse and fine knobs, and watch the value on the other indicator, and set these the values for the second generator unit. The student’s goal is to achieve the equality by controlling the previous knobs; at the same time he must watch the scope to find the point when the two sine waves are in phase. When the conditions of synchronization are met, the green LED is on. In the study case the conditions are met when both the speed of the prime mover and voltage values for the two generators are equal with values corresponding to


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Fig. 3 Block Diagram for the Remote Lab LabVIEW Program

Fig. 4 Controlling and Measuring Devices on LabVIEW

1500 rpm and 230 V respectively. The last condition for synchronizing that is the two phases for the signals are equal too, as shown in Fig. 4. In the figure the student can observe both Generating Unit 1 and 2 and adjust all knobs until all the matching conditions lead to a completely synchronized system. This way, we have a system that is being run in real-time with the possibility to access the equipment directly providing the students with an environment that mimics the actual one. In cases where real measurements are required rather than just controlling equipment, the measured data can be made available through the LabVIEW program e.g. in the format of an excel-sheet, for further analysis, enabling

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the students to directly compare the prognoses from the model with the results of their own measurements. In this context further experiments are being carried out to see how students perceive this remote lab technology, particularly with a laboratory such as the power lab, where sharing of high power, heavy and expensive equipment is of paramount importance. This remote laboratory is to be integrated in the final examination of the lecture giving an opportunity to verify whether the theoretical knowledge from the lecture has been transferred to practical knowledge that can be applied to a real world scenario by the students.

4 Conclusions A prototype electrical remote laboratory consisting of a number of experiments, connected to a dedicated server, was developed at Tafila Technical University to enable students to access experiments via the internet. The remote lab was designed using LabVIEW and published to a university web-site. Student clients were able to access the remote laboratory using the internet. Further experiments are being conducted to study the perception of students of this remote lab technology, as related to the integration of new curricula into power engineering programs. The project’s long term objective is to become a hub for other universities in Jordan and the region to utilize its facilities through conducting a multitude or remote lab experiments. The project should in the end give a glimpse onto the future advancement of educational power engineering systems worldwide as we are approaching a new revolutionary age of advanced technology.

References [AAZB08]

Michael Auer, A. Y Al-Zoubi, Danilo Garbi Zutin, and Hatem Bakhiet. Design of Application-Specific Integrated Circuits for Implementation in a Network of Remote Labs. In Proceedings of the 2008 ASEE Annual Conference and Exposition, 22-25 June 2008, Pittsburgh, Pennsylvania, USA, June 2008. [col] A collection of remote experiments from the Institute of Solid State Physics (the “Remote Farm”). http://remote.physik.tu-berlin.de/farm/index.php?id=14&L=1. [DMM06] Zoe Doulgeri, Tilemachos Matiakis, and Student Member. A web telerobotic system to teach industrial robot path planning and control. IEEE Transactions on Education, 49(2):263–270, 2006. [FKU+ 92] A. Fitzgerald, Charles Kingsley, Stephen Umans, A. E. Fitzgerald, Charles Kingsley Jr., and Stephen Umans. Electric Machinery. McGraw-Hill Science/Engineering/Math, 1992. [GMP+ 03] E. Guimaraes, A. Maffeis, J. Pereira, B. Russo, E. Cardozo, M. Bergerman, and M.F. Magalhaes. REAL: A virtual laboratory for mobile robot experiments. Education, IEEE Transactions on, 46(1):37–42, 2003. [GNR05] D. Gillet, A. V Nguyen Ngoc, and Y. Rekik. Collaborative Web-based Experimentation in Flexible Engineering Education. IEEE Transactions on Education, 48(4): 696–704, 2005. [JPRS07] Sabina Jeschke, Olivier Pfeiffer, Thomas Richter, and Harald Scheel. On Remote and Virtual Experiments in eLearning in Statistical Mechanics and Thermodynamics. In Proceedings of the 2007 ASEE Annual Conference, Honolulu, HI, 2007.

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Ruiqing Jia, Shanjun Xu, Songyun Gao, EL-Sayed Aziz, and Sven Esche. A Virtual Laboratory on Fluid Mechanics. In Proceedings of the 2006 ASEE Annual Conference: Conference CD, ASEE, Chicago, 2006. [MLPB04] R. Moros, F. Luft, H. Papp, and W. Bailey. VIPRATECH - Das online verfügbare Praktikum Technische Chemie. In Jantke Fähnrich, editor, Von e-Learning bis e-Payment 2004, Tagungsband LIT 2004, pages 332–328. Akad. Verlagsgesellschaft Aka GmbH, Berlin, 2004. [MRA+ 05] F.J.F. Martin, J.C.C. Rodriguez, J.C.A. Anton, J.C.V. Perez, C.B. Viejo, and M.G. Vega. An Electronic Instrumentation Design Project for Computer Engineering Students. Education, IEEE Transactions on, 48(3):472–481, 2005. [SRAA05] S.C. Sivakumar, W. Robertson, M. Artimy, and N. Aslam. A web-based remote interactive laboratory for Internetworking education. Education, IEEE Transactions on, 48(4):586–598, 2005. [TPA06] C.S. Tzafestas, N. Palaiologou, and M. Alifragis. Virtual and remote robotic laboratory: comparative experimental evaluation. Education, IEEE Transactions on, 49(3):360–369, August 2006. [WC99] B. M. Weedy and B. J. Cory. Electric Power Systems, 4th Edition. John Wiley, 1999. [WH05] H.D. Wuttke and K. Henke. In Jantke Fähnrich, editor, Von e-Learning bis e-Payment 2004, Tagungsband LIT 2005, pages 481–490. Akad. Verlagsgesellschaft Aka GmbH, Berlin, 2005.

Environments for Work and Learning 2020 Steps to the sustained preservation of an economic location Stefan Brall, Ursula Bach, Frank Hees

Abstract This paper highlights the challenges environments have to face in the field of work and learning up to the year 2020. Therefore, the paper shows the results of the questionnaire “The Future of Work and Learning” from 2008. The results demonstrate that the work and learning environments are affected by a huge number of dilemmas which must be reduced on a continuous basis. This ongoing process requires that the individual and the organization have the permanent ability to change. To preserve Germany as a business location it is necessary to step into dialog with international partners and review changes and innovative solutions. This paper shows the German project “International Monitoring” as an example. The overall objective of the project is to establish a continuous International Monitoring. Through observation, networking and dialogue a national and international opinion leadership in the field of innovative ability is aimed to be achieved in order to keep Germany and Europe globally competitive in the long run. Keywords Working Environments · Learning Environments · Future Studies · international Monitoring

1 Introduction “Germany. Country of Ideas.” This is the slogan that the German government has coined in 2006. An essential condition for the lasting implementation of this motto is the preservation or expansion of Germany’s innovative ability, with respect to its economic position within the European Union. Thus, the question of relevance is to what extent balancing out existing and future global dilemmas (for example social stability versus economic flexibility in the context of the subject “work, learning, and competence development”) will succeed. Within the scope of the “International Monitoring” project S. Brall (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected] Originally published in “Proceedings of the 6th International Conference on Researching Work and Learning”, © Roskilde University, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_19

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(IMO - www.internationalmonitoring.com), as a starting point for the investigation, twelve conflict areas were compiled on the basis of the national research program “Working, Learning, Developing Skills. Innovative Ability in a Modern Work Environment” (Fig. 1). The research program addresses these dilemmas as an aspect of future research on work and innovation. This is why one purpose of the “International Monitoring” project is to deal with structuring the current areas of conflict determined in the program; another purpose is to identify and assess them in a national and international context. To this end, dilemmas are systematically identified, analyzed and structured, while new trends are investigated and processed for the target audience in the context of the program. Consequently, the monitoring activities are divided into four components: 1. Exploration: The international explorative study starts off the monitoring activities. By using open questions, the study establishes topics, problem areas and pressing research issues in the field. The answers mirror the diversity of the program and show the challenge spectrum for the coming years. Besides the current research program, the results of the explorative study also determine the starting points for further international analyses. The topic clusters derived from the answers mirror the range of the field and clarify the diversity of today’s research work and that of the future.

Fig. 1 Areas of conflict denominated in the current research program (Dilemmas)

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2. Observation: By means of monitoring and exploration, the topical field of working, learning, competence development and innovative ability is rendered accessible. The analysis of all relevant sources, whether documents from the worldwide web or printed publications, can give some insight into trends and problem areas. The contents can then be presorted regarding various criteria for further analysis. On the one hand, automated monitoring facilitates finding relevant texts, and on the other hand it permits a first evaluation of the scanned data inventory. 3. Analysis: The core of the monitoring analyses looks at central focal points. First, qualitative analyses in the form of interviews or structured group questionnaires are utilized, and second, qualitative statements are verified in a quantitative manner. The central focal points are derived from the explorative study at the beginning of the project or from the automated analyses carried out in the course of the project. The results of the analyses, again, serve as foundations for further focal points ([VV09], [Bry09], [PI09]) and monitoring. 4. Combination: The result of automated monitoring and observation of focal points is the derivation of recommendations for further action. These are meant to be foundations for political decisions concerning topics of the project and thus need a strict evaluation carried out by an interdisciplinary and international group of evaluators. To this end, the results, but also the recommendations determined through monitoring and other areas of work, are verified in focus groups (e.g. by Delphi questionnaires) and thus placed on a broad basis for decision making. In the project, application of traditional scientific methods of monitoring is complemented by a dialog component. On a national level, conferences with researchers and practitioners are organized to discuss trends, best practice, research gaps and recommendations for action. But nonetheless the external view of Germany is a particularly essential component in the dialog. The International Panel of the project, for instance, discusses and assesses German practice and results of meta-trend analyses on a joint interdisciplinary level. Here, strengths, weaknesses, chances and risks to Germany as an economic venue are identified from an international perspective for the entire duration of the project, and with respect to that, appropriate action recommendations are made for Germany.

2 Research Method The questionnaire was applied as an explorative study, starting off an entire series of investigations accompanying the research program. With the help of the answers provided by experts, the conflict areas described in the research program are to be assessed, their actual significance determined on the basis of today’s research activities and, through denomination of future research requirements, additional demands for action are indicated. For this reason, and in order to exploit the research field

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in width, the main focus was placed on answers obtained through open questions. Hence, the main questions were: - Which subjects in the area of “Working, Learning, Developing Skills. Innovative Ability in a Modern Work Environment” currently influence your work? Which problem fields/challenges in the area of “Working, Learning, Developing Skills, Innovative Ability in a Modern Work Environment” are especially pressing today? - Which research gaps in the area of “Working, Learning, Developing Skills. Innovative Ability in a Modern Work Environment” do you consider to be relevant in the coming years? - How do you assess the relevance of these conflict areas with respect to the creation of work and learning processes during the next ten years? Do you see additional areas of conflict which will become important in these ten years? The survey was carried out online to guarantee worldwide accessibility. An invitation to participate was sent via email to a total of 1100 experts worldwide. The questionnaire was accessible from January to May, 2008, and available both in German and English. From altogether 214 returns, 140 questionnaires were filled out completely. The majority of participants came from Europe, 54 of them from Germany. In addition to the questionnaires, 18 in-depth interviews were carried out with the assistance of national experts. The majority of participants came from the field of Science.

3 Findings and Discussion 3.1 Introduction The program “Working, Learning, Developing Skills. Innovative Ability in a Modern Work Environment” addresses the dilemmas described in the introduction (chapter 1) as subjects of future work and innovation research. The questionnaire asked participants to assess the significance of the conflict areas both in their own country and on a global scale (chapter 3.2) and to determine other conflict areas of importance (chapter 3.3).

3.2 Assessment of the areas of conflict The relevance of the described areas of conflict was confirmed by the interviewees. Dissimilarities in assessing their relevance are mostly resulting from different perceptions of their relevance for Germany or from different points of view concerning global developments. Looking at Germany, the closely related areas of conflict “long-term strategies short-term profit expectations” and “social stability - economic flexibility” have


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Fig. 2 Evaluation of the areas of conflict [BHS09]

been judged as particularly relevant. The conflict areas “competition - cooperation” and “globalization - regionalization” were regarded as less relevant, especially compared to their assessment when viewed in a global context (Fig. 2).

3.3 Naming other Areas of Conflict In addition, the questionnaire includes other areas of conflict which are presently deemed relevant from the perspective of the interviewees (Fig. 3). The most frequent choices dealt with the gap between the rich and the poor and closely related aspects of achieving employability. Another conflict area concerns the balance between standardization on the one hand and creativity and flexibility on the other. Also, participants remarked on the reliability of political conditions under which entrepreneurial action is to take place. The demographic change in its different facets remains a persistent phenomenon. The question of the integration of migrants is introduced from two different perspectives: On the one hand from the vantage point of demographic change and demands for highly qualified staff, and on the other hand from the perspective of countries suffering from Brain drain. The questions of specialization versus the demand for a wide competence basis are regarded as central topics against the background of innovation development and knowledge transfer. Apart from the already mentioned areas of conflict, several others were brought up; these however were suggested by less than five people each: - Individual responsibility for learning - Social responsibility for learning, Social responsibility - Individualism,

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Fig. 3 Further areas of conflict from the survey [BHS09]

- Rising work density - Staff reduction, - Employees - Management, and - Demand for personnel - Unemployment/Retirement (Fig.4)

3.4 A New Dilemma In the following section, the seven most frequently indicated areas of conflict are characterized more specifically based on the answers given by the interviewees. Wealth - Poverty The survey participants continue to see wealth and poverty as a conflict area which will increase in importance in the next ten years. Especially the increasing social gap between rich and poor - and thus being privileged or unprivileged - is recognized as a conflict area. With the increase of educational costs, the access to education for poor people is limited even further. As a consequence, this will lead to the impoverishment of larger social groups and the increase of precarious work arrangements such as short-shifting and contingent work, coerced or feigned self-employment and so forth. This, too, is part of the Wealth - Poverty dilemma. Employability - Lack of Skills and Educational Training According to the interviewees, rigid education policies combined with educational selection stand against the demand for competent and specialized employees. In analogy to the social gap mentioned above, interviewees see society splitting into educated and uneducated milieus, this often being determined by the educational level of the parents: if parents have a high level of education this usually results in


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Fig. 4 Areas of conflict established after the survey [BHS09]

good educational opportunities for their children. Contrary to this, if children come from less educated families their access to education is a lot more limited. Standardization - Flexibilization While employees expect the greatest possible flexibility and businesses become more adaptable when co-operating with one another the desire for security and efficiency by means of suitable standardization continues. This dilemma appears in both micro- and macroeconomic connections. The question here is how to mate the desired creativity to business schedules and procedures, and how to reconcile innovation-conducive freedom with increasing control. This dilemma brings up another question, namely that of stiff organizational structures in general versus open or dynamic streams of information. Political Stability- Political Flexibility The problem of political stability, in contrast to the flexibility issue, does not only affect economic areas. We also have to look at the general disenchantment with politics stemming from a deficiency in reliability of politics. Daily changing political maxims, especially in education policy, are no rarity. Rather than developing long-term future perspectives, politics rather tend to ballyhoo a new dog-and-pony show after each published comparative study. What we need instead is solutions

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in the educational area which allow for a lasting learning effect and consequently foster employability. Demographic change This conflict area cannot be characterized by a mere comparison of two terms like “old versus young”. It rather describes an area that was often investigated and examined, but where few tangible actions were taken. The survey participants identified the main areas of conflict in the field of demographic change: the protection of employability for older employees, and social security where the so-called “generation contract” faces hard challenges. Also, ageing employees require new, or rather, different work arrangements concerning Work-Life-Balance. Additionally, with regard to the ageing population and large parts of society becoming “overaged”, the question of the “international competitive advantage in knowledge matters” comes up. Integration - Migration The dilemma in the field of integration and migration remains virulent. The fact that Germany needs migrants meanwhile is a proven and at least academically accepted fact. But the debate on migration should not be based exclusively on “utility values” and the international competition for highly skilled personnel. Germany as a destination country for immigration must also provide integration opportunities for lower educated immigrants. Opening and expanding the existing education systems would be one way to solve the integration problem. Specialist - Generalist The Specialist - Generalist conflict area is characterized by the necessity for high specialization and the concurrent need for extensive knowledge. In addition, the ability to integrate different fields of knowledge will become ever more important. The so-called future technologies - Micro-, Nano- and Biotechnology, as well as medical technology - require both interdisciplinary collaboration competence and extensive specialization. The opposition of theoretician and practitioner, as well as that of specialist and generalist, is dissolved due to the need to control both sides of the matter.

4 Conclusion The dilemmas described in this paper show that various efforts must be undertaken in order to sustainably secure the long-term protection of Germany as a business venue. In this process, work and learning will have to change radically. The consuetudinary separation of both areas will disappear over time, leading to lifelong learning in the course of work. Without continuous knowledge actualization and advancement, which also encompasses “unlearning” certain aspects [Hen09], individual employability, while growing in importance due to the demographic changes in Europe, cannot be maintained. Having an adaptable approach when exposed to dynamism and complexity is the key to cope with today’s tumultuous environments ([HHH09],


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Fig. 5 Reduction of Dilemmas

[HHBH09]). The challenges described by present dilemmas require not only permanent individual transitions, but also continuous transitions on organizational levels as new areas of conflict will certainly emerge or increase in importance. (Fig. 5). It is impossible to meet current and future challenges on one’s own; they can only be overcome in networks and in dialog with other cultures and other perceptions. This is why international dialog is an essential component of the “International Monitoring” project. Only by active integration of a critical external view can Germany adopt a leading role in the creation of innovative work and learning processes and actively transfer these experiences back into the network.

References [BHS09]

S. Brall, F. Hees, and S. Sparschuh. Future of Work and Learning. Explorative Study within the BMBF Project “International Monitoring”. RWTH Aachen University, Aachen (in print), 2009. [Bry09] J. Bryson. Hybrid manufacturing systems & hybrid products. Trend Study within the BMBF Project “International Monitoring”. RWTH Aachen University, Aachen (in print), 2009. [Hen09] K. Henning. Innovation Champions. In Methods and Tools of Industrial Engineering and Ergonomics. Heidelberg, 2009. Schlick, C. (Hrsg.). [HHBH09] K. Henning, F. Hees, U Bach, and A. Hansen. Yes, we can! Warum Deutschland den Kopf nicht in den Sand stecken sollte. In Festschrift Gerhard Ernst ”Arbeits- und Dienstleistungsforschung als Innovationstreiber”. Stuttgart, 2009. [HHH09] A. Hansen, F. Hees, and K. Henning. Surfing Dynaxity! Entwicklungen und Trends in einer glo-balisierten Arbeitswelt aus Sicht des Internationalen Monitoring. In BMBFTagungsband zum zweiten Zukunftsforum ”Arbeiten, Lernen, Kompetenzen entwickeln“, Berlin (in print), 2009. [PI09] F. Piller and C. Ihl. Open Innovation with Customers. Foundations, Competences and Interna-tional Trends. Trend Study within the BMBF Project “International Monitoring”. RWTH Aachen University, Aachen (in print), 2009. [VV09] W. Veen and B. Vrakking. Homo Zappiens and his consequences for learning, working and social life. Trend Study within the BMBF Project “International Monitoring”. RWTH Aachen University, Aachen (in print), 2009.

Developing a PBL-based Rescue Robotics Course Frank Hees, Sabina Jeschke, Nicole Natho, Olivier Pfeiffer

Abstract Problem-based learning (PBL) denotes self-determined learning and learning through discovery, activity-based education, interdisciplinary education, and self-assessment. The participants in problem based learning courses learn to analyze a subject or a problem with minimal guidance by their teacher or rather their facilitator of learning. Students find and use the suitable sources of information by themselves, and finally, compare, select and convert the results. The essential highlight of the PBL approach is the examination of authentic (real life) and complex subjects. The origin of the PBL lies in application-based technical engineering subjects and later in medical education. Robotics education is perfectly suited for the application of PBL-scenarios as robotics combines a multitude of technological disciplines (ranging from computer sciences, software engineering, artificial intelligence, electrical engineering up to technology design) and its ubiquitous popularity with a variety soft skills (team skills, complex problem-solving strategies, etc.), required in the development process. The popularity of robots can be easily deduced from the large number of robotic heroes in literature and movies. Thus, robotics is ideally suited as a model project-oriented course of combining communication skills, development of strategies to solve complex interdisciplinary challenges, and different concepts of softand hardware engineering. Among the wide range of robotics applications, one field of particular importance is the field of “Rescue Robots”. Here, robots are developed that operate in catastrophe-scenarios, e.g. earthquakes or fires. Based on the data obtained from their various sensors (video cameras, infrared sensors, laser scanner and gas sensors), these robots have to manage their tasks autonomously in catastrophe-based scenarios. This comprises detection, rescue, and aid for victims should the situation arise. In order to fulfill these complex tasks, development of basic skills such as exact movements on unstable bedrock, field mapping, positioning and communication in weakly structured environments is necessary. Besides the construction F. Hees (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

Originally published in “Proceedings of the First Kuwait e-Systems and e-Services Conference”, © ACM, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_20

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of preferably all-terrain and robust robots, the improvement of innovative analysis procedures for complex sensor data is another focus of development. In addition, conception and realization of novel man-machine-interfaces come to the fore in order to support the operators of robots with their exhausting control tasks. Integrated in the “RoboCup”, the “Rescue-Robot League” clarifies the intensified orientation of the “RoboCup initiative” on real life applications. Another hint that rescue robotics represents a ideal playground for PBL scenarios in academic education. Beyond that, robotics is increasing the number of female students in the natural sciences and engineering. It has the potential of attracting girls and young females at their respective levels education by illustrating their own potential in a playful experimental setting. Independent design and construction of robots demonstrates the importance of creativity and social relevance, giving young women more confidence in their technical and scientific skills, facts affecting young women’s choice of degree. Keywords PBL · Robotics · Academic Education

1 Introduction The deployment of robots in disaster has received increasing attention in robotics research since the first suggestions in the aftermath of the Hanji-Awaji earthquake in Kobe, 1995, and the bombing of the Murrah federal building in Oklahoma City in the same year [Dav02]. Since then, robots have actually participated in 7 disaster, starting with the attack on the World Trade Center, New York City, USA in 2001 [Mur04]. While the success of the robots varied from scenario to scenario, due mostly to unforeseen challenges in locomotion and control of the specific systems, they proved that robots should and will play a growing role in future search and rescue (SAR) operations. As there are strong indications of global warming and the subsequent climate change increasing the chances of natural disasters [vA06, oCC07], the scenario of disaster response and relief has a strong social impact and relevance. Public awareness of the problem is high, providing excellent motivation for using such scenarios as the basis of problems in a PBL course. At the same time, the requirements placed on robotic systems deployed in such scenarios are both unique and technologically demanding. As a result, SAR robots are ideally suited to demonstrating the complexity of robot design, construction and control in a PBL course. The simple problem of navigating a robot within a collapsed structure alone leads to topics ranging from robust locomotive systems that will not get damaged on the extremely rough and uneven surfaces, cybernetics for precise control of the movement under such conditions, control as wireless remote control by a human operator may be blocked through steel components within the structure itself while fiber-optics cables might snatch and tear as the system moves through tight confines. In addition to the wide range

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of robotic-related topics that may be introduced in the course of these scenarios, the unpredictable and ever-changing situations faced in rescue operations are ideally suited to train problem solving and decision finding skills.

1.1 Tasks in Search and Rescue The complexity and cost of a more flexible general purpose design result in SAR robots usually being designed to fulfill one or several specific task [MTN+08]: • Reconnaissance and Mapping: Disasters, both man-made (industrial accidents, attacks) and natural can drastically alter the layout of even well known areas or change the existing infrastructure and access options. Reconnaissance and mapping is meant to provide general information about the situation and a general geographical and topological layout of the stricken area, usually sacrificing minute detail in favor of quick overall coverage. • Search: In difference to reconnaissance, search is meant to provide detailed information about less accessible and often far smaller areas (collapsed buildings, landslides, flooded structures) for specific purposes, such as localizing persons, objects or specific situations (such as hazards). While speed is less of an issue, thoroughness and a minimal foot print to prevent additional damage may be essential. . • Structural Inspection: Most rescue operations require direct human intervention at some point. To ensure their safety close up sensor-data of the structural integrity of a damaged or collapsed structure is required before further access by rescue teams, both robots and humans, is possible. This task places high demands on sensor capabilities as well as maneuverability within the tight and confined spaces that can be expected. • Rubble and obstacle removal: Access to buried persons or hazardous situations often requires the removal of obstacles or the stabilization of badly damaged areas that resulted from the disaster. The manipulation of these objects requires more raw power than finesse combined with smallest possible size and foot print. • In situ medical assessment and intervention: Experience from the Oklahoma City bombing has shown the need of providing quick medical access to persons trapped within collapsed structures [BDM95], even before human rescuers can safely reach them. Robots can be used to reach these persons and provide diagnostic sensor data, a direct, usually verbal, channel of communication between victim and medical personal and transportation capacities for medical supplies or even life support. • Medically sensitive extrication and evacuation of casualties: Certain hazardous situations, such as the hot spots of radiological, chemical or biological disasters require the evacuation of victims without the possibility of more direct human intervention or beyond the capacity of humans operating in bulky and heavy protective gear.

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• Mobile beacon or repeater: Robots can be used to form ad-hoc sensor and communication networks to enable or extend the range of all data traffic between the inside and outside of a disaster area. • On-Site surrogate for off-site specialists: Robots can be used to provide remote sensing, communication and manipulative capabilities to off-site specialists in support of on-site teams. The robot “acts as the body” for a remote controller, enabling the quick contribution of additional specialists, even in several different locations at once. Each of these tasks can be the basis of another task in the list, leading to a natural succession of problems ideally suited to a PBL course with subsequent tasks often requiring refinement in the skills and knowledge necessary. Reconnaissance and mapping might lead to the discovery of buildings destroyed in a landslide, requiring the search for survivors within these buildings. In consequence, the problem of best suited motive systems progresses, as reconnaissance can be performed from the air or surface, with relatively low demands on control and robustness of the drive system, while search will require entering into confined, rugged and hard to predict terrain, posing more challenging requirements. Search might result in the demand for structural inspection as a victim might be trapped in an unsound area of a structure and so on.

2 Related Work Under Socrates it was familiar that a priori ignoramus gains access to gradual solutions of complex problems by starting from questions. In nowadays’ knowledge and information society, this skill is of essential interest. To educate and therefore to improve this skill, a new style of teaching was developed in the seventies by Howard Barrows et al [BT80] called “Problem-based learning (PBL)”. He designed a problem-oriented curriculum for medical students on the basis of the ideas of David Boud [BF98] and John Dewey [Dew16], and this idea is used in several technical disciplines of today. The objective of PBL is the improvement of skills of acting by using problems that were designed to be real-world questions for a motivating workflow, and to impart social, technical and methodical skills. A further important characteristic is the basic attitude towards learning: learner and educator are equivalent persons regarding technical knowledge and behavioral role. According to Barrows [Bar96] a PBL curriculum has the following characteristics: • • • • • •

student-centered education, teachers are instructors, small student groups, problems form the organizing focus and stimulus for learning, problems are a vehicle for the development of problem-solving skills. new information is acquired through self-directed learning.


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A problem-based curriculum is designed to develop the ability of solving problems. Operationalization of learning targets takes place via key skills, and not as in traditional teaching methods in form of knowledge snippets. According to Weber [Web04], the following key skills are important in a PBL curriculum: • • • • •

professional qualifications (expertise), methods and/or media qualifications (methods for the search of approaches), social skills (social behavior in learning environments and teams), personal qualifications (development of the personality), problem solving qualifications and decision-making and responsibility.

In regard to Barrows [Bar00] the essential educational aims are designed according to the explicit competencies of the students: 1. 2. 3. 4.

Acquisition of well thought-out knowledge regarding the problems. Improvement of problem solving strategies (reasoning) for real world questions Improvement of skills of self-directed learning and team work. Enhancing students’ motivation.

Real-world problems are designed by progressive asking. In addition, students should be solving problems as self-governing as possible. The instructor is a work flow and not a knowledge transfer moderator. Such a procedure for multifaceted problems such is difficult to realize. Therefore Meril [Mer02, Mer07] suggests integrating the elements of “instructional design” (cf. figure 1). In this way, complex problems are reconstructed by sub problems that are subsequently moderated according to PBL. The IITS at the University of Stuttgart offers a robotics courses for students of all fields, not limited to engineering, called “Robinson Mixed” [JKN+09]. The course design emphasizes supervising and mentoring students from non-technological fields and early semesters. Project and team work are an integral part of the concept. Completing the course enables the students not only to design, construct and program autonomous robots, but also qualifies them to teach basic robotics to high school level students. The students have the option to participate in instructor courses licensed by the Fraunhofer Institute as part of the Roberta [fAiSAP06] program. Aim of the course is improving the inter-disciplinarity of students in

Fig. 1 Instructional Design, modified from [vMBH04]

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non-technological, particularly their interest in the technological fields. The course is offered as a regular, elective module credited with ECTS points. It has been held for the first time in the spring of 2009 and has received a positive resonance from the participating students.

3 Outline of the Course The students will be given the description of a disaster scenario such as a landslide, an area hit by a hurricane or earthquake, an industrial accident or a destroyed building. They will be asked to devise a plan of actions to safely evacuate the survivors of the disaster. This will lead to the identifying the task of reconnaissance and mapping as the starting point of the operation. The students are supposed to design and, if possible build, a robot or a team of robots to fulfill that task, with the scenario providing a natural transition and motivation to the next task and problem. Restricting ourselves to robotics, each task will usually have to address, amongst others, the following topics, under the specific restrictions and requirements of the task at hand: • Locomotion: which motive system is best suited for the environment to be expected and the task to be fulfilled? The decision will be influenced by considerations ranging from speed and size of the final system to ruggedness and range. Each task will typically require a different compromise between these parameters. Reconnaissance capability might be best provided by aerial robots (UAV) or unmanned surface vehicles (USV, basically unmanned boats) as large areas have to be covered and the robot’s payload is nothing but a sensor suite, while search might require small serpentine platforms to navigate narrow spaces and rubble removal might be best served by a large, powerful bulldozer-like tracked unit. • Manipulation: Several tasks like rubble removal, evacuation of casualties, or insitu medical intervention might require manipulative capabilities of the robot to place sensors or move objects. The control of such a manipulator will lead to the problem of direct and inverse kinematics. Design decisions have to be based on the requirements, as delicate operations or brute force tasks require very different systems. • Sensing: SAR operations are likely to involve the full spectrum of sensors available in robotics. Visual systems such as high resolution cameras will provide a general overview of the area or visual data from the inside of a building. Carbondioxide sensors can help in locating trapped persons, while a GPS can be used to help localize the robot (outside of screening structures) for high resolution mapping, with acceleration sensors or gyroscopes providing inertial navigation capabilities inside structures. Acoustical and seismic sensors are able to detect shifts in the rubble caused by buried victims or unstable structures. • Single-Robot Control: Many existing SAR robots are remote controlled, either through wireless communication or a fiber-optic cable, doubling as a safety tether to retrieve the robot if it gets stuck. The human operator can provide far more


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complex and advanced decisions and reactions than most autonomous systems possess. However, direct control is not always possible, particularly in badly damaged collapsed structures where steel static components disrupt wireless data exchange while rugged surface and tight confines would tear a cable. Even under direct control of a human, cybernetic control systems can be used to fulfill sub-tasks such as moving in a straight line over very uneven surfaces with strongly varying traction [dWSB96]. Very simple behavior-based autonomous robots can fulfill very complex tasks without outside supervision if operating as a swarm [KZ93], making full autonomy possible under certain circumstances. How autonomous can/should the robot be? • Robot teams and team control: Cooperating teams of robots can provide capabilities beyond those of the single members. A UAV-USV team was used to inspect the damage of seawalls and bridges at Marco Island, Florida following the hurricane Wilma [MSPG06], with the aerial vehicle providing global positioning to the surface vehicle inspecting underwater damage. Teams of robots, especially heterogeneous teams, require control and coordination. Depending on the task and the capabilities of the robots, centralized, hierarchical or decentralized control architectures are best suited. The tasks to be solved have to be allocated and might require communication between the robots. • Communication and data exchange: Tasks like search or medical assessment might require direct data transfer between robot and human operators, or between robots. The students will have to decide what data has to be exchanged, if realtime capabilities are necessary (direct control commands or remote access to the camera on the robot for remote navigation) or if asynchronous communication is sufficient (still images taken of a large area in reconnaissance). The course can be easily extended beyond the scope of robotics, adding problems from logistics and crisis management.

4 Topics to be Covered in the Project In addition to the more generic aspects of robot design, each of the tasks defined above addresses a number of relevant topics within the field of robotics. The tasks defined in section 1.1 have a certain hierarchical order, adding new sub-fields of robotics and expanding in complexity those topics already touched upon in the previous tasks (cf. figure 2). As such, their order supports the natural work flow of the PBL-course as a whole. Reconnaissance requires far less complex sensor suits than structural inspection or medical assessment but can already be used to introduce the more basic topic of sensing and estimation. The control architecture for searching is less complex than that for human surrogate and remote control. This progression of tasks and the refinement of knowledge and skills to fulfill them keeps the learners’ motivation and interest up, while providing comprehensive coverage of all sub fields where desired. The following will provide two selected examples from the list of tasks defined in Chapter 1.1.

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Fig. 2 Topics and Tasks

4.1 Reconnaissance and Mapping Requires: • Motive systems: (relatively compared to search) fast, but less reliable motive systems to cover large areas. These would typically include aerial robots and unmanned surface vehicles (boats). • Sensors: Sensor suits for this task range from mapping radar to visual and IRsystems. Sensing and estimation (creating an internal representation of the surroundings based on the available imperfect and often noisy sensor data) play a major role in this. This will introduce a number of methods and theory of statistic data analysis (e.g. Kalman-Filter [Sim06]) • Additional theory: Reconnaissance and mapping is closely related to the task of “Simultaneous Localization and Mapping” (SLAM) [DB06], [BD06], the ability of a robot to build up an internal representation of the world, the map, and localizing itself within this world, while exploring it.

4.2 On-Site Surrogates for Off-site Specialists Requires: • Motive systems: Since this group of tasks will usually involve direct, close deployment within the actual disaster area, the motive systems will be very robust in design, typically tracked, legged or serpentine systems. Uneven and slippery surfaces and lack of external localization require precise motion control while complex pathways caused by blocked passages require motion planning [dWSB96] in support of the human operator.


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• Manipulation: Many remote controlled tasks require some sort of manipulative capability of the robot, typically a multi-jointed arm. Control of this arm requires knowledge of motion control [dWSB96] and an understanding of kinematics [SS96]. • Remote Control: Humans often require some sort of feedback from the robot to operate the manipulators in particular effectively and efficiently [MS93]. At the same time, a balance has to be struck between autonomy of the robot to reduce the work load of the operator and ensure safe operation independent of the control input, and the direct control of the operator over the robot’s behavior, leading to the theory of robotic control architectures [HBDH94].

5 Summary and Conclusions Rescue scenarios provide a well-suited background for a PBL project in robotics. The obvious social relevance enhances the motivation of students, while the technical challenges serve as natural entry points into any sub-fields of robotics. At the same time, the single tasks associated with rescue scenarios can be sufficiently focused to prevent overloading the students, providing a high degree of flexibility. The course described fits well into the existing framework of interdisciplinary robotics courses already taught at the IITS at the University of Stuttgart, Germany, in the “Robinson” programme.

References [Bar96]

[Bar00] [BD06] [BDM95] [BF98] [BT80] [Dav02] [DB06] [Dew16] [dWSB96]

H.S. Barrows. Problem-based learning in medicine and beyond: a brief overview. In Luann Wilkerson and Wim H. Gijselaers, editors, Bringing Problem-Based Learning to Higher Education: Theory and Practice: New Directions for Teaching and Learning. Jossey-Bass, San Francisco, 1996. H.S. Barrows. Problem-based learning applied to medical education. University School of Medicine, Springfield, Southern Illinois, 2000. Rev. 1994 Ed. T Bailey and H Durrant-Whyte. Simultaneous localization and mapping (SLAM): part II. IEEE Robotics & Automation Magazine, 13(3):117, 108, 2006. J.A. Barbera, C. DeAtley, and A.G. Macintyre. Medical aspects of urban search and rescue. Fire Engineering, 148:88–92, November 1995. David Boud, Grahame Feletti, and Feletti Boud. The Challenge of Problem Based Learning. Routledge, 2nd edition, 1998. Howard S. Barrows and Robyn M. Tamblyn. Problem-Based Learning: An Approach to Medical Education. Springer Publishing Company, 1980. A. Davids. Urban search and rescue robots: from tragedy to technology. Intelligent Systems, IEEE, 17(2):81–83, 2002. H. Durrant-Whyte and T. Bailey. Simultaneous localization and mapping: part I. IEEE Robotics & Automation Magazine, 13(2):99–110, 2006. John Dewey. Democracy And Education. Free Press, Original from The Macmillan Company, 1916. Carlos Canudas de Wit, Bruno Siciliano, and Georges Bastin. Theory of Robot Control. Springer, London, 1996.

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[fAiSAP06] St. Augustin Fraunhofer-Institut für Autonome intelligente Systeme AIS and Gabriele Theidig Josef Börding Ulrike Petersen. Roberta - Anleitung zur Schulung von Kursleiterinnen und Kursleitern, volume 5. IRB Verlag, 2006. [GHL06] H.H. Gonzalez-Banos, D. Hsu, and J.C. Latombe. Motion Planning: Recent Developments. In Shuzhi Sam Ge and F.L. Lewis, editors, Autonomous Mobile Robots: Sensing, Control, Decision Making and Applications. CRC Press, Bota Racon, 2006. [HBDH94] G. Hirzinger, B. Brunner, J. Dietrich, and J. Heindl. ROTEX-the first remotely controlled robot in space. In Robotics and Automation, 1994. Proceedings., 1994 IEEE International Conference on, pages 2604–2611, San Diego, 1994. 3. [JKN+09] Sabina Jeschke, Lars Knipping, Nicole Natho, Ursula Vollmer, and Marc Wilke. The “Robinson” Programme: Interdisciplinary Education based on Robotics Curricula. In Xiangyun Du, Erik de Graaff, and Anette Kolmos, editors, Research on PBL Practice in Engineering Education, pages 185–198. Sense Publishers, P.O. Box 21858, 3001 AW Rotterdam, The Netherlands, May 2009. ISBN 978-90-8790-930-7 (paperback), ISBN 978-90-8790-931-4 (hardback), ISBN 978-90-8790-932-1 (e-book). [KZ93] Ronald Kube and Hong Zhang. Collective Robotics: From Social Insects to Robots. Adaptive Behavior, 2(2):189–218, 1993. [Mer02] M. David Merrill. A pebble-in-the-pond model for instructional design. Performance Improvement, 41(7):41–46, 2002. [Mer07] M. David Merrill. A task centered instructional strategy. Journal of Research on Technology in Education, 40(1):33–50, 2007. [MS93] M.J. Massimo and T.B. Sheridan. Sensory substitution for force feedback in teleoperation. Presence: Teleoperators and Virtual Environments, 2(4):344–352, 1993. [MSPG06] R. Murphy, S. Stover, K. Pratt, and C. Griffin. Cooperative Damage Inspection with Unmanned Surface Vehicle and Micro Unmanned Aerial Vehicle at Hurricane Wilma. In Intelligent Robots and Systems, 2006 IEEE/RSJ International Conference on, page 9, Beijing, 2006. IEEE Press. [MTN+08] R.R. Murphy, S. Tadokoro, D. Nardi, A. Jacoff, P. Fiorini, H. Choset, and A.M. Erkmen. Search and rescue robotics. In Springer handbook of robotics. Springer Berlin / Heidelberg, 2008. [Mur00] R.R. Murphy. Marsupial robots for urban search and rescue. IEEE Intell. Systems, 15(2):14–19, 2000. [Mur04] R.R. Murphy. Trial by fire [rescue robots]. Robotics & Automation Magazine, IEEE, 11(3):50–61, 2004. [oCC07] Intergovernmental Panel on Climate Change. 4th Assessment Report. Technical report, 2007. [Sim06] Dan Simon. Optimal State Estimation: Kalman, H Infinity, and Nonlinear Approaches. Wiley-Interscience, New York, 2006. [SS96] Lorenzo Sciavicco and Bruno Siciliano. Modelling and Control of Robot Manipulators. McGraw-Hill, New York, 1996. [vA06] Maarten K. van Aalst. The impacts of climate change on the risk of natural disasters. Disasters, 30(1):5–18, 2006. [vMBH04] J.J.G. van Merriënboer, Th. Bastiaens, and B. Hoogveld. Instructional design for integrated e-learning. In Wim Jochems, Rob Koper, and Jeroen Van Merrienboer, editors, Integrated E-Learning: Implications for Pedagogy, Technology and Organization, page 15. Kogan Page, London, UK, 2004. [Web04] Agnes Weber. Problem-Based Learning: Ein Handbuch für die Ausbildung auf der Sekundarstufe II und auf der Tertiärstufe. hep verlag, 2004.

Networking Resources for Research and Scientific Education in BW-eLabs Sabina Jeschke, Eckart Hauck, Michael Krüger, Wolfgang Osten, Olivier Pfeiffer, Thomas Richter

Abstract The major aim of the BW-eLabs architecture (networked virtual and remote labs in Baden-Württemberg) is the expansion of access to heterogeneous experimental resources (remote as well as virtual or hybrid) for cooperative execution of experiments in natural sciences and engineering as well as the reuse of raw data and experiments for research and education purposes. Thus, three major tasks take center stage for the BW-eLabs portal: 1st , the creation of efficient possibilities of external access to local experimental surroundings, 2nd , the guarantee of transparency and reproducibility of experiments, and 3rd , the promotion of cooperation and collaboration within the scientific community in experiment-driven high-technology fields. Nanotechnology and robotics serve as demonstrator disciplines because especially in these cost intensive areas access to experimental equipment is an important prerequisite for ensuring access to professional tools for all scientific communities involved. Corresponding raw data and related documents are examined along their life cycle and embedded into the entire process chain of experimental environments through sustainable indexing and field specific ontologies, traceable and reusable by means of semantic search. Existing infrastructure, e.g. digital libraries, decentralized tools, and repositories, are embedded into the BW-eLabs. As a framework, the 3D platform Wonderland (Sun) comes into place, taking the complexity of professional experimental set-ups into account. The BW-eLabs portal, together with its partner projects LiLa and NetLabs, is designed as an open network for scientific data and experimental set-ups under OpenSource/Open Access/Open Content policy. Keywords eLearning · academic education · virtual laboratories · remote experiments

S. Jeschke (B) IMA/ZLW & IfU - RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

Originally published in “Remote Instrumentation Services on the eInfrastructrure: Applications and Tools”, © Springer-Verlag Berlin Heidelberg 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_21

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1 Introduction The experiment is the essential research methodology component in natural sciences and engineering. Unfortunately, a contemporary experiment sometimes is subject to several restrictions such as financial and spatial limitations, and missing support [CJL+ 09]. The new media offer two fundamental models to tackle these challenges: virtual laboratories [JNR07] and remote experiments [JRST07]. A virtual laboratory is an elaborated software application to simulate experiments on the computer. These multimedia-based and interactive experiments are realistic, virtual simulations of an experimental set-up. The benefits, for example, are that many researchers or students can simultaneously work on the same experimental set-up or conduct abstract non-realistic feasible experiments. A remote experiment is a real experiment remotely controlled from outside the actual laboratory. Such an experiment consists of two main components: the experimental set-up and the technique and software needed to facilitate the remote access. An advantage is the simplification of the access to experimental set-ups, independent from space, time, and security considerations.

1.1 Scientific Networking of Virtual Laboratories and Remote Experiments Virtual laboratories and remote experiments are already used in many scientific research groups around the world. In addition, many existing experiments separated in laboratories could be easily equipped with remote access techniques. Regrettably, central access points (portals, repositories, etc.) do not exist yet to locate such useful experimental resources or information. This is an unsatisfactory situation for everyone involved, and therefore, a lot of experimental set-ups remain hidden. Moreover, collaboration between scientific research groups has to be furthered. To this end, an efficient networking between these groups would overcome challenges, e.g. to review experimental set-ups or enhance set-ups for better accuracy of results. Besides, seminal scientific studies do not emerge from isolated laboratories as individual achievements. It is vitally important to collaborate in a different kind of relation without organizational limits and geographical distances. At the same time, library and scientific document management systems, e.g. “eSciDoc”, do not contain links and information of those experiments that are explained in publications. Repeatability and transparency of results can hardly be ascertained in this way. Within this context the realization of scientific networking is a key factor in today’s information society.

1.2 Introduction to BW-eLabs The applicability of virtual laboratories and remote experiments is not limited to single disciplines. As described above, contemporary experiments are subject to

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several restrictions. A lot of these experiments are expensive and/or consist of very complex set-ups. Some of these experiments are very susceptible or need special environmental conditions (dust-free, temperature, pressure, etc.). A prominent example is the field of nanotechnologies having a huge influence on the current technology development as a key technology of the 21st century. Miniaturization of the observed objects and effects and the requirements for the accuracy of the measurements themselves and the equipment are closely connected to tremendous financial challenges (e.g. for clean rooms, electron microscopes, susceptible spectrometers). Hence, because only a small group of well-subsidized institutions obtain access to this equipment we chose nanotechnologies as a prototype for the BWeLabs [JPT06], [JNPT08]. The BW-eLabs project provides a repository of the “second generation” to face the technical challenges of experimental natural sciences and engineering in the field of nanotechnology. We use the service-oriented eResearch environment “eSciDoc” developed by FIZ Karlsruhe that can include dynamic and changeable data recorded along the scientific workflow (e.g. informal documents, experimental results, documentation) and experiments itself. The infrastructure keeps experimental results and the required workflow sequences available for subsequent use such as research and education. The benefits are the better networking mechanisms of geographically distributed research groups to share results through the internet. The former safeguards the reproducibility of the results by employing a post-connected “electronic laboratory journal” and therefore avoids repeated measurements by consequently processing existing results, the latter allows for the smooth exchange of laboratory facilities over distances, maximizing the usefulness of the corresponding equipment. To protect the results of research groups, all the material (raw data and equipment) is shielded by appropriate security policies and authentication via Sibboleth. Publications are an important means of information exchange in the scientific society. This can be realized by establishing the corresponding policies. The main target audience of the BW-eLabs project are scientists. Another target group are graduated students of the related topics. Additionally, the infrastructure can be useful in academic education scenarios to conduct complex professional experiments within a lecture or seminar.

1.3 Infrastructure of the BW-eLabs The infrastructure of the BW-eLabs Project consists of the following different components: 1. System Structure: The eResearch environment “eSciDoc” [esc10] used in the BW-eLabs comprises a set of services and solutions that facilitates user-inquires for static data to the corresponding repositories. It supports the development of suitable metadata concepts to describe experiments and raw data of the technical disciplines for documentation and repeatability purposes. In addition, different views on experiments are taken into account (experimenter’s perspective,

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3.

4. 5. 6.

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experiment perspective, room perspective), thus providing a semantic infrastructure for indexing special data (semantic search) [RSS+ 09]. Digital Library-Static Content Provider: Libraries of the participating universities store and manage static data (journals, proceedings, etc.) including metadata such as a content manager of a digital classical repository. This is the first step to integrate scientific documents into the virtual laboratory spaces [SGK+ 04]. Experimental Content Provider: The corresponding research groups and institutions act as experimental content managers providing virtual laboratories and remote experiments. The infrastructure will be tested in a pilot phase tailored to the requirements of the partners. Access-Rights-Management: The infrastructure offers an adequate access-rightsmanagement similar to open access and open content. Integration of Digital Holography: By integrating the concepts of digital holography [OF06] real objects are visualized three-dimensionally in virtual spaces. Interfaces: To facilitate inserting data and experiments and to keep the entrance barriers as low as possible, interfaces for software used in the laboratory routine are created in the project. These software applications are e.g. LabVIEW for remote- and process-control of laboratory equipment, computer-algebra-systems like Mathematica or numerical packages, e.g. Matlab. Suitable interfaces are created on the side of the content providers for integration in already existing search engines and library portals to make the obtained data accessible and archive them. Communication tool “Virtual World”: The “virtual world” is a simulated threedimensional world providing the integration of available digital libraries and experiments, and a communication environment to promote collaboration between research groups. As a result, geographical distances between researchers are bridged and measurement data and experimental processes are archived. Integration of familiar tools and established infrastructure as well as intuitive system access and individualization procedures help to raise the acceptance and the usability of the portal.

2 Unique Features and State of Technology 2.1 Current State of Affairs in Baden-Württemberg and Germany in General The design, development and implementation of virtual knowledge spaces is being pursued on the national level throughout Germany, in particular at the University of Paderborn (sTeam [EBHE05] [EHGE06]), as well as CURE [Haa05] [HSH+ 04] at the Distance University of Hagen (Fernuniversität Hagen). However, despite years of extensive research and many visionary ideas, the field has yet to to come to fruition. This challenge is in no small measure the result of short comings in the existing base technologies and infrastructure required for the envisioned scenarios.


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Until now, most development fell into one of two categories: either isolated computer-based laboratory environments, each applicable to a few specific experiments, or portal technologies for the integration of diverse remote experiments and virtual labs. However, since the actual labs were designed for quite specific purposes, the lack of a coherent interface architecture prevented their content-oriented combination into more complex research scenarios.

2.2 Deployment of a 3D-Engine for Improved Usability The complexity of such extended or combined scenarios requires new concepts, posing further challenges not only for the IT-technologies involved but also in the field of usability. Intuitive access and operation of the system are vital to increase user-acceptance. To achieve this goal it is necessary to transfer real-world utilization concepts into the virtual world of the lab. In addition, this will reinforce the concept of the virtual lab or remote experiment as it trains the operation of real-life equipment. Vital input has come from research in the areas of virtual environments and gaming engines. Combined with developments in web service technologies, serviceoriented architectures, open 3D-Engines, social web and the digital extensions of libraries, this should provide the technological base for virtual knowledge spaces [SS06]. A suitable infrastructure is the open source three-dimensional platform “Wonderland” [won], developed by Sun, to be completed by suitable interfaces.

2.3 Document-Management Systems for Scientific Content Extending the eSciDoc infrastructure by incorporating these technological advances supports the publication, visualization and management of the finished objects as well as their continuous editing and use. The system is capable of handling textbased document at various stages of completion as well as primary (raw) research data from a wide scope of scientific disciplines. As a result, eSciDoc is well-suited to fulfill the knowledge and information management requirements of universities or other research or R&D related institutions, both public and private. The eSciDoc system goes beyond the capabilities of the widely deployed Dspace from MIT (Cambridge, USA, www.dspace.org), Eprints1 of the University of Southampton or the repository system OPUS2 , which is widely used in Germany and was developed at the University of Stuttgart (cf. A.1). All of these systems were custom-tailored to the requirements of an institutional publication repository, a limitation reflected in their user interfaces. 1 2

http://www.eprints.org/ http://elib.uni-stuttgart.de/opus/doku/about.php

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The eSciDoc infrastructure represents a generic infrastructure incorporating aspects of data quality, data management and long term availability. eSciDoc is based on the repository-software Fedora3 , and enriched by a series of newly developed services. The system provides features such as persistent referencing by assignment of appropriate identifiers, automatic extraction of technical metadata, and the administration of objects with heterogeneous metadata models. The system is designed to track and map the complete life cycle of a scientific document/data object, from its first inception to final publication and archiving. This is achieved by combining the concept of revision control with the mapping of formal and semantic relations between objects. By connecting data and documents/publications and by making them available to users, eSciDoc acts as an “enabling technology” for the comprehensibleness and the possibility to re-use research results required in scientific collaborations. Current solutions addressing these challenges only exist isolated. One example of an existing solution is the “Archer”4 system, promoted by the Australian Ministry of Innovation, Industry, Science and Research. It provides a software platform for managing and documenting the research data of Australian universities. Similarly to an existing set of applications developed for the humanities at the Max Planck Society, the eSciDoc infrastructure is suitable to be extended to a “scientific workbench”, supporting cooperation in virtual, distributed workgroups. The BW-eLabs will incorporate methods of data management in the natural sciences [SS05] [SBB+ 06] in co-operation with the scientific data processing servicegroup (Servicegruppe Wissenschaftliche Informationsverarbeitung) of the Freiburg Materials Research Center (FMF) at the University of Freiburg. Early implementations will address scenarios posed by the FMF, ranging from the characterization of the chemical analysis with high throughput technologies and the development of electronic laboratory journals to scientific information repositories for investigating individual technical questions. The FMF has developed methods for systematically managing analogue and electronic scientific information in the form of laboratory journal entries and primary data files in preliminary work, covering some basic aspects of scientific data managements [Sch07]. Based on the FMF-developed text-based full metadata format, these concepts permit the direct addition of experimental parameters and measured variables to the actual data, exactly as it is common in everyday work (e.g. in laboratory journals or measurement records), mapping the standard work-processes of the prevalent mode of operation. The BW-eLabs also address the complex problem of retrieving primary data: in difference to standard bibliographic indices, primary data catalogues have to support indexing by relevant experimental parameters. The BW-eLabs introduce the concept of using feature vectors consisting of experimental variables as a new classifier. The concept of feature vectors was first explored in the fields of pattern recognition

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http://www.fedora-commons.org/ Australian ResearCH Enabling Environment, http://archer.edu.au/


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and machine learning. Complex objects are described as n-tupels of real numbers, facilitating semantic search algorithms based on custom-tailored distance measures within this n-dimensional vector space of primary data sets.

2.4 Remote Experiments with Real Objects Using Digital Holography Holograms possess a unique property: they contain the complete optical information (at the wavelength of the illuminating laser) of the recorded object. As a result, holograms can replace “real” objects in a number of experiments where purely optical properties about these objects are sufficient. In digital holography the wavefront resulting from the interference of light diffracted by the object and an undisturbed reference beam is recorded digitally, either directly from a CCD sensor or by digitizing an existing analogue hologram from film. This digital hologram can be reconstructed in one of two possible ways: by illuminating a suitable light modulator displaying the recorded hologram (for example the LCD-panel of a digital projector), or numerically in the computer. The former is basically identical to the classic optical reconstruction of an analogue hologram. In contrast, the latter method provides new possibilities not available in analogue holography. Numerical reconstruction does not require the exact replication of the original set-up to reconstruct an object, a severe limitation in sharing analogue holograms. A digital hologram can be stored on a computer or distributed over the internet, providing researchers in distributed collaboration access to the “real” object (or, at least, its optical properties). Current challenges in digital holography are the miniaturization of the recording devices, the robustness of the method and a simultaneous increase in measuring accuracy. Short coherence digital holography allows for layered scans of a threedimensional object (i.e. in depth, not just the surface of the object), enabling the reconstruction of layers of up to 20 micrometer thickness. This technique is used in microscopy and endoscopic medical procedures. It is capable of deducing the overall composition of an object by detecting areas of different elasticity using digital holography, in effect providing a surgeon with a sense of touch in endoscopic procedures. Comparative holography is a technique that compares nominally identical but physically different objects (sample-probe-comparison). By using digital holograms this method can be extended beyond the classic scope requiring an exact replication of the original set-up. As a result, it provides a very precise (fractions of the wavelength of the used laser), flexible testing method not requiring the simultaneous physical presence of the sample and the probe for comparison. The recorded hologram of the sample is reconstructed optically by illuminating a suitable light modulator. The reconstructed wavefront is used to illuminate the probe together with a reference wave. The resulting interference wavefront is recorded as a second digital hologram or simply viewed directly. Numerical reconstruction (or visual inspection of the probe) will show the interference phase between the wavefronts, the difference in the surface of the probe and the sample. This allows for real time

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Fig. 1 Schematic Set-up for Recording a Digital Hologram onto CCD.

inspection of objects revealing deformations of the surface on the scale of the laser wavelength, well suited for quality assurance.

3 Demonstrator Scenario Nanotechnology Nanotechnology deals with the synthesis, the properties, the characterization and the use of materials, on a scale between 1-100 nm. Moreover, it is considered to be the key technology of the 21st century. During the last 15 years, the nanotechnology developed more and more into a highly multi-disciplinary science. Its own Bachelor and master courses of studies have been established at universities and technical colleges. The high-grade multi-disciplinarity presupposes an active exchange and overlap between chemistry, physics, material sciences and even biology, if essential. The multiplicity of different scientific approaches and methods stimulates and requires collective experimenting, evaluating and publishing of completely diverse working groups necessary for the accomplishment of the research. This led to the installation and establishment of larger scientific centers and networks focused on nanotechnology in universities worldwide. Some examples are the German Center for Functional Nanostructures (CFN) at the University of Karlsruhe, together with Forschungszentrum Karlsruhe, the planned German Center for Nanotechnology at the University of Würzburg, the Swiss Nanoscience Institute (SNI), established at the University of Basel as a Swiss competence centre in the field of nanotechnology. The acquisition and shared use of expensive giant equipment in particular could be realized by the joint efforts of some of these centers. Due to the multi-disciplinarity and the necessity of networking, nanotechnological subjects are ideally suited for the application of virtual laboratories and remote experiments. In the context of BWeLabs, these experiments can be cross-linked in order to establish new standards in the field of knowledge management.


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The FMF at the University of Freiburg, Germany, analyzes synthesis, characterization and application of semiconducting and metallic nano-particles. Their insights are made accessible online/remotely as part of the BW-eLabs project made available for further transfer and application scenarios: The physical and chemical parameters relevant for the synthesis of nano-particles were evaluated exemplarily on the basis of the synthesis of high-grade luminescent CdSe nano-crystals [RBT+ 09] [WTWL07]. This synthesis is now being established in the context of the BW-eLabs project as a remote-enabled model synthesis. The parameters determined in the conventional reaction piston are transferred to microwave synthesis equipment, in which all decisive synthesis-parameters, e.g. temperature (profile) and concentration of reactants, can be standardized and are controlled and monitored remotely. The reaction process is amended by appropriate on-line analytics. By means of absorption- and emission-spectroscopy the synthesis process is monitored and controlled and can be compared to previously accomplished syntheses. Corresponding spectra of this on-line analytics are recorded and logged automatically. Alongside with this on-line analysis (small analysis) more complex analysis methods are connected in a later stage, e.g. connecting the transmission electron microscopy (large analysis) from another remote laboratory with the goal of a common structured datamanagement comprising a structured and clear representation of the results in form of an electronic laboratory journal. After the synthesis setup is concluded and the remote-ability of the synthesis process as well as appertaining analytics have been tested, further material syntheses are standardized and transferred to microwave basis. Gold nanoparticles are sought out to be the following model system and contacts to the department of inorganic chemistry of the University of Freiburg already exist on the basis of a common project for the synthesis of metalliferous nanoparticles. In addition, external partners can enter on this level and standardize their systems, accordingly. Thus, we develop a material synthesis library which is made accessible to other groups and contributes to the objectives of the BW-eLabs by securing the compiled research results of a working group beyond the period of the presence of a specific researcher. Moreover, this library serves as a point of contact for advanced research on the corresponding materials. Furthermore, virtual laboratories can be connected at this time, using the generated data for semi-empiric modeling [YRG+ 09] (structural characteristic statements of materials) and also provide input for the synthesis, structure and characteristics of new materials by using ab initio methods [dPTC08]. This forwards and accelerates tailored material development and permits the integration of nanomaterials with special characteristics into new applications. One example for the mentioned model systems CdSe nanocrystals and Au nanoparticles is the systematic introduction of impurity atoms (doping) of nanocrystals [NEE08] which opens new perspectives for the development of IR lasers or IR to emitting pigments to be used for bio marking. Then, nanohybrid materials, e.g. nanoscopic intermetallic phases as Au@Pt [YCZ+ 07] or Pt/Bi [DCL08] compounds can be developed as catalysts for reactions with a high industrial application potential.

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The responsible group at the FMF is working within the area of theoretical modeling of nanoclusters and nanocatalysts. Their results will be integrated at an appropriate time as virtual laboratory. Another applied component is the integration of nanomaterials in well-defined superimposed macro-structures. This is another area to integrate further remote experiments and virtual laboratories, especially in the field of nanostructuring of materials (remote experiment) and theoretical physics of complex systems (virtual laboratory). Synthesis as well as analysis and application of nanomaterials interact with the virtual laboratories of theoretical research groups. Figure 5 is outlining the linkage of a remote synthesis experiment with other remote laboratories, potential applications and virtual laboratories. An interactive platform linking diverse remote and virtual laboratories features sustainable long-term scientific advantages: • A more efficient and systematic development of new materials is promoted. • Compiled knowledge is indexed and secured on a long-term basis. This is of particular importance as once developed syntheses can by a successful standardization be made accessible to researches whose primary interests are, for example, physical measurements of that special material rather than its synthesis. • Constantly obtainable material quality that would be independent of the synthesizing chemist permits a continuously reliable research on this material. This item is of particular importance since syntheses are usually developed by graduate students and/or Postdocs who only stay at their respective research institute for a limited period and knowledge transfer does not always take the prominent role that it should.

Fig. 2 BW-eLabs Sample Architecture


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• Since only well-functioning syntheses are standardizable, some kind of quality control for the synthesis directives is automatically integrated. Thus, standardization of the synthesis will also be an important section of challenge within a synthetic PhD or master’s thesis in the future. • An interactive platform also facilitates the access to research methods that are not available locally, because of missing giant equipment, special devices, or particularly developed research equipment. Similarly as in internet chat rooms, extended ways of contact are possible on the scientific level which would not have come about in any other way (promotion of the development of national and international contacts). • An independently generated electronic laboratory journal has the advantage that all results together with the necessary parameters and all steps (synthesis ⇒ characterization ⇒ application) are retained uniformly and clearly arranged. Integratability into appropriate data bases prevents unnecessary parallel research and the amount of work for data evaluation is reduced for each researcher. In addition, research projects that have been classified as not successful by rule of a student’s thumb and therefore remained unevaluated are archived. At second glance, an expert might possibly come to a surprising discovery (increase the ratio of innovative random discoveries). • Established synthesis approaches are used also as exemplary sample experiments in teachings.

4 Demonstrator Scenario Robotics Robotics is one of the key technologies present in the 21st century. The essential research areas can be classified in: perception, actuator engineering, apperception and decision making. In terms of perception, the question of sensor technology and sensor combination arises. In the area of actuator engineering, manipulators and movement systems of different areas of application are decisive. With respect to apperception and decision making, the central points are data processing and filtering of knowledge representations, along with path finding and decisive derivation. Due to the accessibility of the different robotics applications and by means of evaluating any attempts already made in the decision making phase on an identical platform, new trials are tested faster and at a reasonable price. The environments where these systems can be examined in both a simulative as well as a realistic manner are manifold – two areas of application protrude in the context of the BWeLabs/NETLABS project:

Cooperative Scenarios: The availability for use of robotics systems in production environment continues to rise steadily. The necessary cooperation scenarios (between robots or between human and machine) lead to novel research questions that have yet to be answered.

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Fig. 3 Robocup-Team 2009, TU Dortmund

Further investigations however – in the case of realistic scenarios, e.g. with a collaborating installation – remain financeable only for a few research teams. Within the investigation of cooperative scenarios in robotics, the problem of costintenseness becomes obviously even more important due to the necessarily higher number of robots. Additionally, investigation for “cooperative behaviour” is only to some extend depending on the hardware – rather, concepts of awareness, decision making processes and task sharing play a central role. To investigate these research goals in a general and transferable manner, it is important to dispose of a large number of different robots in different application scenarios.

Fig. 4 Team of cleaning machines (SINAS), below: map of task distribution


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By means of suitable remote laboratories offered in BW-eLabs/NETLABS, production based research – also interdisciplinary – is carried out in multi-robotapplications and in human-machine cooperation scenarios. Any gained primary data is made available to other institutes. Autonomous vehicles: Since 1977, autonomous vehicles (a.k.a. driverless cars) have played a more and more important role in traffic technology. One opportunity to manage the increase of freight transportation and to optimize utilization of motorway capacities is the concept of truck platoons. With the aid of Advanced Driver Assistance Systems, trucks are electronically coupled keeping very short gaps (approx. 10 meters) to form truck platoons on motorways [FMH08]. This contributes to the optimization of traffic flow and reduction of fuel consumption advantaged by slipstream driving [MHS08]. Other concept and application scenarios of partly autonomous and fully autonomous cars are known. Within the DARPA Grand Challenge Cup, for example, different concepts of fully autonomous vehicles in substantial off-road courses are tested. BW-eLabs/NETLABS integrates movement-supported simulators in the form of virtual laboratories that allow for testing of passenger reaction, recognition of hazards, and even help to simulate path finding algorithms. Expensive, cost-intensive

Fig. 5 “Driver Organized Truck Platoons” [HP03]

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Fig. 6 “Spirit of Berlin”, FU Berlin, Team Rojas [Roj]

environments are linked and made accessible to other research teams. The simulators available within an institute are extended by means of functionalities, and thus allow for external control. In these areas of application, security plays a decisive role. This aspect must be taken into consideration when extending remote laboratories during the course of the BW-eLabs/NETLABS project. In addition, measures must be taken to examine how hazards for both humans and material can be prevented in remote-controlled laboratories. Aspects such as working and IT security must be taken into consideration. This is especially significant in human- machine-cooperation scenarios. For this case concepts are developed to guarantee the safety of the person interacting with a remote-controlled machine. In addition, robotics acts as a “connection discipline” within this application: actuators that control set-ups/experiments are necessary for remote-controlled laboratories. The aim to be achieved in the long run is a reconfiguration of laboratory environments. This will lead to a higher flexibility. Moreover, an infrastructure of intelligent “robots”, or better said “robot arms” has to be created to control experiments and laboratories. Additional concepts are developed, prototypically implemented and fitted accordingly to BW-eLabs/NETLABS.

5 Acceptance and Usability Usability and serviceability are decisive for the acceptance of the BW-eLabs. The usefulness has to prove itself exclusively by the increase in value it presents to researchers. The design of the user interface and interaction concepts are crucial for its operability. We will now address the latter in detail.


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Both the complexity of the planned research scenarios and the complexity of the planned overall system, exceeding the possibilities of classical repositories, which realize isolated access to static data or to special isolated laboratory environments, pose unique demands towards the interaction concepts and techniques to be used. Scientists’ creativity is promoted by a clear visualization of the data relevant for the experiments and is not restrained by difficulties with the interaction. Therefore complexity reduction is necessary in many application scenarios that, however, must not lead to a restriction of possibilities of use. Studies in psychology of perception of the last years showed that the use of closeto-reality metaphors facilitates a particularly intuitive use of software applications. A particularly complex environment as envisioned for the BW-eLabs must therefore most favorably be realized in three-dimensional representation. Such a communication environment in form of a virtual three-dimensional world on the one hand facilitates the conversion of interaction concepts that are already well-known from the real world and the integration and development of completely new approaches. On the other hand, this virtual world serves as a platform for the development and testing of new techniques of visualization of information. At the same time, mechanisms of information-based data analysis, i.e. processing of experimental data with automatic consideration of all meta-information like physical units, metric, etc. are employed. The preparatory work of the FMF in this area already shows that this approach leads to an effective complexity reduction, so that experimentally working scientists can test-drive, develop and implement complex data analysis algorithms. Effectiveness and efficiency of different interaction concepts and their acceptance by content providers and by the users is to be evaluated in usability tests with test subjects. With the help of the expertise won thereby, interaction concepts that encounter the broadest acceptance rate in the addressed target group are to be developed and implemented. It should in particular be examined which forms of social presence in the virtual world are essential for collaborative scenarios to be accepted by male and female scientists. These tests will be conducted in the usability laboratory at the Stuttgart Media University that is equipped with the appropriate devices for data acquisition and analysis.

6 Roadmap Right from the beginning, mechanisms for distributed authentication (shibboleth, and single sign on) are incorporated and usability studies for the 3D-interface are arranged. Meta data profiles and concepts for integrating digital content into intelligent web portals are developed. First concepts for the searchability of primary data are tested exemplary in the BW-eLabs. During the starting year of the project the 3D-infrastructure is established, embedding the already existing virtual laboratories and determining the intial connection to the eResearch environment. To this end the important components such as

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experiments, their life cycle, groups, and so on are defined, open standards are evaluated, and the first prototype of a remotely-controllable laboratory is implemented. Additionally, models of the implementation of digital holography into BW-eLabs are examined and evaluated. The second year is devoted to the extension and the development of the infrastructure, due to the newly collected requirements, and to the development of remote experiments as well as to the implementation of the usability studies. The first nanotechnological virtual laboratories and remote experiments are integrated and the entire process of data generation, filing, and access is reproduced and evaluated. In order to visualize real objects, initial methods of digital holography are included. A first prototype to semantic searchability of primary raw data is prepared and existing information resources are connected. For that purpose, a sophisticated policy-management for the integration of licensed data and open access concepts is prepared in co-operation with the university libraries and the partners. Evaluations of test users will take place. The third year is dedicated to consolidating services and infrastructure so that they can be sustainably integrated into production systems. By incorporating more institutions, additional scenarios are ascertained and if necessary further components will be supplied. Activities to widen the user-base that began in the starting year as well as community-building actions are strengthened (conferences, workshops, etc.). Technical support documents are provided to facilitate the integration of further experiments. Based on the evaluation, a plan is provided, not only for securing the results, but also containing a business model for forthcoming developments.

References [CJL+ 09]

[DCL08]

[dPTC08]

[EBHE05]

[EHGE06]

[esc10] [FMH08]

S. Cikic, S. Jeschke, N. Ludwig, U. Sinha, and C. Thomsen. VICTOR-SPACES: VIRTUAL AND REMOTE EXPERIMENTS IN COOPERATIVE KNOWLEDGE SPACES. In F. Davoli, N. Meyer, R. Pugliese, and S. Zappator, editors, Grid Enabled Remote Instrumentation, Signals and Communication Technology, pages 329–343. Springer, New York, 2009. Konferenz war 2007. L. Demarconnay, C. Coutanceau, and J.-M. Léger. Study of the oxygen electroreduction at nanostructured PtBi catalysts in alkaline medium. Electrochimica Acta, 53(8):3232–3241, March 2008. Marie Lopez del Puerto, Murilo L. Tiago, and James R. Chelikowsky. Ab initio methods for the optical properties of CdSe clusters. Physical Review B, 77(4):045404, January 2008. Bernd Eßmann, Peter Bleckmann, Thorsten Hampel, and Robert Elsässer. Distributed Persistence in CSCW Applications. Technical Report tr-ri-05-268, Heinz Nixdorf Institut, December 2005. Bernd Eßmann, Thorsten Hampel, Frank Götz, and Andreas Elsner. Embedding Collaborative Visualizations into Virtual Knowledge Spaces. In Proccedings of the 7th International Conference on the Design of Cooperative Systems (COOP 2006), pages 33–40, Carry-le-Rouet, France, 2006. eSciDoc Project webpage. http://www.escidoc.org/, last access 31.3.2010, 2010. A. Friedrichs, P. Meisen, and K. Henning. A Generic Software Architecture for a Driver Information System to Organize and Operate Truck Platoons.


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Werner Stephan, Bernhard Graf, Adalbert Kirchgässner, Sabine Laschat, and Wolfram Schüz. Das Zeitschriften-Paradoxon oder: Wer verfügt über wissenschaftliche Information?, volume 3 of Universitätsbibliothek Stuttgart, Bibliothek Bildung und Fortschritt. 2004. [SS05] Gerhard Schneider and Dirk Suchodoletz. Identity Management in der Praxis. In Jan v. Knop, editor, Lecture Notes in Informatics, number P-73, pages 255–264. Springer Verlag, 2005. [SS06] Frank Scholze and Werner Stephan. Retrieval on the Grid Results from the European Project GRACE (Grid Search and Categorization Engine). Zugang zum Fachwissen ODOK ’05, pages 118 – 127, 2006. Feldkirch: Neugebauer. [won] Wonderland (Sun) Project webpage. https://lg3d-wonderland.dev.java.net/, last access 6.8.2009. [WTWL07] Pin-Jiun Wu, Ku-Ding Tsuei, Kung-Hwa Wei, and Keng S. Liang. Energy shift of photoemission spectra for organics-passivated CdSe nanoparticles: The final-state effect. Solid State Communications, 141(1):6–11, January 2007. [YCZ+ 07] Lei Yang, Jinhua Chen, Xinxian Zhong, Kunzai Cui, Yan Xu, and Yafei Kuang. Au(at)Pt nanoparticles prepared by one-phase protocol and their electrocatalytic properties for methanol oxidation. Colloids and Surfaces A: Physicochemical and Engineering Aspects, 295(1-3):21–26, March 2007. [YRG+ 09] Y. Yuan, F.-S. Riehle, H. Gu, R. Thomann, G.A. Urban, and M.J. Krüger. Nanosci. Nanotech, 2009.

Networked Virtual and Remote Laboratories for Research Collaboration in Natural Sciences and Engineering Sabina Jeschke, Arno Gramatke, Olivier Pfeiffer, Christian Thomsen, Thomas Richter

Abstract Based on the BW-eLabs platform, the goal of the N ET L ABS is the development of a software infrastructure, allowing for the interlinking and integration of experimental superstructures and simulations, as well as the software used for evaluation and archiving of data. In addition, a role- and rights-based model is developed, allowing access to experiments or measured data. The necessary components are integrated in the 3D Wonderland engine. Keywords remote experiment · virtual laboratory · metadata · digital holography · nanoscience · robotics

1 Introduction Experiments represent essential components of the research methodology in natural sciences and engineering. However, their execution is incumbent on numerous restrictions due to the financial equipment, spatial capacity, and support. The use of new media offers two essential concepts in order to reduce these challenges: • Virtual laboratories [RBJ09] are software environments providing a framework for execution of experiments at the computer. They can be used by arbitrarily groups simultaneously. Since experiments take place in a “virtual space”, setups are feasible that would never be possible in the “real life”. • Remote experiments [JRST07] are real experiments that are controlled by a location outside of a laboratory. They consist of two fundamental components: the real experimental setup and the technology of the remote access. Remote experiments permit the time and space independent use of natural sciences and engineering experimental setups.

S. Jeschke (B) IMA/ZLW & IfU - RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

© [2009] IEEE. Reprinted, with permission, from Proceedings of the 2nd International Conference on Adaptive Science & Technology, ICAST 2009, IEEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_22

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Although numerous virtual laboratories and remote experiments are available, there are scarcely accessible repositories or portals of such experimental resources. Therefore, there are not only missing central access opportunities but also connections and networking of the laboratories among themselves. These connections could facilitate the transfer between similar experimental setups or experimental results. At the same time the link between virtual laboratories and remote experiments to other relevant scientific repositories such as digital libraries and scientific document management systems [esc] is missing. Thus, experimental setups and the executed experiments remain separated. The assignment of results to the setups as well as transparency and reproducibility of results is exceedingly difficult. Finally, collaborative methods are missed in isolated virtual laboratories and remote experiments. Nowadays, high performance research takes place only rarely in isolated laboratories and as individual performance, and scientific success is based increasingly on teamwork. This is not limited to local working groups – cutting edge research always take place above organizational boundaries and is geographically separated. Thus, the realization of scientific cooperation and cooperation in virtual knowledge spaces has a crucial relevance. The insufficient accessibility of experimental capacities is not limited to individual disciplines but it affects mainly cost-intensive experimental equipments. In a special way, this affects nanotechnology and robotics which have an extraordinarily influence on the current technological developments. Under the “extreme smallness” of the objects and effects, the requirements of high precision of measuring apparatus in nanotechnology is tremendous. The financial expenditure of preparation of necessary experimental equipment (electron microscopes, precise spectrometers, etc) is extremely. Generally, high professional equipment is only available for a small group of well-equipped institutions. Due to the complexity and the associated high costs of individual components that are used in the robotics (movement system, sensor system, etc.) only few laboratories can fall back to appropriate systems. Systems that integrated all these components such as human-machine cooperation (service robotic, assembly works in production) can be used today only by small group of researchers. The concept of virtual knowledge spaces became importance of academic education. In addition, virtual knowledge spaces are suited intensively as scientific co-operation tool (outriders: sTeam [ope], Cure [Haa05, HSH+ 04]. The fact is that many of early, visionary and revolutionary concepts not reach the desired level. Isolated laboratories for specific technical purposes were developed or begun with the development of portals for the integration of virtually and remote laboratories. However, the interface problems remained unresolved for the content wise networking of the individual components, which is crucial for the realization of complex research scenarios. The inter-connection of these technologies with the eSciDoc infrastructure - communication and a publication platform of the second generation for research institutions that focuses on the administration of scientific data - allows publications, visualization, and management of digital objects. The system goes thereby clearly over functionalities from publication repositories as for instance the common international repository DSpace [dsp], and Eprints [epr]

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or the German repository OPUS [opu]. The eSciDoc [esc] infrastructure with the repository software Fedora [fed] represents a generic infrastructure considered aspects of quality of data, the administration of data and the long-term availability. Characteristics are persistent quoting and referencing by assignment of appropriate identifier, automatic extraction of technical meta-data, and administration of objects with different meta-data models. By illustrating of formal and semantic relations under objects, the complete “life cycle” of scientific documents or data and their connection during the research process is provided. The transfer of real world concepts into virtual worlds plays a crucial role. Here, the research within the field of CyberWorlds [Wat09, pro] and Gaming Engines is an important motivation. Web service technologies and service-oriented architectures, open 3D-engines, developments of the social web and digital libraries techniques leverage the originally objectives. N ET L ABS is an open source 3d software platform for the external access to geographically distributed, heterogeneous virtual and remote-controllable experimental resources. Particularly, in the cost-intensive fields of nanotechnologies and robotics, we have limited access to professional experimental equipment. It is precious to get access for all technically involved communities to such experiments.The objective is the exploitation of experiments and their raw data as essential requirement for the realization of efficient, constant, and cooperative environments in natural sciences and engineering. The projects “eSciDoc” [esc] and BW-eLabs [JBH+ 09, JBH+ ] outline the technological fundament of this portal.

2 Portal Integration Based on the platform provided by the BW-eLabs [JBH+ 09, JBH+ ], the goal of the working programmer’s points of focus is the development of a software infrastructure, which allows the interlinking and integration of experimental superstructures and simulations, as well as the software used for evaluation and archiving of data. In addition, a role- and rights-based model is developed, which allows access to experiments or generated data. Therefore, the necessary components are integrated in the 3D Wonderland [pro] engine. Main focus point A is therefore subdivided in the following three tasks:

2.1 Creating a Subject Ontology to Distinct Experiments from Simulations: With the help of an ontology, the existing actuators and sensors of an experiment can be described- the input and output data of a simulation or an evaluation algorithm respectively. This way, the interconnection of experiments outside of laboratory limits becomes possible. In collaboration with main focus point E, the measurements and variables are converted into a so-called “Feature vector”, which guarantees the

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interchangeability and interpretation of data. What is also achieved through the semantic distinction of superstructures –by means of interlinking heterogeneous components- is the interchangeability of components for the purpose of either reproducing results or replacing single components in case of failure. In addition and parallel to this, information based mechanisms used for data analysis are introduced. With other words, the processing of experimental data in due consideration of all meta-information applied, such as physical unities, etc. In this case the preliminary work done for the Freiburg FMF is used, which already shows that such an approach can lead to an actual complexity reduction. This way, scientists who work with experimental data can apply and develop complex data analysis algorithms.

2.2 Developing a “Service Broker” as Part of a Roleand Rights-based Module: By means of the service broker, available resources can be booked; it also enables the access to raw and experimental data. For the authentication of the user, Shibboleth technology is used. Any access is automatically recorded and linked to experimental data in a suitable manner. This enables a complete reconstruction of the procedure attempted, including input and output parameters, participants and other conditions (possibly ambient temperature, light settings, etc.). This process serves both for the reproduction and verification of results, but also for protecting any intellectual properties of the experiment. Therefore, an “electronic lab book” is created, which facilitates the comprehension of experiments in a more efficient manner, without any additional expenditures.

2.3 Integrating the Main Focus Points in the 3D Wonderland Engine (Oracle, Formally Know as Sun): The purpose of this sub-project is to supply additional interfaces for virtual and remote experiments in the 3D Wonderland engine. This sub-task also aims at including in the project the previously described, ontology based experiment management system along with the service broker. In addition, suitable software interfaces for simulations, numerical algorithms and access controls are created in the Wonderland.

3 Nanotechnology Nanotechnology deals with the synthesis, qualities, characterization and application of materials which move within an area dimension of 1–100 nm. During the course of the last 15 years, nanotechnology started to become an interdisciplinary science, resulting in the establishment of subject specific Bachelor and Master Studies at


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Universities and Colleges. Strong interdisciplinary factors led to active exchange and overlapping of chemistry, physics, material sciences and in some situations even biology. The extensive number of scientific methods and rudiments necessary for the realization of research, stimulates and demands the joint collaboration of diverse study groups, should they choose to experiment, evaluate and publish any subject related works. This led to the construction of larger scientific centers in countless universities worldwide. In particular, the acquisition and common usage of larger, more complex devices can thus be realized in some of these centers. On account of the interdisciplinary and interlinking necessities, nanotechnology is an extremely fitting approach to be used within the BW-eLabs – in the form of interlinking virtual and remote laboratories to set up new standards in the knowledge management field [JPT06, JBH+ 09]. The Berlin Institute of Technology, and in particular the Thomsen study group [rem], disposes of extensive experiences in terms of nanostructure research at a top international level. Hereto, the research done on carbon nanotubes and related systems should be mentioned (nanoribbons, fullerene, graphene) but also the research on Si-nanowires and CdSe-nanorods. The experimental and theoretical preparations deliver the ideal conditions for the implementation of remote-nanotechnology labs. The available devices used nowadays in nanostructure research, are made accessible to the scientific community within the N ET L ABS scheme: • A Remote-Raman System with physical characterizations of carbon nanotubes is provided (e.g. the diameter regulations and grouping effects were examined). Raman spectroscopy permits a contact free analysis of physical properties and is by means of purely optical technology also indestructible. The provided RemoteRaman spectrometer has a stimulating wavelength of 532 nm and covers a spectral range from −1400 cm−1 to 3300 cm−1 . • A second device which can also be used universally and by many study groups is the scanning electron microscope. This device allows for image production, as well as other characterizations of nanostructures. Both experimental superstructures are integrated in the portal within the scheme of the N ET L ABS , something made possible with minor technical extensions. The scanning electron microscope has an accelerating voltage of 5 kV and a continuously adjustable spatial resolution of up to 30 nm; it is therefore ideal for the characterization of nanostructures. Both superstructures, which complement the “brief and extensive analysis “already commenced in the BW-eLabs, require suitable scheduling, a test dispatch and onsite support. Nevertheless, the main focus points during the term of the project are as follows: the integration of systems in the 3D Wonderland engine [pro], the development of more suitable interfaces between data delivered by the devices and data infrastructures originating from all focus points, the co-development of specialist nanotechnology ontologies, and the co-development of an intelligent access control system.

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4 Robotics Robotics is one of the key technologies present in the 21st century. The essential research areas focus on perception, actuator engineering, apperception and decision making. In terms of perception, the question of sensor technology and sensor combination arises. In the area of actuator engineering, manipulators and movement systems of different areas of application are decisive. And with respect to apperception and decision making, the central points are data processing and filtering of knowledge representations, along with path finding and decisive derivation. In the N ET L ABS project, the cost-intensive aspects required to follow through with the investigation of the previously mentioned areas are reduced. Due to the accessibility of the different robotics applications and by means of evaluating any attempts already made in the decision making phase on an identical platform, new trials are tested faster and at a reasonable price. The environments where these systems can be examined in both a simulative as well as a realistic manner are manifoldtwo areas of application protrude in the context of the N ET L ABS project: • The application ability of robotics systems in production surroundings continues to rise steadily; the necessary cooperation scenarios (between robots or between human and machine) lead to supplementary research questions which must be answered. Further investigations however – in the case of realistic scenarios, e.g. with a collaborating installation- remain financeable only to a few research teams. By means of suitable remote laboratories offered in N ET L ABS, production based research – also interdisciplinary–is carried out in multi-robot-applications and in human-machine cooperation scenarios; any gained primary data is made available to other institutes. Human-robot interaction becomes a significant application within the project. • Autonomous vehicles started to play a more significant role in traffic technology. N ET L ABS integrates movement-supported simulators in the form of virtual laboratories that allow testing of passenger reaction, recognition of danger situations, and even help simulate path finding algorithms. Expensive, cost-intensive environments are linked and made accessible to other research teams. The simulators available within an institute are extended by means of functionalities, and thus allow external control. In these areas of application, security plays a decisive role. This aspect must be taken into consideration when extending remote laboratories during the course of the N ET L ABS project. In addition, measures must be taken to examine how danger scenarios for both human and material can be prevented in remote controlled laboratories. Aspects such as working and IT security etc. must be taken into consideration. This is especially significant in human- machinecooperation scenarios. In this case, diverse concepts are developed to guarantee the safety of the person engaging with remote controlled machines. In addition, robotics acts as a “connection discipline” within this application: actuators which control superstructures/experiments are necessary for remote controlled laboratories. The aim to be achieved in the long run is a reconfiguration of


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laboratory environments; this will lead to a higher flexibility. Moreover, an infrastructure of intelligent “robots”, or better said “robot arms” must be created with the help of which experiments are controlled and laboratories varied. Within the scope of focus point C, additional concepts are developed, prototypically implemented and fitted accordingly to N ET L ABS.

5 Digital Holography One of the aims pursued within the N ET L ABS project is to make digital holography technology [OF06] available to a wider user community. Unlike conventional optical measuring technologies, holography uses a 2-dimensional recording system with the help of which it registers and reconstructs the 3-dimensional wave front in both amplitude and phase, with other words -in the case of a few specific wavelengths the complete optical information. Digital holograms add further advantages to classical characteristics of analogous holograms: • Reconstruction: Additional to the direct, optical reconstruction of the wave field and by means of spatial light modulators, or in an analog way to the classic case, the wave field can also be reconstructed on the computer. • Real-time property: Thanks to the quickly growing bandwidth and computing power, one can record a digital hologram, transfer it to any location worldwide and reconstruct it on a real-time operating system. Digital holography is therefore ideal for the optical transference of information in remote experiments; the miniaturization of devices and the ruggedness of the procedure coincident with an increase in measuring accuracy continue to be challenge areas. Alongside the general suitability for optical sensors and representation systems, digital holography opens unique possibilities in terms of measuring technology: • Short-coherent digital holography is especially suited for microscopic investigations: with the short-coherent method different levels of an object can be shown, and the layer thickness reconstructed up to 20 micrometers. Additionally, the technology can also be used in endoscopic procedures; by means of digital holography, the elasticity of different interiors can be determined and thus, the consistency of object as a whole can be deduced. • Comparative digital holography offers a new coherent-optical procedure. This allows the comparison (e.g. form or distortion) of two nominally identical but physically different objects (Pattern-Test-Comparison). By combining the principles of digital and comparative holography - comparative digital holography (VDH) - adaptable testing methods can be created. This way, there is no need to simultaneously apply the pattern and test functions when a comparison is made. In this manner, inspection results and quality statements based on a real-time operating system can also be obtained in the case of complex test objects.

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• Holography with multiple light sources, or light sources of different wavelengths permits a precise body surface measurement up to a fraction of the wavelength of the used laser. This enables a detailed analysis of surface contours, which plays an important role in both non-destructive testing methods as well as reverseengineering. The construction of an efficient infrastructure for the transference and storage of digital holograms is a valuable, sensor based enhancement for remote control experiments. This development is significant as it allows worldwide access to the complete optical information of an object; it also enables the direct measurement of properties.

6 Data Infrastructure Within the scope of the N ET L ABS project, the eSciDoc infrastructure [esc] – including the still to be developed extensions from the promoted BW-eLabs projectis extended and adjusted. As an “enabling technology”, eSciDoc supports the increasingly stipulated replicability and reusability of research results. It does so by interlinking data and documents/publications with their availability. The architecture of eSciDoc is based on two central layers: “eSciDoc Solutions” provides scientists with concrete working appliances in the form of applications, and focuses specifically on the discipline or on the field of work. For the purpose of creating a service-orientated architecture, the following layer, the “eSciDoc Infrastructure”, provides among other things a huge number of generic and comprehensive service suppliers, long-term storage, management, presentation and visualization, as well as the publication of digital objects. In this manner, eSciDoc covers the entire research process along with the arising resulting artifacts - from any experimental disciplines about the development of electronic lab books to scientific information repositories for the investigation of related questions. The eSciDoc infrastructure does not only take into consideration published results (e.g., in the form of academic articles), but also research and primary data along with various data information. In this case the complex dilemma of retrieving primary data is addressed: within the scope of the BW-eLabs project, primary data catalogues, along with classical bibliographical indices, indicate relevant physical dimensions. For this, a new classifier is used, one that can convert physical size into a feature vector: complex objects are characterized by an n-tuple displaying figures, so that by means of an appropriate distance determining function, still to be characterized objects can be compared and any resemblance can thus be detected. This approach allows for the first time a semantic search within primary data records. The semantic search system will be transferred and - where needed- fitted to the N ET L ABS setting; this still to be developed process will be carried out in the scheme of the BW-eLabs project. In addition, a search system will be developed to facilitate the discovery of labs and lab components; in terms of the usability of the


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portal, this process is particularly important for the further development of national and international groups (users, as well as laboratory providers). According to the requirements of the software components used, additional extensions - in terms of services and adapting interfaces - are carried out. It can be assumed that the interfaces and services developed for the virtual worlds presented in the BW-eLabs project can be adopted and reused. This approach particularly requires the robotics discipline extensions: data structures and metadata concepts for static and dynamic data of robotics are developed and as follows, integrated in the eSciDoc infrastructure [esc]. Already available decentralized services and resources of information – e.g. publications and data repositories relevant for respective communities – are integrated according to current license models present in the eSciDoc legal management system. Ultimately, extensive support is provided for the integration in the planned virtual research environments of the N ET L ABS project; this concerns in particular interfaces and the exchange formats of platforms.

7 Related Work A project similar to that of LiLa is driven by the MIT in the USA: Similar to N ETL ABS: the iLabs project [HdAL+ 08, ila] supported by Microsoft aims at making experiments remote-controlled, and thus having them accessible by web-services for other members over the internet. Very similar to iLabs, N ET L ABS is not fixed to a certain topic, but addresses all engineering and natural scientific fields. Similar to iLabs, we aim at a “single sign on” process to gain access to our resources. This process will be integrated into the Wonderland architecture. The Blekinge Institute of Technology in Sweden started in 2007 the VISIR project [GZH+ 07] Quite similar to N ET L ABS and iLabs, VISIR tries to increase laboratory utilization by sharing remote-controlled equipment across universities. Another similarity is that as many other projects [BI06, JRS+ 05] deploy LabVIEW [lab] by National Instruments to connect experiments to the internet.

8 Conclusion Even though N ET L ABS is an ambitious project for constructing an infrastructure for “virtual” experiments, we want to stress that it is not our aim to substitute the traditional experiment as its value lies beyond the gained scientific insight, namely in training the social communication skills with colleagues. Even though we try to mimic these structures as far as possible in the virtual world, their replication remains necessarily incomplete. Instead, we expect that N ET L ABS makes the best out of the financial problems universities are facing – and establishes a strong federation of universities that is able to support their scientists better than a single isolated institution could.

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Acknowledgments The authors like to thank the DFG (German Research Foundation) for funding N ET L ABS.

References [BI06]

H.A. Basher and S.A. Isa. On-campus and Online Virtual Laboratory Experiments with LabVIEW. In IEEE SoutheastCon, pages 325–330, 2006. [dsp] DSpace website. www.dspace.org, last accessed 23.9.2009. [epr] Eprints website. www.eprints.org, last accessed 23.9.2009. [esc] www.escidoc.org, last accessed 23.9.2009. [fed] Fedora. www. fedora-commons.org last accessed 23.9.2009. [GZH+ 07] I. Gustavsson, J. Zackrisson, L. Håkansson, L. Claesson, and T. Lagö. The VISIR project − an Open Source Software Initiative for Distributed Online Laboratories. In Proc. of Annual Int. Conf. on Remote Engineering and Virtual Instrumentation, 2007. [Haa05] A. Haake. CURE: Das CSCL-Portal der FernUniversität in Hagen − Benutzungshandbuch. http://teamwork.fernuni-hagen.de/CURE/doc/manual.pdf , last accessed 23.9.2009, 2005. Hagen, Germany: FernUniversität Gesamthochschule. [HdAL+ 08] V.J. Harward, J.A. del Alamo, S.R. Lerman, P.H. Bailey, J. Carpenter, K. DeLong, C. Felknor, J. Hardison, B. Harrison, I. Jabbour, P.D. Long, M. Tingting, L. Naamani, J. Northridge, M. Schulz, D. Talavera, C. Varadharajan, W. Shaomin, K. Yehia, R. Zbib, and D. Zych. The iLab Shared Architecture: A Web Services Infrastructure to Build Communities of Internet Accessible Laboratories. IEEE, 96(6):931–950, June 2008. [HSH+ 04] J.M. Haake, T. Schümmer, A. Haake, M. Bourimi, and B. Landgraf. Supporting flexible collaborative distance learning in the cure platform. Washington, DC, USA, 2004. IEEE Press. [ila] iLabs: Internet access to real labs - anywhere, anytime, available. http://icampus.mit. edu/iLabs/, last accessed 23.9.2009. S. Jeschke, B. Burr, J.-U. Hahn, L. Helmes, W. Kriha, M. Krüger, A.W. Liehr, [JBH+ ] W. Osten, O. Pfeiffer, Th. Richter, G. Schneider, W. Stephan, and K.-H. Weber. BWeLabs − Knowledge Management in Virtual and Remote Labs. [JBH+ 09] S. Jeschke, B. Burr, J.-U. Hahn, L. Helmes, W. Kriha, M. Krüger, A.W. Liehr, W. Osten, O. Pfeiffer, Th. Richter, G. Schneider, W. Stephan, and K.-H. Weber. Networking Resources for Research and Scientific Education. In 3rd IEEE International Workshop on e-Activity, Daegu, Korea, May 2009. [JPT06] S. Jeschke, O. Pfeiffer, and C. Thomsen. Vernetzung experimenteller Ressourcen in Forschung und Ausbildung für Nanotechnologien und Nanowissenschaft. In GI Jahrestagung (1) 2006, pages 85–89, 2006. [JRS+ 05] S. Jeschke, Th. Richter, H. Scheel, R. Seiler, and C. Thomsen. Das Experiment und die eLTR-Technologien: Magnetismus in Virtuellen Laboren und RemoteExperimenten. Bonner Köllen Verlag, 2005. LNI. [JRST07] S. Jeschke, Th. Richter, H. Scheel, and C. Thomsen. On Remote and Virtual Experiments in eLearning in Statistical Mechanics and Thermodynamics. In Innovations in E-Learning, Instruction, Technology, Assessment and Engineering Education, pages 329–334. Springer, Dordrecht, NL, 2007. [lab] LabVIEW by National Instruments. http://www.ni.com/labview , last accesses 23.9.2009. [OF06] W. Osten and P. Ferraro. Digital Holography for the Inspection of Microsystems. In W. Osten, editor, Optical Inspection of Microsystems, pages 351–426. CRC Taylor & Francis, Boca Raton, 2006.

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Open steam. www.open-steam.org, last accessed 23.9.2009. OPUS. www.ub.uni-stuttgart.de/wirueberuns/projekte/opus4/. Project Wonderland website. https://lg3d-wonderland.dev.java.net/, last accessed 23.9.2009. Th. Richter, D. Böringer, and S. Jeschke. LiLa: A European Project on Networked Experiments. In Proceedings of the 6th International Conference on Remote Engineering & Virtual Instrumentation, Bridgeport, CT, June 2009. Remote Farm. http://remote.physik.tu-berlin.de/farm/index.php?id=1&L=1, last accessed 23.9.2009. John K. Waters. Sun Makes Its MUVE, sidebar in “A ‘Second Life’ For Educators”. T.H.E. Journal, January 2009.

Natural Sciences in the Information Society First Experiences Grit Köppel, Sabina Jeschke, Nicole Natho, Lars Knipping, Grit Petschik, Christian Schröder, Erhard Zorn

Abstract The goal of the GALILEA project is to design and implement innovative programs and curricula, providing solutions to the changed job specifications for engineers and natural scientists and are capable of attracting more female students to these programs. In this article we outline the design, implementation and the first evaluation results of our pilot program, the bachelor course of “Natural Sciences in the Information Society” that started in the winter term of 2007/08. Keywords engineering education · natural sciences education · gender studies · e-education

1 Introduction For years experts have warned that the number of graduates in engineering and natural sciences fails to meet the growing demands in a high-tech society [oE], [vde] (c. f. Figure 1). Unresolved, this situation will have a strong negative impact on the future development of society and economy. Despite a growing presence of high-tech devices in everyday life, the portion of high-school graduates choosing to study engineering or natural science programs is declining. A negative image of technological studies has been identified as one of the major reasons behind this trend. They are perceived as focusing too much on theoretical issues, while ignoring experimental, hands-on aspects of technological disciplines. At the same time, potential students are alienated by the perceived lack of social relevance and the failure to teach important core skills in school education. In particular, the lack of young women in these fields has been the topic of an intense debate for some time. When designing gender-balanced courses and curricula, it is necessary to emphasize that technological-oriented programs are not less attractive for women but that women’s interests, educational preferences, and requirements differ from those G. Köppel (B) MuLF, TU Berlin, Straße des 17. Juni 136, 10623 Berlin, Germany e-mail: [email protected] © [2010] IEEE. Reprinted, with permission, from “1st Annual IEEE Engineering Education Conference - IEEE Educon 2010 - The Future of Global Learning in Engineering Education”, IEEE, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_23

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Fig. 1 Left: Number of students in engineering and natural sciences programs from 1980-2004 in Germany (pre- and post unification), Right: Graduates in engineering and natural sciecnes per 1000 citizens in selected European countries as of 2003. Graph published in Spiegel Online [ONL], translation added by authors

of “standard” male students [Col]. In addition, not only women would benefit from such an alteration of curricula also supporting non-technological skills and expertise (e. g. soft skills, analytical competencies, or information literacy). The demands of the economy of the 21st century such as lifelong learning and the effects globalization has on today’s employees require engineers and natural scientists to be autonomous, and disciplined. Employees must have sophisticated communication skills such as speaking different languages and working in teams with different cultural backgrounds. In order to accept the challenges, universities have to reconsider their structural and educational concepts. Due to the Bologna process, European universities have the opportunity to reform their curricula. Within the Galilea project [EJN+ 07] our goal is to design and implement such innovative curricula, which answer to the changed job specifications of engineers and are capable of attracting more female students. Our first new Bachelor of Science program “Natural Sciences in the Information Society” started in the winter term of 2007/08. If offers a studium generale of natural sciences at Technische Universität Berlin (TU Berlin) and can be continued either by a corresponding Master of Science course “Natural Sciences in the Information Society” or Physics, Mathematics, Computer Science or Chemistry. This article reports on our first experiences, and evaluation results.

2 The Galilea Project Originally, Galilea was established at the Department of Mathematics and Natural Sciences; however, it is operating as a supporter for many courses at the entire university. The aim of the Galilea project is to design and implement new

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Fig. 2 Wishes of the industry regarding programs. Source [VDM], translation added by the authors

gender-sensitive courses within technical and scientific disciplines. Therefore new curricula have to be proposed, combined with modern educational styles overcoming the above described challenges. In this manner, practical aspects as freedom of scope, comprehensive projects, teamwork, and an internship play an important role. The program has been designed with educational preferences of women in mind. It allocates educational key qualifications and interdisciplinary skills as well as leadership and management qualities. Since language requirements have become important, especially in technical and scientific fields, we decided to offer at least some of the courses in English (Figure 2). One of the main deficiencies in academic education in Germany is the low attendance of young students in large universities. Galilea has an integrated mentoring program, especially for freshmen but also for older students.

2.1 Natural Sciences in the Information Society The “Natural Sciences in the Information Society” (NidI) program as the first Galilea course started in the winter term of 2007/08 with 15 students (9 female and 6 male) and 37 students (17 female and 20 male) in the winter term of 2008/09. It offers a wide repertory of natural sciences, engineering and non-technological courses at TU Berlin. The core attributes of all natural sciences are the close correlation between theory and experiments and the high standards in mathematical and computer sciences education. These connections are the guidelines of the two-tier program: 2.1.1 Bachelor program The NidI Bachelor program provides a great range of access to the basics of natural sciences. The curriculum of this three year program is built on a theoretical basis (59 % of the credit points) and supported by a compulsory elective (21 %) part, a freely chosen part (10 %), an internship (3 %) and a bachelor thesis (7 %). In fact,

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students have about 110 compulsory elective subjects to enrich their individual study plan. The technological broadness of the curriculum accommodates the multidisciplinary interests of women. Therefore, emphasis is put on integrating natural and life science aspects. During the concentrated study, the mandatory internship (of at least 12 weeks in duration) has to be concluded. It ought to give an insight into professional life. The theoretical basis of the curriculum is formed by mathematical and physical courses supplemented by several courses in computer science. Additionally, in the first year there are two mandatory modules in scientific information management chosen selected by at least one the following criteria: • • • •

Content-related course of study, Teamwork in co-ed teams, Teaching core skills, Project-oriented work.

Students are taught general scientific methods they will need for managing projects (i. e. experiments), regardless of the explicit fields they will specialize in. Therefore we provide two new project-oriented Bachelor program lectures “Scientific Information Management” and “New Media in Teaching and Research”. The students are taught basics of knowledge management, presentation techniques, multimedia education, and research. The first course is carried out by the staff of the university library, the second by the Center of Multimedia in Education and Research of TU Berlin.

2.1.2 Master program After graduating with a bachelor of “Natural Sciences in the Information Society”, students have the opportunity to join a master program that will result in the “Master in the Natural Sciences in Information Society”. Since the bachelor program offers a wide basis in the natural sciences it is also possible to join other master programs from the natural sciences (i. e. astrophysics or nanotechnology).

2.1.3 Mentoring program Students can participate in an internal mentoring program providing organizational, social, and technical aspects. This program aims at improving the educational and organizational atmosphere in large universities by a close mutual relationship between freshmen, older students and academic staff. Our goal is to increase the motivation and performance especially of freshmen and women. Beside individual meetings, we provide a wide offering of social events, and additional nontechnological and technological advanced training (i. e. exam stress, programming, or mathematical workshops). The mentoring program also allows us to react quickly if structural or technical problems of the program become apparent.


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2.2 Aim of the Program The industry and economy still have a high demand for interdisciplinarily educated graduates with great scientific knowledge (cf. fig. 2). Multi-disciplinary, application and research-oriented programs impart methods and fundamentals of computer science, mathematics and natural sciences. In the bachelor program students acquire the necessary knowledge and familiarize with general and specific methods for treatment and solution of problems in natural sciences. This enables them to transfer their knowledge to practice and create the basis for continuing their academic studies, e. g. in the master program. The following cross-technical competencies and social skills are mediated beyond the purely technical aspects: • responsible life-long learning, • problem-analysis and development of problem solving concepts, • social, scientific, gender-specific and ethic points of view in action and decision strategies, • multi-disciplinary communication and ability to work in a team, • presentation skills including the presentation of scientific results for different target audiences, • modern methods of scientific information management. After graduation the students are able to find jobs that require great scientific and methodological knowledge whereas the specific skills are acquired on the job. Some examples are: technology writers and other activities with scientific publishers, scientific librarians, advisory activities in politics/ministries/authorities, projectmanagement in scientific-technical areas, science management at universities and research institutes, activities in financial and insurance companies. Most of the structure of this multi-disciplinary program is tailored to suit women’s preferences, yet the large amount of experimental modules might be a problem. Due to their socialization women frequently underestimate their abilities and do not possess the same degree of experience as men [Gun03]. Experiments and theory are closely connected in natural sciences. Consequently it is neither possible nor desirable to design programs in these areas without experimental components. On the contrary: strict emphasis has to be put on the connection between theory and experiment and on offering additional possibilities for experimenting, e. g. virtual laboratories [JBH+ 09]. The bachelor and master programs “Natural Sciences in the Information Society” are the basis to modernize programs, e.g in physics where in general the ratio of female students is one of the lowest of all programs. The development of a program in astrophysics as the field of physics that is traditionally very attractive for female students could be an example. This is reflected in the numbers of students graduation in physics at TU Berlin: Only about 10 % of all physics students are women, yet approximately 30 % of all female graduates and scientific assistants choose astrophysics as their specialization.

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For a detailed summary of the “Bachelor of Natural Sciences in the Information Society” programs please see [JNPZ09].

3 Evaluation of the New Courses Overview So far students’ feedback indicates that we are on the right track. We learned that the high relevance of practical courses and projects in these modules, the extensive access to laboratories and independent experimenting, the possibility of a wide choice and the internship are of special interest for our female students. The mentoring program of the course also allows evaluating the success of the program itself. This feedback from students is crucial, especially in the first year, in order to make adjustments to the program. This hopefully leads to more support from graduates in the future, e. g. by becoming mentors or providing internships for students. We evaluated both courses and found out that the concept was generally well accepted. Male students appreciated the courses focusing on gender aspects even more than female ones. The courses were offered a second time, but an evaluation has not been conducted so far To find out if and how the students’ point of view changes during the term, each course was evaluated twice. There was a weekly poll for “Scientific Information Management” and a final questionnaire evaluation, whereas “New Media in Teaching and Research” has been assessed monthly and ended with a final questionnaire session. The results will be presented in brief.

3.1 Integrated Lecture: Scientific Information Management 22 students took part in the weekly evaluation over a total of nine weeks. Every time five male and five female randomly-sampled students were interviewed. The male students followed the lessons a bit more concentrated and took part more actively than female students did. They also expressed to have learned a lot for use in the future. In the final evaluation, the students evaluated the course with average grades. They expressed that they had learned a lot and were able to transfer it into practice. The students were able to handle the level and scope of this course very well. Different kind of media used in the lessons motivated the students. They preferred to work in mixed teams. The students even appreciated the mandatory attendance of this course because they understood that it was adequate due to the teaching methods applied [JNPZ09].

3.2 Integrated Lecture New Media in Teaching and Research Each of the 20 students (12 male and 8 female) and the three lecturers were interviewed to compare their impressions of the students’ participation during the


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lessons (monthly evaluation). While the assessment of their own contributions to the lessons was balanced around a good average, the lecturers were more pleased than the students thought they would be. However, this changed in the second half of the term. For the final evaluation, only students were interviewed. They considered this course to be useful for their future and that they would use the learnt methods (e. g. presentation skills) in their everyday life. They really liked this course and graded it with an average of 1.75 on a scale from 1 (best) to 4 (worst). The level and scope of this course were adjusted to the students’ previous knowledge. There was no mandatory course attendance, yet 45 % of the students visited almost every lesson, 70 % attended more than half of all lessons. Four of them would have even preferred a compulsory attendance. The students enjoyed the different kind of examinations (“prüfungsäquivalente Studienleistungen”): There were four different types of exams: an oral exam, several assignments, delivering a scientific paper and a presentation. The students appreciated the oral exam the most (average: 1.42 on a scale from 1 to 4) and the assignments the least (average: 1.95). Referring to these types they claimed to be able to present the topic and their knowledge more easily. Altogether, we found that the concept was well accepted both by male and female students. Besides the acquired knowledge students developed useful soft skills and applied them immediately in other courses. Although there are some aspects that still need to be improved, the concept seems to be successful. During the present term similar evaluations are carried out to validate these results and to find out what has improved and what else needs to be done.

3.3 Mentoring The evaluation of the mentoring program was included all participants – mentors and mentees. All mentors were evaluated through means of a short questionnaire, and all mentees completed four guided interviews with some additional questions included in a short questionnaire. Two female mentees and two male mentees filled out the questionnaires. Respectively, one of each mentees was actively participating in the mentoring program. At the time of the questioning, all mentees were at the end of the second term. Generally, the acceptance of the mentoring program by active mentees was positive, whereas the temporal effort strongly varied (2 to 9 hours per term). But only one non-active mentee positively reviewed the program. According to the asked mentees the aim of the program is to assist students through a contact person during their studies and especially at the beginning. However, the interviewees seem to have no specific conception of the program. Therefore, the mentoring program was used mostly at the beginning of the studies, in order to clarify organizational questions. If no concrete questions arose, the mentees did not make use of the program. It was criticized that there were difficulties to make appointments and that clear guidelines were missing. Both mentors and mentees should have had a clear conception of the meaning of mentoring. However, if there was a personal relationship between

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the mentor and the mentee, the conceptions and expectations of the mentees were satisfied. This relationship was characterized as amicable. The general aspects of the mentoring program were of interest to the mentees. This part of the program was also used in parts if the student did not have a mentor. An obstacle of active participation in the mentoring program is represented by the first appointment with the mentor. If this took place, then generally a good relationship between the two formed. However, different challenges appeared due to the status group of the mentor (student, scientific staff, professor). Thus, appointments with the status group “professor” hardly took place. In contrast, friendly relationships arose out of the status group “students” in which the mentoring becomes less important.

4 Summary and Future Work Especially the German industry needs more qualified engineers and natural scientists at this point in time. The number of students currently enrolled in the corresponding programs is too small to fill this gap. While more female students could stand in, the majority of these programs are rather unattractive to women. In particular, many students in these fields are not well prepared for their future professional life. Thus, important soft skills or communications skills are needed. Numerous evaluations [Col], [Sch99], [Sch78] prove that the quota of women in the programs mentioned is considerably increased by special adaption to their needs (e. g. multidisciplinary). However, this can only be achieved if the curricula are readjusted. Moreover this can also motivate numerous male students. The awareness in Germany to readjust courses of studies is developing very slowly, yet constantly growing. In addition, there are many efforts to encourage female students. Thus, female students will be supported from kindergarten onward all the way to studies at the university level through scholarship programs. However, the criticism grows that many male students are now facing disadvantages due to the changing gender stereotype settings and activities [e.V]. Therefore a lot of male school graduates would not continue to university any longer and would also not come into consideration for a qualified profession. At TU Berlin the mentioned challenges are well-known, and different solutions are being sought out. TU Berlin strives to be a forerunner for new challenges in research, economics, and society, in order to achieve a new image of engineering and natural sciences. One of these approaches is the Galilea project financed by the European Social Fund (ESF). Galilea is designing programs in order to increase the quota of women in engineering and natural sciences by integrating specific female requirements and new educational paradigms. Through the Bologna declaration [eur99], [con] the incentives for completely new programs are provided since the two-tier bachelor and master system is a completely new structure in the academic education in Germany. Therefore, the Galilea project designed the new program “Natural Sciences in the Information Society” aiming at a quota of about


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50 % female students. This new approach is integrated not only into the concept of the entire program but also through the individual lectures “Scientific Information Management” and “New Media in Teaching and Research”. These two lectures for the Bachelor program were evaluated. Generally, the lectures were positively assessed. During the first run of these lectures students identified some technical procedures such as high expenditure of work or too many examined topics to be disadvantageous. The multidisciplinary approach was assessed as good, and the students had the feeling that the lectures impart soft skills that can be useful in further studies or future jobs. In addition to the changed curriculum a mentoring program is integrated into the Galilea program, accompanying students throughout their studies. An evaluation of the mentoring program took place as well. Here, the biggest issue found was that the meaning of the notion “mentoring” is not universally understood, in spite of efforts of explanations in training courses. Students are already aware of the existence of a contact person, but this offer is accepted mainly in the first term. Nevertheless, the program was evaluated positively. A good approach was to enlist sophomore students as mentors for their freshmen fellow students. The developing relationships are considered amicable and lasting. In further evaluations, we would like to examine specific problems within the lectures and the mentoring program to improve our courses.

References [Col]

S. Collmer. Wie Gender in die Technik kommt – Computerkompetenz für Frauen. Talk, available online. [con] Confederation of EU Rectors Conferences and the Association of European Universities (CRE). The Bologna Declaration on the European space for Education: an explanation. Technical report. [EJN+ 07] Maria Elsner, Sabina Jeschke, Nicole Natho, Olivier Pfeiffer, and Christian Schröder. Attractive Universities: New Curricula in Natural Sciences and Engineering. In Meeting the Growing Demand For Engineers and Their Educators 2010 - 2020 International Summit (IEEE), pages 1 – 7, Munich, Germany, November 2007. IEEE Computer Press. [eur99] European Ministers of Education. The Bologna Declaration of 19 June 1999. Technical report, 1999. [e.V] Kompetenzzentrum Technik-Diversity-Chancengleichheit e.V. Neue Wege für Jungs, Ein geschlechtsbezogener Blick auf die Situation von Jungen im Übergang Schule Beruf. Technical report. [Gun03] Cathy Gunn. Dominant or different? Gender issues in computer supported learning. Journal of Asynchronous Learning Networks, 7(1):14 –30, 2003. [JBH+ 09] Sabina Jeschke, Barbara Burr, Jens-Uwe Hahn, Leni Helmes, Walter Kriha, Michael Krüger, Andreas W Liehr, Wolfgang Osten, Olivier Pfeiffer, Thomas Richter, Gerhard Schneider, Werner Stephan, and Karl-Heinz Weber. Networking Resources for Research and Scientific Education in BW-eLabs. In Software Engineering, Artificial Intelligences, Networking and Parallel/Distributed Computing, 2009. SNPD ’09. 10th ACIS International Conference on, pages 47–52, Daegu, South Korea, May 2009. IEEE.

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Grit Köppel et al. Sabina Jeschke, Nicole Natho, Olivier Pfeiffer, and Erhard Zorn. New Media in Education and Research - a Sophomore Lecture at TU Berlin. In Proceedings of the 5th IEEGCC Conference and Exibition, March 17-19 2009, Kuwait-City, Kuwait, Al Kuwait, Kuwait, March 2009. IEEE Computer Press. VDI The German Association of Engineers. Ingenieurmonitor August 2009. Technical report. SPIEGEL ONLINE. Wirtschaft bangt um den Technik Nachwuchs. http:// www.spiegel.de/unispiegel/jobundberuf/0,1518,500843,00.html, last retrieved 18.01.2010. C. Schiersmann. Zugangsweisen von Mädchen und Frauen zu den neuen Technologien – eine Bilanz vorliegender Untersuchungsergebnisse. Technical Report Jg. 5, H. 1/2., 1978. H. Schelhowe. Interaktivität der Technologie als Herausforderung an Bildung. Zur Gender-Frage in der Informationsgesellschaft. In Forschungsinstitut Arbeit, Bildung, Partizipation (FIAB): Jahrbuch Arbeit, Bildung, Kultur, volume 17, pages 49 –55. 1999. vde. http://www.vde.com/nr/rdonlyres/fa117595-4ca3-4fcc-a337-292551222 fee/2859/vdemonitor2004.pdf, last accessed 18.01.2010. VDMA. http://www.vdma.org/wps/portal/Home/en, last retreived 18.01.2010.

Bringing Problem Based Learning to Academic Engineering Education using Robotics as the Utility Vehicle Nicole Natho, Sabina Jeschke, Lars Knipping, Olivier Pfeiffer, Ursula Vollmer, Marc Wilke

Abstract The Robinson curriculum uses student defined projects in robotics to achieve two basic goals. First, we are introducing students of engineering and the natural sciences to the field of robotics itself, while teaching the problem-solving skills necessary for their future work and career, Second, we aim to increase technological literacy in students of other fields and high school students (in shorter courses) while attracting more students to modern technology and technologically oriented careers through the interdisciplinary popularity robotics enjoys throughout modern society. Based on the experience gathered in these classic project-oriented courses, we propose to expand the concept, using robotics as the basis for a problembased learning (PBL) course, concentrating even more on teaching scientific and engineering skills rather than robotics itself. The interdisciplinary of robotics makes it an ideally suited candidate for such an approach as it incorporates skills and knowledge from diverse fields of engineering, the natural sciences and beyond. Such a course teaches engineering students the skills required in their future work place based on problems similar to those encountered in their professional careers. Keywords Education · Problem-based Learning · Robotics

1 Introduction Robotics holds a unique place among the technological disciplines due to several important factors. First, robotics is by its very nature highly interdisciplinary with contributions from many diverse fields, ranging from engineering to the social sciences. Some limited examples would include: • Electrical and mechanical engineering (body, motive system, manipulators, tools, sensor systems). • Power System Engineering (power supply, actuators) N. Natho (B) MuLF, Berlin University of Technology, Straße des 17. Juni 136, 10623 Berlin, Germany e-mail: [email protected] Originally published in “Proceedings of the 2009 4th International Conference on Mobile and Computer Aided Learning (IMCL 2009)”, © OnlineJournals.ORG, Vienna, Austria in cooperation with kassel university press, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_24

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Solid State Physics (sensor systems, power supplies) Psychology (interaction and communication with humans, HMIs) Computer Science (software and artificial intelligence) Cybernetics

Similarly, applications for robotics range from industrial engineering to microinvasive surgery and caring for the elderly, providing a high degree of social relevance and impact. Second, and as a result of the above variety, a project in robotics will put a high emphasis on team work and communication skills. Students will need to communicate and coordinate their efforts, especially to bring unique expertise, both previous and gained in the course of the project, to bear towards the defined goal. Thus, robotics projects are well-suited for students to learn and train the soft skill required in their future careers as modern day engineers. For our curriculum we use a special teaching method: problem based learning (PBL). Team work and communication skills are naturally furthered with PBL. Furthermore, the differences in the students’ levels of knowledge help to complement these skills and this way of autonomous teaching additionally motivates students in the course. In addition, robotics, in particular mobile robotics, holds a special fascination among all the technological fields: Starting with the first “automatons” of ancient times (Archytas of Tarent, Heron of Alexandria) and da Vinci’s studies of androids to the modern heroes of movies and literature, robots (and in particular, humanoid robots) have always captivated the fantasy of human beings. Probably better than most technological fields, robotics can be used to bring students into engineering and the natural sciences while providing motivation based on already existing interest. Using this combination of interdisciplinary combined with wide spread popularity helps attract students from diverse disciplines, even non-technological fields. Taking advantage of this effect, we propose problem-based learning for engineering and applied science based on robotics projects. Engineering student will learn new skills and acquire new knowledge based on a problem similar to those they might encounter in their future professional careers.

2 Problem-Based Learning Already in ancient times under Socrates it was well-known that the putative ignoramus finds gradual solutions to complex problems starting from a question. This ability is also of crucial importance in today’s knowledge and information society. This style of teaching is called “Problem-based learning (PBL)”. It was developed in the seventies by Howard Barrows et al. [BT80]. He developed a problemoriented curriculum for medical students on the basis of the ideas of David Boud [BF98] and John Dewey [Dew16]. Today this idea is used in numerous technical disciplines also.

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The intention of problem-based learning is the development of skills for precise acting by using problems that were designed to be as authentically as possible in a motivating workflow. In addition, PBL wants to impart social, technical and methodical skills. A further important characteristic is the basic attitude towards learning: learner and educator are equivalent persons regarding technical knowledge and behavioral role. According to Barrows [Bar96] a PBL curriculum has the following characteristics: • • • • • •

Learning is student-centered. Teachers are facilitators or guides. Learning occurs in small student groups. Problems form the organizing focus and stimulus for learning. Problems are a vehicle for the development of problem-solving skills. New information is acquired through self-directed learning.

A problem-based curriculum is arranged for developing the ability of solving problems. Operationalization of learning targets takes place via key skills, and not as in traditional teaching methods in form of bits and pieces of knowledge. According to Weber [Web04], the following key skills are communicated in a PBL curriculum: • • • • •

professional qualifications (expertise), methods and/or media qualifications (methods for the search of approaches), social skills (social behavior in learning environments and teams), personal qualifications (development of the personality), problem solving qualifications and decision-making and responsibility.

In the terms of Barrows [Bar00] the primary educational goals are developed according to the specific competencies of the particular target audience: 1. Acquisition of structured knowledge regarding the problems. 2. Development of efficient problem solving strategies (reasoning) for real world examples 3. Development of effective skills of self-directed learning and team work. 4. Enhancing students’ motivation. Questions and/or problems are developed by stepwise asking (genetically). Moreover the students should be solving problems as autonomous as possible. The lecturer or instructor is only a workflow moderator and not a knowledge transfer moderator. For complex problems, such a procedure is very difficult to realize. Therefore Meril [Mer02] [Mer07] suggests integrating the elements of “instructional design” (c.f. figure 1). In this way, complex problems are reconstructed by sub problems that are subsequently moderated according to PBL.

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Fig. 1 Instructional Design [vMBH04]

3 Defining Robotics-Projects for PBL Robotics offers numerous problems touching upon knowledge from many different fields of science. Based on our experience in a previously taught, project-based robotics course (see chapter 5), we want to adopt the course to PBL. This would give the students a better understanding of how the theory (currently taught in a separate, classic-style frontal lecture) relates to the praxis they will face in their professional careers. Given the broad multidisciplinarity of robotics, it is possible to motivate and teach knowledge and skills from a variety of fields. Let us consider the following example of a wheeled motive system for a robot. Figure 2 shows a robot based on the LEGO Mindstorms’ set of robots [FFA07] [BDD+ 07]. This robot was designed and built by students during the first “Robinson Ing” course taught at the University of Stuttgart. The students had defined their own project: A robot capable

Fig. 2 LEGO Mindstorms Plotter Robot designed by students


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of plotting a vector-graphic onto a sheet of paper. The motive system consists of two independently controlled wheels, each powered by an electric motor and monitored through a rotation sensor. The engine can be controlled by providing an angle of rotation and a power level for the movement. As the students quickly learn, it is not quite easy to move the robot along a given course. Even moving in a straight line becomes a challenge as the robot does not include any navigational system beyond the rotation sensors. Differences in slip and friction between the wheels have to be considered and addressed before the robot can move in any way approaching the precision required for its intended use as a plotter. What knowledge can we teach using this robot and its motive system and how can we refine the problem from a rather basic starting point to an advanced solution following the approach suggested by Merrill [Mer02] [Mer07]? 1. We start with a simple problem: Build the motive system and let the robot move a given distance in a straight line. The students will be given the characteristics of the electric motor and will be able to determine the movement by integrating the equations of motion given the angular momentum and the mechanical and geometrical property of the transmission system, the wheels and the mass of the robot. After implementing the results the students will soon realize that the robot is not moving in a straight line as effects of friction and slip result in the two wheels moving at different speeds. 2. Help the students consider the effects of friction. They will have to study friction, the difference between static friction, rolling resistance, and sliding resistance and how to determine which is applicable using the rotation sensors of the motors. They will also have to expand the originally one-parametrical equation (one, equal angular momentum applied to both wheels resulting in movement in one direction) to include two parameters (the different angular momentums of each motor) and a course in two dimensions. 3. In trying to solve the problem of the uneven movement they will come across (with a little guidance) cybernetics and the idea of controllers. They might implement a PID controller in software to navigate their robot in a straight line. 4. Expand the problem to include more complex navigation and let them solve the problems arising. 5. Let them consider other movement systems such as tracks or maybe even legs and why they might or might not be an improvement over the original wheeled system (Tracks always have slip in a corner, making it harder to follow a precise course). 6. Now expand the problem to include the movement of the pen across the paper dependent on the movement of the wheels. This will lead to studying coordinate transforms, especially if the pen is not mounted in the center of mass or if the (hypothetical) axle connecting the wheels does not intersect the center of mass. As can be seen from this rather basic example we are able to include numerous concepts from mechanical physics, geometry, calculus (to solve the equations of motion), and cybernetics. Depending on their previous experience, software engi-

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neering might be included as well. At this point, we have only been concerned with the movement of the robot and two sensors (the rotation sensors integrated into the electric motors). Further expansion of the project could include: • Mounting additional sensors to improve navigation (magnetic sensors acting as a compass, acceleration or gyroscopic sensors to map the actual movement) or expand on the functionality of the robot (different color sensors to add scanning). Students would study how these sensors work and how they can be used to improve their robot, touching solid state physics and electrical engineering as well as other areas of physics to interpret the output of the sensors. • Different data formats for the images to be plotted, leading into any number of subfields of image processing and geometry. Including popular image formats like JPEG would lead to image compression and related mathematics (Fourier analysis, statistics). • Any number of algorithmic improvements to take better advantage of the limited computational power and memory of the robot’s controlling unit. • Using an external computer to solve more complex computational problems. Students would have to study the bus system provided by the robot’s controlling unit (I2C, USB, and Bluetooth) and different data transfer protocols, possibly including data compression algorithms (s. a.). As the students’ skills and knowledge improve and their motivation is kept up by their interest in improving their robot further and further (experience in teaching robotics show that the problems arising from these improvement do not lessen either), the guidance provided by the instructor will (have to) slowly fade out. In addition to these “hardcore” technical skills, students will be instructed in related skills such as technical writing (preliminary specification of the project, documentation, presentation of the final robot to their peers), project management (distributing the work, quality assurance, learning what is doable and when to cut a feature etc.) and team work related skills (especially communication skills in relating new knowledge, discussing and criticizing ideas). For more on these topics see also chapter “Previous Experience and State of Preparation”.

4 Related Works Problem-based learning was originally developed and applied in medical training for doctors during the late 1960s [SNB90], particularly at McMaster University in Hamilton, Canada. It has since been expanded to other fields. The advantages and challenges of PBL have been widely studied [SvB08] and criticized [KSC06]. The general outcome of these studies shows that PBL has advantages over the classic forms of instruction concerning long-term retention, free recall and application of skills [AM93] [Dea03]. In contrast, PBL proved less effective in immediate postcourse examinations and multiple-choice tests [Dea03]. PBL also tends to overwhelm students at the early stages of study, suggesting that worked examples might be an improved starting point [KSC06].


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The advantages of using robotics as a door opener to attract more students to engineering and other technologically oriented fields was recognized by the “ROBERTA” project of the IAIS Fraunhofer Institute [AM93]. “ROBERTA” uses LEGO Mindstorms’ robots in short courses for high school level female students. The Institute for Personal Robots in Education (IPRE) launched a project similar to Robinson [Bla06] at the beginning of 2007. The project focuses on the use of robots in computer science education. The IPRE, a joint effort between Georgia Tech and Bryn Mawr, developed a special robot for this project. This robot should be cheap enough for every student to buy and use it for learning programming throughout the whole course of studies.

5 Previous Experience and State of Preparation The Institute of IT-Services (IITS) at the – mostly technologically oriented – University of Stuttgart has just finished the first course of a new, project-oriented program for robotics. This course, referred to as “Robinson Ing” was aimed at teaching robotics to 5th semester students of engineering. Currently, the course is projectbased, not PBL as such yet. Engineering students, especially at the beginning of their studies, often lack insight into the working life of an engineer. The students tend to have problems in realizing the importance of the basic courses, which they have to attend, for their chosen subject of studies. The multidisciplinary field of robotics can help in linking basic knowledge with its importance, as well as emphasizing the relevance of looking beyond one’s own nose. Furthermore, the “Robinson Ing” module aims at forming social skills and conveying methodologies for solving complex multidisciplinary challenges. Basic concepts of soft and hardware engineering are taught already at a very early stage of the studies, as well. The course consists of a series of introductory lectures, accompanying the practical part, followed by a presentation task. The lecture topics of this course provide a general overview on robotics, without any special focus. Additionally, the projects are not limited to a specific topic, so that the students have even more freedom in the choice of their projects. The course “Robinson Ing” is primarily aimed at bachelor students of electrical engineering and the computer sciences and is part of their core elective courses. “Robinson Ing” is designed and lectured as an integrated “interdisciplinary robotics laboratory: soft and hardware engineering” for engineering students. It is held each semester during regular term or as a compact course in semester break and consists of three basic components: • a series of introductory lectures, giving an overview to selected principal topics with reference to robotics (2 hours per week, 11 weeks), • a practical training in small groups of 3–4 students designing, building and programming whole robots or robot components (4 hours per week, 11 weeks), and

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• a seminar and presentation part, giving the teams the possibility to demonstrate their project results on a project web page and to introduce it to their lecturer and fellow students during an oral presentation in class (6 hours per week, 2 weeks). After some introductory lectures, students are supposed to form teams and choose their project topic. Before implementation starts, the topics are to be presented by the students. During the implementation phase, lectures focus on different aspects of robotics. Thus, the course includes all components of an “integrated course”, which makes it a complex, but also highly challenging course, of which the students profit in many ways. All components, i. e. the lectures given by the instructor, the hands-on training, and the students’ presentations contribute to the final grades. On the one hand, students acquire important theoretical foundations and knowledge. On the other hand, they have the possibility to practice important soft skills, which they will need later on in their professional life. First practical experiences confirmed the huge potential of robotics to motivate students. “Roberta” courses for girls, held on different occasions, have been met with considerable interest. The participants, even the ones more doubtful at the beginning, were thrilled by the courses. Even before the first “Robinson Ing” course started, the students’ interests could be seen in the number of applications for student instructor positions. The students’ interest in the “Robinson Ing” course taking place at the University of Stuttgart in the summer term 2008 was overwhelming. At the first meeting, far more students than expected wanted to sign up. These students came from different backgrounds, such as computer science, software engineering, technical cybernetics, electrical engineering, mechanical engineering, physics, math, computational linguistics, and technical pedagogics. They were willing to participate in the course, even if they could not get credit points for their studies. The evaluation of an interrogation of the students at the end of the term provided good results (cf. fig. 3). Most of the students stated that the course was clear and well

Fig. 3 Evaluation of the first “Robinson Ing” course


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structured. Questions, covering this aspect included the formulation of goals and requirements, the structure of the course, the relevance of the topics and references to other areas, explanations, media, and methods. In a PBL course, the relevance of the learning topics would be even more understandable for the students. Each learning unit would be embedded in the project at the best fitting point in time. The students attested a good preparation of the lecturers and a good organization of the whole course. Experiences from this course and a restriction in the number of participants will improve the organizational aspects even more. Students felt free to ask questions and place comments. The students declared that their interest in the topic has been brought forward by the course. They were satisfied with the number of topics, that were dealt, but some would have preferred a bit more detail and challenge. PBL would be an ideal method to meet this requirement. In a PBL project, necessary information would be given to the students at the moment most needed and at the exact level of detail needed. The announcement of a follow-up robotics course was taken with a lively interest by the students participating in “Robinson Ing”.

6 Conclusion and Outlook Based on our experiences with project-based robotics courses we propose teaching engineering knowledge and skills in a PBL approach based on robotics. On the one hand, the switch to PBL would conserve the strengths and advantages of our current approach, particularly taking advantage of the popularity of robotics and the handson approach of a project to increase motivation, while training and teaching soft skills throughout the course of the project. On the other hand, PBL would address some of the criticism given by students, the lack of direct application of the lectures to the projects as well as the varying level of detail and challenge. Similarly, we will be forced to limit the degree of freedom the students enjoy in choosing and defining their own project. All students would have to work on the same project or, at best, one project selected from a small range of predesigned projects. Overall, we expect the benefits of changing our paradigm to PBL the disadvantages.

References [AM93]

[Bar96]

[Bar00]

M A Albanese and S Mitchell. Problem-based learning: a review of literature on its outcomes and implementation issues. Academic Medicine: Journal of the Association of American Medical Colleges, 68(1):52–81, January 1993. PMID: 8447896. H.S. Barrows. Problem-based learning in medicine and beyond: a brief overview. In Luann Wilkerson and Wim H. Gijselaers, editors, Bringing Problem-Based Learning to Higher Education: Theory and Practice: New Directions for Teaching and Learning. Jossey-Bass, San Francisco, 1996. H.S. Barrows. Problem-based learning applied to medical education. University School of Medicine, Springfield, Southern Illinois, 2000. Rev. 1994 Ed.

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[BDD+ 07] Martijn Boogaarts, Jonathan A. Daudelin, Brian L. Davis, Jim Kelly, Lou Morris, Fay, Rick Rhodes, Matthias Paul Scholz, Christopher R. Smith, and Rob Torok. The LEGO MINDSTORMS NXT Idea Book: Design, Invent, and Build. No Starch Press, 2007. [BF98] David Boud and Grahame Feletti. The Challenge of Problem Based Learning. Routledge, 2 edition, 1998. [Bla06] Douglas Blank. Robots make computer science personal. Communications of the ACM, 49(12):25–27, 2006. [BT80] Howard S. Barrows and Robyn M. Tamblyn. Problem-Based Learning: An Approach to Medical Education. Springer Publishing Company, 1980. [BT95] R.D. Barr and J. Tagg. From teaching to learning - a new paradigm for undergraduate education. Change, pages 13–25, December 1995. [Dea03] F. Dochy and et al. Effects of Problem Based Learning. Learning and Instruction, 13:533–568, 2003. [Dew16] John Dewey. Democracy And Education. Free Press, Original from The Macmillan Company, 1916. [fAiSA06] St. Augustin Fraunhofer-Institut für Autonome intelligente Systeme AIS. Roberta Grundlagen und Experimente, volume 1. IRB Verlag, 2006. [FFA07] Mario Ferrari, Guilio Ferrari, and David Astolfo. Building Robots with Lego Mindstorms Nxt. Syngress Media, April 2007. [KSC06] P.A. Kirschner, J. Sweller, and R.E. Clark. Why minimal guidance during instruction does not work: An analysis of the failure of constructivist, discovery, problem-based, experiential, and inquiry-based. Teaching. Educational Psychologist, 41(2):75–86, 2006. [Mer02] M. David Merrill. A pebble-in-the-pond model for instructional design. Performance Improvement, 41(7):41–46, 2002. [Mer07] M. David Merrill. A task centered instructional strategy. Journal of Research on Technology in Education, 40(1):33–50, 2007. [SNB90] H. G. Schmidt, G. R. Norman, and H. P. Boshuizen. A cognitive perspective on medical expertise: Theory and implications. Academic Medicine, (65):611–621, 1990. [SvB08] J. Strobel and A. van Barneveld. For What Learning Outcomes is PBL Effective. In Proceedings of the Research Symposium of PBL in Engineering Education, Aalborg, Denmark, 2008. [vMBH04] J.J.G. van Merriënboer, Th. Bastiaens, and B. Hoogveld. Instructional design for integrated e-learning. In Wim Jochems, Rob Koper, and Jeroen Van Merrienboer, editors, Integrated E-Learning: Implications for Pedagogy, Technology and Organization, page 15. Kogan Page, London, UK, 2004. [Web04] Agnes Weber. Problem-Based Learning: Ein Handbuch für die Ausbildung auf der Sekundarstufe II und auf der Tertiärstufe. hep verlag, 2004.

New Media in Education and Research – a Sophomore Lecture at TU Berlin Nicole Natho, Sabina Jeschke, Erhard Zorn

Abstract Information flood is an essential facet of the digital age. Consequently, organizing information of an explicit subject efficiently, without losing the overview is difficult. In education and especially in academic education, information management is a sensitive issue for freshmen and sophomores. Many students are overburdened with the new situation at university having to organize and manage all the new knowledge they obtain in lectures. The use of new media by lecturers and students provides an opportunity to overcome these challenges. Moreover, communication, cooperation and interaction with each other are examples of the social skills, being nowadays’ important factors in education and professional life. We present the application OneNote by the use of Tablet PCs in a sophomore lecture at the Berlin Institute of Technology, aimed at teaching students how to cooperate in their project-work using this collaborative platform. The implementation is described and a first evaluation is presented. Finally, a highly desirable extension for integrating mathematical notation is outlined. Keywords Tablet PCs · Collaborative Work · Cooperative Work · Academic Education · Information Management

1 Introduction Information flood is an essential aspect of the digital age [oCRL], [Hey05], [Str08]. Consequently, organizing information of a specific subject efficiently without losing the overview is difficult. In education and especially in academic education, information management is a sensitive topic for freshmen and sophomores. Many students are overburdened with the new situation at the university having to organize and manage all the new knowledge getting from lectures. The use of new media by lecturers and students provides an opportunity to overcome these challenges. N. Natho (B) MuLF, TU Berlin, Straße des 17. Juni 136, 10623 Berlin, Germany e-mail: [email protected] © [2009] IEEE. Reprinted, with permission, from “Proceedings of the 5th IEEE GCC Conference and Exhibition”, IEEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_25

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Unfortunately, many of appropriate software applications need a lot of training time. In addition, lecturers cannot spend endless time to prepare a perfectly computerized course induced by the complexity of these software applications. What can we do for both parties? Focusing on the social skills like communication, coordination and cooperation as nowadays’ important factors in education, collaborative software applications possess a high potential to support the learning, teaching and research processes at university by the means of the new media and new technologies [CJL07]. As a part of the Galilea project1 , introduced at the Technische Universität Berlin, the new gender sensitive Bachelor of Science program “Natural Sciences in the Information Society” [JNP+ 07], [JEN+ 07], [DEJ+ 08] provides two new innovative lectures, which started in winter term 07/08 and summer term 08: 1. Scientific Information Management (freshmen) and 2. New Media in Education Research (sophomores) This innovative program is designed to be very interdisciplinary while offering a broad spectrum of lectures in natural sciences, mathematics and computer science to a manageable student group of about 30 persons. The lectures “Scientific Information Management” and “New Media in Education and Research” were tailored to complete this program, are part of the compulsory lectures, and are perfectly suited to introduce concepts of Information Management using Tablet PCs in education. To overcome the above described challenges, we use the collaborative platform Microsoft OneNote 2007 [mic], [HKP08] (c. f. figure 1 for a screenshot) in the lecture “New Media in Education and Research” as a software application especially for Blended Learning Scenarios. One Note is a digital notepad with the flexibility of a classical handwritten notepad. Because of its affinity to other well-known of-

Fig. 1 Microsoft OneNote 2007 screenshot 1

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fice products, it is easy to use after a short training period. The use of OneNote in this context is based on the fundamental assumption that nearly everybody knows how to use office applications. Respectively, this collaborative platform offers the possibility to integrate with several office products. All notes are freely placeable and can be archived by different methods such as tagging or sorting by usefulness. Starting other applications and recording talks or small videos (podcasts) within this digital notepad is also possible. Internet resources can also be attached and tagged to notes. Besides, OneNote supports mobile devices as Tablet PCs, PDAs, and graphics tablets for handwritten notes. Briefly, the benefits of this application are its clarity, usability, and the opportunity to convey soft skills. In the following chapters, we present the preliminary results of our first evaluation. In line with the evaluation, the second chapter describes the theoretical and practical settings of this project in detail, and the comments of the students. Moving on, the third chapter reviews the drawbacks of the use of OneNote against the background of natural sciences and mathematics.

2 Concept The lecture “New Media in Education and Research” is organized as an integrated lecture; i. e. it consists of frontal lectures by the teacher and project work, accomplished by the students in groups. Several projects are currently set up and carried out by the students using Tablet PCs and OneNote.

2.1 Blended Learning Scenario in Higher Education Blended learning is a model of education, combining traditional didactical methodologies with new media technologies for the presentation and distribution of knowledge. Therefore, this method unites the flexibility and efficiency of the new media with social components such as face-to-face communication, which is an important factor in modern higher education [Rei03], [SPW03], [Ker02], [KdWS02]. Done right, blended learning ensures the quality of the academic curriculum [Rei], [HTY06], [Sim], [HMB09]. Moreover, from a psychological point of view blended education brings together different kind of didactical theories such as constructivism [Rei03], [Fos96], behaviorism, and cognitivism , to support different types of learners in their individual learning process [MB05]. However, the main educational presentation for imparting basic knowledge about a field of study is still a lecture. In addition, faculty can concentrate on special topics in tutorials and seminars. However, in all models of educational styles, it is obviously complicated to integrate new media concepts into the curriculum, and additionally difficult to handle. In Germany, the deployment of new media is being promoted since 2000 to augment the professional use of new media for teaching, learning and examinations, yet the outcome of the actual use is sparse [Wer06], [SBHB01]. Of course, many lecturers have attempted to integrate new media in a

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Fig. 2 Students a “New Media in Education and Research” lecture

blended learning approach, but they conclude that the relevant drawbacks are: the support to choose of all appropriate software applications and hardware products, the missing didactical concepts, and time-consuming integration into the curriculum. In this way, the advantages for lecturer to improve educational content are not apparently comprehensible. As a consequence the lecturers’ motivation to use new media is decreasing especially during the initial implementation and in maintenance [EGS02], [EHKS06], [KN07], [HK06], [Mos07]. In conclusion, everybody is aware that the new media requires substantial financial investments and personnel expenditure [EGS02]. Additionally, for a successful introduction of the new media, four different types of lecturers, regarding their character attributes such as motivation, unstableness, readiness to assume risk for innovations respectively their willingness and ability, have to be considered. These four types: entrepreneurs, risk aversive, careerists, and reluctant, defined by Hagner [Ows06], [Hag], [KN07] have to be motivated each in a different way. Entrepreneurs are easy to manage because they are motivated primarily intrinsically using all offers on their own initiative. All other types need external motivation and they must be supported in technical and organizational matters. As a result, a sustainable implementation of new media within the higher education depends on miscellaneous factors, and the complexity of most of the educational innovations obfuscates the positive properties and advantages [EHKS06], [Ows06]. Although individual support for Blended Learning means an additional workload, it appears as the most effective way to encourage lecturers and to implement E-education applications [EHKS06].


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2.2 Blended Learning Scenario in Higher Education Which methodologies can be applied in higher education to develop practical expertise by the lectures for Blended Learning? According to [Ows06] the following fundamental requirements have to be provided and adapted to the target audience defined by Hagner [Hag]: development of quality especially for educational scenarios, advisory support, and augmentation of the lecturers’ readiness. One of the most significant issues is the lecturer’s ability to conceive the didactical additional benefit being in opposition with the disadvantages and challenges such as time pressure, complexity of the implementation and missing support. To intercept these primary problems it is advisable to combine one specific didactical methodology with specific communication or information technology to systematize benefits between traditional didactical methodologies and new media concepts. In this investigation, we focus on one specific information technology (office software products) combined with traditional didactical methodologies such as explorative or cooperative learning in classroom scenarios. The deployment of OneNote and akin applications [Wea06] can help resolve some challenges in altering the daily routine within Blended Learning scenarios: the lecturer is able to prepare the lecture directly on the computer similar to traditional preliminary techniques with an integration and execution of different applications and Internet resources. Additionally, media types like pictures, diagrams, notes, audio recordings, etc can be easily collected centrally by OneNote, whilst other content from web pages can be integrated by means of drag and drop. This information can be simply interchanged and shared between the individuals involved and between different teams. Particularly, OneNote supports the integration of inked sketches and comments, which are of great importance for the individual learning process especially in scientific education, and their usage is facilitated by Tablet PCs. In this way, OneNote acts like a control center for all relevant applications. During the lectures, students can be interactively integrated into the workflow in different ways such as explorative learning. The students and lecturers can collect and organize all these information types according to their personal preferences and requirements. However, the technical requirements for such lectures are a drawback.

3 OneNote in HigherEducation 3.1 Exemplary Deployment An exemplary scenario is the use of OneNote as virtual whiteboard and collaborative environment during a course: the lecturer can centrally store every information in the application, presented to the audience by a projector and easily transfer them to the students’ applications or vice versa. In this way, students and lecturer can share and transfer information and data without any difficulties. Within the context of the lecture “New Media in Education and Research” we have deployed OneNote in several educational units of this course. One educational unit is specified exemplary:

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16 students attended the program “Natural Sciences in the Information Society”; about half of them were female students. During the lecture, the students worked in groups of two on Tablet PCs (HP Compaq tc4200, provided as part of a HP Technology for Teaching Grant). The subject of the teaching unit was “Academic Writing with Microsoft Word and Co” with the ambitious aim to work out the subject together with the students. The lecturer prepared the lecture with OneNote by creating a new digital notepad for managing all content i.e. examples, brainstorming notes, presentations, exercises, etc. with the Tablet PC facilitating the use of handwritten notes. The resulting exemplary 90 minutes lecture had following modules: 1. Introduction to “Academic writing in MS Word and Co” (duration: 20 min): brief introduction to common problems of word processing applications in academic documents such as large documents, implementation of figures, images and tables, and the infamous footnotes. 2. Teamwork session “Explorative Examples” (duration: 20 min): students work on some sophisticated examples with the aid of a digital worksheet. 3. Discussion of the results (duration 10 min): exchange of information 4. Teamwork session: “Students’ Examples” (duration 30 min): working student examples on selected problems 5. Discussion of results (duration 10 min) The first component of the educational unit is an introduction in form of a presentation about general problems of word processing programs with numerous examples. In most cases, there are several possible techniques to generate presentations and integrate them in OneNote; a PowerPoint presentation being on possibility, while another possibility is the use of OneNote as a digital board for making handwritten notes similar to a traditional lecture. Sharing this digital notepad with other participants, the students also have the possibility to add notes in this notepad. In addition, various examples can be directly executed in OneNote. For the second and fourth component of the lecture, the lecturer prepared possible exercises (digital worksheets) and attached programs, useful to study. The students also take their own notes in these segments. As the result for components three and five, the students shared their results with the lecturer and other students for discussion purposes. Moreover, the students were able to attach additional examples, or recorded comments. Accordingly, neither the teacher nor the students had “rough papers”, and everything was arranged within the digital notepad (digitalized lecture). Finally, all integrated examples could be transferred to the students’ notebooks.

3.2 Extending the Concept to Mathematics and Natural Sciences When trying to apply the aforementioned techniques to a mathematics lecture we ask too much from the current release of OneNote, as complex formula, sets of symbols, and many technical illustrations still need to be integrated into the


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application to make it valuable for mathematic or natural scientific lectures. Thus, the next version of OneNote needs to be extended to handle these particularities. Although OneNote already offers the possibility of exporting handwritten notes, making them available to other office-applications our goal is supporting the recognition of handwritten formula, which shall then be evaluated by the prevalent mathematical tools: Maple, Matlab, and Mathematica. Additionally it is desirable to integrate a conversion tool to export technical outlines to a vector graphic application.

4 Conclusion and Outlook The combination of Tablet PCs and OneNote is used to train students in cooperating in a collaborative information platform. The future integration of handwritten scientific content in OneNote is the next desirable future feature in this context. Our preliminary results show that students perceive a lecture with OneNote as very fascinating, because of the variety of educational methodologies and differences to traditional lectures. Didactical concepts appear to be more similar to school education than to higher education at university. Working with digital examples implies spending more time to impart knowledge. A traditional lecture, as a noninvasive form of the Nuremberg Funnel, is designed to provide students with as much knowledge as possible in the available time. Consequently, the developed concepts are appropriate for selected lectures or seminars and tutorials. An additional challenge emerges from the technical overhead and costs to use notebooks or Tablet PCs, and applications such as OneNote. Yet, Blended Learning scenarios accelerate the progress of educational success in excess of traditional lectures due to the fact of large-scale integration of examples and interactivity. In conclusion, it remains to be examined whether Blended Learning scenarios with OneNote are acceptable and helpful for the lecturers with only sparse technical affinities in the sense of Hagner’s [Hag] four types. It is worth recalling that the benefits of blended learning lectures with OneNote are obvious: lecturers prepare lectures or conduct handwritten lectures on the computer similar to traditional lectures. In summary, after a short training period it can be deployed straightforward because of its affinity to other well-known office applications, based on the fundamental idea that lecturers frequently use these applications. As a collaborative tool, it allows for the interactive integration of students into lectures, and it is an attractive alternative to a traditional lecture. At that time, experienced difficulties arise in lectures of mathematics, engineering, and natural sciences caused by the complex notation and technical outlines. Therefore, it is desirable to integrate special add-ons for scientific notation and conversion tools for technical outlines into a vector graphic application. Acknowledgements The authors from Berlin thank HP for supporting their work on pen-based technology in education with a HP Technology for Teaching Grant.

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References [BH01]

[CJL07] [DEJ+ 08]

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[EHKS06]

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[HK06]

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[JNP+ 07]

[KdWS02]

[Ker02]

Carole Barone and Paul R. Hagner. Technology Enhanced Teaching and Learning: Leading and Supporting the Transformation on Your Campus: 5. Jossey Bass, August 2001. Sabine Cikic, Sabina Jeschke, and Nadine Sinha Ludwig. Modularization and Integration of Virtual Experiments. In Interactive Computer Aided blended Learning ICBL, Florianópolis, Brazil, March 2007. N. Dahlmann, M. Elsner, S. Jeschke, N. Natho, and Ch. Schröder. Gender Gap in Technological Disciplines: Societal causes and consequences, to appear in 2008. In Proceedings of the Symposium on Technology and Society (ISTAS 2008), Los Alamitos, CA, 2008. IEEE Computer Society. J.L. Encarnacao, H. Guddat, and M. Schnaider. Die Hochschule auf dem Weg in e-Learning Zeitalter. In U. Bentlage, P. Glotz, I. Hamm, and J. Hummel, editors, E-Learning: Märkte, Geschäftsmodelle, Perspektiven, pages 21–55. BertelsmannStiftung, Gütersloh, 2002. D. Euler, J. Hasanbegovic, M. Kerres, and S. Seufert. Handbuch der Kompetenzentwicklung für e-Learning Innovationen: Eine Handlungsorientierung für innovative Bildungsarbeit in der Hochschule. Huber Verlag, Bern, 2006. C. Twomey Fosnot. Constructivism: A Psychological Theory of Learning. In C. Fosnot, editor, Constructivism: Theory, Perspectives and Practice, pages 8–33. Teachers College Press, New York, 1996. Columbia University. Paul R. Hagner. Faculty Engagement and Support in the New Learning Environment. In Paul R. Hagner, A. Barone, A. Carole, and J. Bass, editors, Educause Leadership Strategies, Volume 5, Technology-Enhanced Teaching and Learning: Leading and Supporting the Transformation on Your Campus, volume 5, pages 1–12. Francis Heylighen. Information Overload, Complexity and Information Overload in Society: Why increasing efficiency leads to decreasing control, (submitted to The Information Society). http://pespmc1.vub.ac.be/papers/info-overload.pdf, 2005. J. Hasanbegovic and M. Kerres. Entwicklung von Massnahmenportfolios zur Vermittlung von eLehrkompetenz. In E. Seiler Schiedt, S. Kälin, and C. Sengstag, editors, E-Learning - Alltagstaugliche Innovation? Waxmann Verlag, Münster, 2006. Dagmar Herzog, Nina Koch, and Jan Peters. Selbstorganisation mit Microsoft Office OneNote 2007. Microsoft Press Deutschland, 2008. N. Hoic-Bozic, V. Mornar, and I. Boticki. A Blended Learning Approach to Course Design and Implementation. IEEE Transactions on Education, 52(1):19–30, 2009. T. Hayashi, H. Tominaga, and T. Yamasaki. Blended learning contents for university education. In Information Technology Based Higher Education and Training, 2006. ITHET ’06. 7th International Conference on, pages 499–502, 2006. S. Jeschke, M. Elsner, N. Natho, O. Pfeiffer, and Ch. Schröder. Attractive Universities: New Curricula in Natural Sciences and Engineering. In Proceedings of the Meeting the Growing Demand For Engineers and Their Educators 2010 - 2020 Int. Summit, Los Alamitos, CA, 2007. IEEE Computer Society. S. Jeschke, N. Natho, O. Pfeiffer, Ch. Schröder, and L. Wilke. Challenge Diversity: New Curricula in Natural Sciences, Computer Science and Engineering. Proc. of the Frontiers in Education 2007. IEEE Computer Society, 2007. Los Alamitos, CA. M. Kerres, C. de Witt, and J. Stratmann. E-Learning: Didaktische Konzepte für erfolgreiches Lernen. In K. Schwuchow and J. Guttmann, editors, Jahrbuch Personalentwicklung u. Weiterbildung. Neuwied, 2002. M. Kerres. Online- und Präsenzelemente in hybriden Lernarrangements kombinieren. In A. Hohenstein and K. Wilbers, editors, Handbuch E-Learning. Fachverlag Deutscher Wirtschaftsdienst, Köln, 2002.

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Supporting Collaboration in Professional Soft-Skill Training Courses Olivier Pfeiffer, Sabina Jeschke, Lars Knipping, Nicole Natho

Abstract More and more employers qualify their employees in soft skills or make soft-skill knowledge a decision criterion when assigning new jobs. Soft-skills courses are typically highly interactive as soft skills are no factual knowledge and cannot be acquired by simple drilling. The course instructors, who very often are external experts, have to face the challenge to adapt to new media and course styles since new technologies not only shape everyday working life of the course attendees, but also demand for new soft skills due to changed communication practices. This paper proposes a community-oriented approach for professional soft-skill courses using a room-based collaboration platform. Keywords University Education · Collaborative Learning · Collaborative and Communication Software · Educational Software · Curriculum Design and Development

1 Introduction When it comes to job applications and vacancies respective journals report that times are changing. Personnel managers no longer only prefer the applicants that are the best in their area of expertise. The appeal of future colleagues should also lie in socalled “soft skills”. That is why such professional trainings are continuously rising, that are focused on further education in these soft skills. On the other hand, new media based courses face the bias of being anonymous, non-intuitive and purely theoretical and therefore inappropriate to impart soft skills. This article describes the special characteristics of soft-skill courses performed as blended learning courses and how these characteristics can be supported by using a room-based cooperative knowledge space.

O. Pfeiffer (B) MuLF, TU Berlin, Straße des 17. Juni 136, 10623 Berlin, Germany e-mail: [email protected]

Originally published in “First Kuwait Conference on E-Services and E-Systems”, © ACM, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_26

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2 Types of Soft-Skill Trainings As the awareness of the importance of soft skills has risen in the last 15-20 years [KBGM90], many companies, but also university facilities have started providing professional training to their employees (cf. [Aro04], [Hed07] for two of many examples). In some soft-skill courses in a professional context it is preferred to train the participants within their familiar surroundings. But in most cases the courses are guided by external coaches and the participants come together from different companies, institutes and backgrounds that enforce the use of an abstract common environment. This article and the concepts resulting from it are aimed at the second type of soft-skill courses, namely those with new media support. These trainings often consist of multiple modules with focus on thematic constellations, such as: • • • • • •

self and time management work-life balance communication and leadership skills conflict management cross-cultural communication professional networking

3 Special Characteristics in Soft-Skill Courses The soft-skill courses in question are attended by persons with diverse personality structures who all are detached from their familiar professional environment and who have come together to update their soft skills and improve their own work and the performance of their teams. Some of the participants only need some theoretical instruments to improve their soft skills and achieve their ambitious aims. But others actually have conflicts with colleagues, supervisors or themselves and are very shy and need support and advice to solve their problems. A main goal of soft-skill courses is to unite these personalities and strengthen them all in the different needed achievement. Soft-skill courses are usually held in groups of 10 to 15 people and most of the time the group members work together and discuss the topics. A typical scenario for such a course is to have each participant introduce their respective neighbour. First they introduce themselves to each other in groups of two, and then they are introduced to the rest of the whole group by one another. Typically such classes are taught in one or two day courses. Theoretical lessons given by the course lecturer alternate with group work in which the participants mostly deal with “real-life” problems to apply and internalize the theoretical concepts. Sometimes these group constellations remain the same throughout the whole course. In other cases the lecturer encourages the participants to change partners in the group in order to get to know each other, because most of the times the participants are not acquainted to each other. Such soft-skill courses demand a certain level of trust among the participants, because most participants attend these courses to

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solve certain currently existent problems and conflicts with themselves or colleagues and they need to “open up” to the group of participants to tell their story. A further characteristic of soft-skill courses is the complexity and poor structure of the provided content. A conflict management course will also cover topics from self management and presentation or communication skills. That means a variety of information will be provided to course participants because the different topics of soft skills are not clearly definable. Figure 1 shows some content from a typical soft skill course performed as a blended learning course, i. e. partly as presence course and partly as an online course provided using the Moodle platform [Dou]. In addition to information documents and references to external work regarding the topic, the course consists of a variety of tasks (with deadlines), different forums about the different topics and tasks, chat appointments and other events in the calendar. Most of the tasks are “virtual group work” tasks. This implies that almost every task has its own forum and information sites. Obviously this is a lot of poorly structured information where cooperative work aspects and content elements are mixed up in an extensively incomprehensible way.

Fig. 1 Screenshot of a soft-skill online course in a content-oriented platform

4 Collaboration in a Room-Based Environment In the previous section we have outlined some major downsides of a purely contentcentred view of soft-skill learning. Content-orientation may be appropriate for factual learning where the focus actually is on the learning content. Soft skills, however,

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are not only about “knowing that”, but much more about “knowing how”. More precisely, soft skills are about interacting with other people which obviously is a practical task. Moreover, most of the skills listed above are themselves related to collaboration. Communication, conflict management and coordination skills are fundamental prerequisites to collaborative work. Following [RT95], we define “collaboration” as “a coordinated, synchronous activity that is the result of a continued attempt to construct and maintain a shared conception of a problem.” In a collaborative environment, these soft skills can be trained and practiced, making the ability to collaborate a learning objective in its own right. Thus, it is desirable to rethink web-based soft-skill courses from a collaboration-centred point of view, and, when offering the course on the web, to deploy them in a community-oriented, rather than a content-oriented environment.

4.1 Content Orientation vs. Community Orientation Most eLearning environments currently deployed, however, follow the contentoriented approach. Their architecture focuses on content management, content authoring, and content provision, whereas communication and collaboration facilities are considered add-ons, if provided at all. In contrast, the community-oriented approach focuses on the collaborative processes of communication and knowledge construction. Content objects are means to foster these processes — e. g. a theoretical introduction or a group work assignment — and/or results (one might even say “by-products”) of these processes, codifying knowledge constructed cooperatively. Figure 2 illustrates the two approaches: in a content-oriented approach, communication and collaboration tools are grouped around content elements (top), whereas in a community-oriented approach, they are embedded in a collaboration infrastructure (bottom). A related discussion on content-orientation vs. collaboration can be found in the first section of [SKS06]. It should be noted that purely community-oriented plat-

Fig. 2 Content-oriented (top) vs. community-oriented (bottom) approach. The purple boxes symbolize content objects

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forms in reality are very rare, and that developers of content-oriented platforms strive to complement them with collaboration tools. These tools, however, are often isolated, cf. the example above.

4.2 Structuring Content and Collaboration in Virtual Rooms Quite a few CSCW and CSCL systems follow a room-based approach which is often referred to as the “room metaphor”. In [GR03], the authors give an exhaustive list of features which both real and virtual rooms are comprised of. A major advantage of environments based on the notion of virtual rooms is their support not only for “real” collaboration which by definition is synchronous, but also for cooperative (potentially asynchronous, with more individual actions) and mixed scenarios of group learning and group work [Wes05]. Collaborative learning platforms based on the room metaphor are often referred to as “cooperative knowledge spaces” [JCL+ 07]; examples of such platforms are CURE [HSH+ 04] and open sTeam [HK01]. A key feature of room-based systems is their ability to partition the “world” of people and objects which has a structuring effect on both objects and discussions. Thus discussions can take place in close proximity to the objects being discussed, while avoiding disturbance by other discussions which regularly occurs if the only communication tool is one single, course-wide forum. Access to a room can be controlled and limited, enabling users to share privileged access to objects in a smaller group. Both these features considerably facilitate finding a shared context for group work. Moreover, as we have pointed out earlier, discussions in a soft-skills context tend to have sensitive subjects as well. A more confidential environment can foster these discussions, which are an important part of a soft-skills course. Since virtual rooms can be arranged and connected by doorways freely, semantic relationships between objects in different rooms can be visualized and made perceivable to users. Room-based systems also support awareness of other users” presence. Obviously, a person present in the same room is a potential communication partner, making awareness a key prerequisite for communication and (synchronous) collaboration. Sensing that person”s actions enables coordination and helps to retrace the actions. The ability to coordinate is a key feature to leadership and traceability of actions is helpful in conflict management. Thus, awareness can give substantial support for real-world training scenarios. To sum up: structuring and awareness features of room-based collaborative platforms can enhance the learning experience in soft-skill courses fundamentally.

5 Outlook We have outlined the downsides of a mainly content-oriented approach to online professional soft-skill training and how they may be overcome by switching to a community-oriented approach. Providing information to the participants is not the

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main goal of a soft-skill course as described here. Soft skills need to be practiced, and we argue that a collaborative environment makes for a good training ground. It should be observed that simply putting content into a cooperative knowledge space will not solve the issue. Rather, the whole course will have to be rethought focussing on collaborative scenarios and a thematic structure that is reflected by the concept of virtual rooms. We expect to improve the quality of the courses the employees attend, thereby improving their soft skills as well.

References [Aro04] [Dou]

Shipra Arora. Soft skills training: Outsourced vs in-house. IT People, April 2004. Martin Dougiamas. Moodle.org: open-source community-based tools for learning. http://moodle.org/, last visited 2008-04-18. [GR03] S. Greenberg and Mark Roseman. Using a room metaphor to ease transitions in groupware. In M. Ackerman, V. Pipek, and V. Wulf, editors, Sharing Expertise: Beyond Knowledge Management, pages 203–256. Cambridge, MA, MIT Press, January 2003. [Hed07] Karyn Hede. SCIENCE CAREERS: Managing Scientists. Science, 318(5852): 993–995, November 2007. [HK01] T. Hampel and R. Keil-Slawik. sTeam: structuring information in team-distributed knowledge management in cooperative learning environments. ACM Journal on Educational Resources in Computing, 1(2):1–27, 2001. [HSH+ 04] J.M. Haake, T. Schummer, A. Haake, M. Bourimi, and B. Landgraf. Supporting flexible collaborative distance learning in the CURE platform. In Proceedings of the 37th Annual Hawaii International Conference on System Sciences. IEEE Computer Society, 2004. Sabina Jeschke, Sabine Cikic, Nadine Ludwig, Olivier Pfeiffer, Uwe Sinha, and [JCL+ 07] Christian Thomsen. Virtual Room Concepts for Cooperative, Scientific Work. In Proceedings of the 2nd International Conference on Interactive Mobile and Computer Aided Learning (IMCL) 2007. Kassel University Press, April 2007. [KBGM90] M. Kane, S. Berryman, D. Goslin, and A. Meltzer. Identifying and Describing the Skills Required by Work. Technical report, U.S. Department of Labor, September 1990. [RT95] J. Roschelle and S.D. Teasley. Construction of shared knowledge in collaborative problem solving. In C. O’Malley, editor, Computer-supported collaborative learning, pages 69–197. Springer, 1995. [SKS06] G. Stahl, T. Koschmann, and D. Suthers. Computer-supported collaborative learning: An historical perspective. In R.K. Sawyer, editor, The Cambridge Handbook of the Learning Sciences, pages 409–426. Cambridge University Press, Cambridge, 2006. [Wes05] Martin Wessner. Kontextuelle Kooperation in virtuellen Lernumgebungen, volume 8 of Schriften zu Kooperations- und Mediensystemen. Josef Eul Verlag, Lohmar-Köln, 2005.

LiLa: A European Project on Networked Experiments Thomas Richter, David Boehringer, Sabina Jeschke

Abstract The LiLa project – short for “Library of Labs” – is a European Community funded project to network remote experiments and virtual laboratories. The goal of this project is the composition and dissemination of a European infrastructure for mutual exchange of experimental setups and simulations, specifically targeted at undergraduate studies in engineering and science. This article discusses the architecture of the project, introduces its components and sheds some light on our motivation and background. Keywords Remote Experiment · Virtual Laboratory · Automated Course System

1 Introduction Hands-on courses are – in addition to lectures – one of the fundamentals of engineering education. Students learn here how to solve practical problems, and delve into experimenting with real equipment. Besides theory and practical experiments, simulations also become relevant in science and engineering; increasing costs force engineers to substitute expensive or complex experiments by simulations – sometimes not even to cut costs, but also to gain insights not or only hardly achievable due to physical constraints otherwise. However, increasing complexity also limits the ability of universities to fund courses on such matters, and often we find the situation that only a limited number or a limited corpus of experiments can be made available for student labs. To address this problem, universities setup – now and in the past - Remote Experiments and Virtual Laboratories. While the former are “real” experiments that are, however, remotely controlled over the internet, the latter are highly flexible environments to run simulations. Both enable students to make use of the equipment 24 h/7 days

T. Richter (B) RUS Computing Center, University of Stuttgart Allmandring 30a, 70550 Stuttgart, Germany e-mail: [email protected]

Originally published in “Proceedings of the 6th International Conference on Remote Engineering and Virtual Instrumentation”, © OnlineJournals. ORG, Vienna, Austria in cooperation with kassel university press, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_27

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a week, making them independent on the opening hours of the lab and the work schedule of the staff. Up to now, most of such solutions were restricted to single universities or institutions – for a couple of noteworthy exceptions, see the next chapter. That is, the equipment and software available has been limited by the abilities and funding of the controlling institution. However, since said experiments are by construction available over the internet, an obvious improvement of this situation is to found a federation of supporting institutions, and allow students mutual access to the equipment available in this federation in total: This is the major goal of the LiLa project, namely to setup a Library of Laboratories across Europe, and to share resources available in this network. LiLa is funded by the European Community by its eContentplus program. However, goals of this project go beyond generating the software necessary to setup said network: its aim is not only to share and increase the utilization of the equipment, but also to help students to find the experiments they need, to integrate the experiments into electronic library catalogs, to link them to “traditional” media as for example lecture notes, and to equip and extend the experiments by courses build from this media; last but not least, an important further goal of LiLa is to integrate such interactive courses into the curricula of universities. Clearly, to make this vision to become true, contracts and legal side-conditions must be worked out and understood, and LiLa attempts to provide contracttemplates to make it as easy as possible for interested partners to join the consortium. This article is structured as follows: We will present some related projects in the next section and discuss similarities and differences between them. Following that, we introduce the architecture of the LiLa project and give some examples of the existing content. We close by a conclusion.

2 Related Works A project similar to that of LiLa is driven by the MIT in the USA: Similar to LiLa, the iLabs project [ila, HdAL+ 08] supported by Microsoft aims at making experiments remote-controlled, and thus having them accessible by web-services for other members over the internet. In fact, one of the LiLa members, the University of Cambridge, is already participating in the iLabs project, and we aim to cooperate with iLabs in a long term perspective. Very similar to iLabs, LiLa is not focused on a specific topic, but addresses bachelors in all engineering and scientific studies. Similar to iLabs, we aim at a “single sign on” process to gain access to our resources. This process will be integrated into the Wonderland architecture (see below). The Blekinge Institute of Technology in Sweden started in 2007 the VISIR project [GZH+ 07], which is, however, unlike LiLa not supported by the European community. Quite similar to LiLa and iLabs, VISIR tries to increase laboratory utilization by sharing remote-controlled equipment across universities. Another similarity is that this, and many other projects [BI06, JRS+ 05] deploy the LabView software by National Instruments to wire experiments to the internet.

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2.1 Differences and Concepts Despite all similarities, some major differences exist between the projects introduced above and LiLa: the driving motivation of LiLa is to establish remote experiments and virtual laboratories as a core component of engineering education, to integrate them as such into the curricula and to share those materials with others all over Europe - and even beyond. For the achievement of this goal, didactical guidelines are developed, a portal for the access to remote and virtual experiments including an access control and scheduling system is set up, and the experiments are enriched with “traditional learning material” like lecture notes and recordings, exercises and assessments, and content the libraries can provide. As learning assistance, a tutoring system allowing individual learning paths is guiding students through the material. Last but not least, the virtual world Wonderland supports the LiLa architecture by providing a framework for collaboration: fostering the cooperation between students working on experiments is of special concern to our project, and we see it as one of the most important non-technical skills trained in “traditional” laboratory courses. We believe that LiLa goes beyond comparable projects due to this comprehensive approach.

3 The LiLa Architecture The LiLa architecture is structured in four tiers or layers, see Fig. 1: The lowest tier consists of the content, where we understand the content to include remote experiments and virtual laboratories – and not only to consist of static documents. All content modules are to be annotated by suitable metadata to make them locatable and available, and to allow their integration into library catalogs. Of course, we cannot expect that a metadata system like the DDC notation originally developed for

Fig. 1 Architecture of the LiLa Project

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static documents to be suitable for interactive components; to this end, the design or extension of a metadata system is one of the tasks within LiLa. The second tier ensures accessibility of the content: On one hand, content (i.e. experiments and static data) must be locatable within the pan-European LiLa network. That is, we want to enable students and researchers to search for content available at participating members that satisfies their needs, similar to the way how a library catalog is used to locate suitable books. On the other hand, remote experiments – unlike simulations – are also a resource with limited availability that needs to be shared fairly between users and for which varying access policies must be established. The second tier thus includes a booking system granting access to the content, and controlling the privileges of the users. The third tier is responsible to integrate experiments and documents to interactive courses and implements an interactive and intelligent course system that guides students through an – real or virtual – experiment. A prototype of a corresponding system has already been developed at the TU as the outcome of earlier projects, and is currently rolled out at the University of Stuttgart. Further details on Marvin and on its learner- and course model are found in chapter IV and in [JJP+ ]. The user interface as forth layer will be represented by and in the virtual world of Wonderland by Sun Microsystems. Wonderland has been originally developed to ease the cooperation of home-office workers; its purpose in LiLa is to integrate the experiments, courses and documents into a consistent virtual environment, and make equipment, represented by virtual objects, available to the users’ avatars. Due to the rather tight development plan, a two-dimensional projection of a traditional user-interface must be sufficient in the first project phase. Alternatively, we plan a traditional web-front end for experiments, thus the web-browser becomes the user interface.

4 Examples and Components A project of the given size cannot be constructed from scratch; instead, our target is to use existing components as far as possible, and to reach the project goals by merging existing solutions. This is also required by the eContentplus programme of the European community, which targets at making existing content more accessible.

4.1 Remote Experiments The first type of content made accessible by the LiLa network is that given by “Remote Experiments”: A remote experiment is an experimental setup controlled by a common PC; by appropriate software – typically LabView [lab] by National Instruments – sensor data and control parameters of the experiment are made accessible over the internet. Remote experiments are already deployed at our project parters in Berlin, Cambridge and Basel. An experiment from thermodynamics run at the TU Berlin may aid as an example: A motor controls the position of a piston in a glass cylinder, expanding or


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Fig. 2 A remote experiment on phenomenological thermodynamics. Left: A piston compresses air in a glas cylinder. A heater (below) controls the temperature of the air. Pressure and temperature are measured by the PC. Right: The LabView user interface of this experiment.

compressing the gas contained within. An electrically controlled valve enables users to fill the cylinder with air, and a heater can be turned on to change the temperature of the gas volume. A pressure sensor measures the pressure of the gas. All actors – the motor, the valve and the heater – are steered by LabView; similarly, all sensors are wired to the PC making sensor data available to the user. The LabView front-end bundles sensor and actor data, and an additional web-cam allows users to observe the movement, cf. Fig. 2. In a typical experiment, the student first opens the valve and fills the cylinder with air; afterwards, the valve is closed and the moter is run to compress the isolated gas volume - by that, pressure increases. By turning the heater on, temperature is increased as well. If the contained air is now allowed to expand again by moving the piston out of the cylinder, pressure decreases again, but will not reach exactly the same value as it had before compression - this only happens after allowing the gas to cool down. By plotting the pressure over the volume in a so-called pV diagram, one observes that the pressure-volume state of the gas in this process forms a closed loop, and one can now show theoretically that the area enclosed by this loop is proportional to the amount of work performed on the gas – and is thus given by the electrical work of the heater. Experiments similar to the one described above are part of the experimental corpus of every undergraduate engineering course. At the TU Berlin, it is not unusual that more than 1000 students per semester participate in courses on experimental physics.

4.2 Virtual Laboratories Unlike remote experiments, virtual laboratories are simulation frameworks that run on the computer only and do not interact with a physical experiment; even though one could simply ask students to install the simulation software on their home PC,

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Fig. 3 A virtual experiment on the Second Law of Thermodynamics. Left the initial state with the gas (yellow) in one corner of the container (red). Right the final state after running the experiment for a while, also showing the entropy over time.

we prefer to use a client-server model here as well. First of all, the amount of work for installation is minimized, but second – and even more important – the server architecture allows students to interact with each other and collaborate on one simulation. An example for a virtual laboratory is “VideoEasel”, currently deployed at the University of Stuttgart, a simulation framework for experiments in multiparticle physics. Further virtual laboratories are provided by our partners in Basel, Cambridge and Linköping in Sweden. A virtual counterpart of the above experiment on thermodynamics can be realized in VideoEasel, cf. Fig. 3: The laboratory simulates here an idealized and simplified gas, a so-called lattice gas [HPdP73, HPdP76]. In a typical experiment, the student first draws a gas container, and fills one edge of this container with particles. A sensor measuring the entropy of the gas volume is then added to the simulation – the entropy is a physical quantity measuring the amount of disorder of a multi-particle system. When running the simulation, the gas spreads out into all of the container, and by that increases the entropy – following the Second Law of Thermodynamics. While this is clearly to be expected, one can now extend this experiment in a way that is not possible in reality: by inverting the velocities of all gas particles, the movement is inverted and the gas flows back to its initial location by decreasing the entropy. It is now interesting to let students discuss why this movement, while possible by the laws of physics, cannot be observed in reality.

4.3 Tutoring Software and Intelligent Assistants Running complex experiments usually requires students to consult an experienced fellow student or an assistant. However, in order to help students to experiment outside of the regular opening hours of labs, simulations and remote experiments are equipped and extended by electronic course systems that guide users through an experiment. An example for such a course system is given by the “Marvin” system, originally developed for VideoEasel [JJP+ ].


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Fig. 4 Path model of a course, consisting of learning units. Arrows indicate dependencies between units, from the goal to the initial node. Students follow the course in opposite direction, resolving prequisites first. On the left: A decision point (green).

A course within this system is understood to be built from “learning units”, where each learning unit encodes both its contents and the perquisites a student must have to be able to follow it, cf. Fig. 4. The course system is now responsible to resolve all dependencies by constructing a suitable learning path – defined as a sequence of learning units of a course. To evaluate the learning success of a learning unit, Marvin uses a plug-in mechanism that links code at run-time to the experiment to evaluate the user behavior there, and to feed back the results into the course system. In addition, Marvin uses a statistical approach to optimize the learning strategy: This mechanism is used whenever more than one learning path connects the current node with the final learning goal, i.e. whenever the system reaches a decision point (the green node in Fig. 4). At those points, Marvin recommends either one or the other node depending on which maximized the learning success in the past on average. For more details, see [JJP+ ].

4.4 Cooperation in Virtual Worlds The user interface of most experiments and simulations remains necessarily abstract and reassembles the look and feel of a real laboratory only to a very minor degree. Specifically, a real lab allows students to communicate to each other and to cooperate in performing a course. Unfortunately, this important element often under-estimated in similar projects, even though it is very relevant for the working engineer or scientists: Teamwork is the common practice given the complexity of today’s technology.

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Fig. 5 A screen shot of the virtual laboratory with the tutoring system in a separate window on top. Here an experiment on reflection.

Fig. 6 Screen shot of Wonderland: Avatars in front of a projection surface of an embedded web browser (Source: Sun Microsystems).


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Sun Microsystems “Project Wonderland” [pro, Wat09] has been developed with quite similar applications in mind, namely to allow and foster the cooperation of teams of home-working employees in companies. Within the LiLa project, Wonderland will be user interface and primary access tool for the experiments provided by the network. Fig. 6 demonstrates a typical look of the virtual world: Colleagues, represented by avatars, move around in the virtual world and can talk to each other, by using the built-in voice over IP functionality. Simulated projection surfaces allow running presentations or embed “flat” desktop programs into the world. In the LiLa project, we will aim at constructing virtual three-dimensional representations of real experiments that are close to look and feel, but due to time constraints, only flat two-dimensional representations as those shown in Fig. 6 will become available in the first project phase.

5 Partners and Roles The LiLa consortium consists of eleven institutions from seven European states: the University of Stuttgart, the initiator and coordinator of the project; the Institute of Technology (TU-Berlin), the Universities of Basel, Cambridge, Link¨’oping and the Aristotle University of Thessaloniki contribute their remote experiments and their virtual laboratories – namely content – to LiLa. Thessaloniki is furthermore responsible for the evaluation of the project results. The University of Delft is our key partner for didactics: they are responsible for the didactical preparation and evaluation of the project results. The Universidad Politénica de Madrid is responsible for developing and implementing the access control system, i.e. tier 2 in Fig. 1. The second activity in that tier is the development of the localization services and the embedding of the content into library catalogs by link-resolver technology, which is the responsibility of the Library of the University of Stuttgart. Three non-academic partners contribute their technology to the project: First, Sun Microsystems (now Oracle) support us in enhancing their Wonderland technology (see section IV.D) for the needs of LiLa; Computational Modeling Cambridge, a spin-off of the University of Cambridge, develops simulation software for virtual laboratories and will contribute their developments to the LiLa network; and finally MathCore Engineering from Linköping, which is our 3D expert, will develop the virtual 3D models of the experiments and will design the virtual world of LiLa.

5.1 Work Packages and Partners The LiLa project is structured in six work packages, each of them consists again of several tasks; every work-package is managed by one of the consortium members, even though the tasks within a work package might be handled by members different from the work package leader.

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In detail: The first work package is the management and monitoring of the project as a whole, which is in the responsibility of the University of Stuttgart; the virtual world and its interfaces, the access control and booking system are designed in the second work package by the University of Madrid. Didactical models, the design and evaluation of interactive courses and course materials is in the responsibility of the Technical University of Delft, where some components are also created in Stuttgart, namely the course system described in section IV.C. The fourth and largest work package is managed by the Institute for Technology Berlin (TUB): This work package integrates existing content into the LiLa architecture, where content is not only understood to consist of interactive experiments, but also includes “more traditional” material like lecture notes and scientific publications. In this work package, we will also design a meta-data set suitable for the annotation of interactive material; this specific work lies in the hands of the Library of the University of Stuttgart. The fifth work package monitors and evaluates the project results from the scientific and didactical view point; the work package leader is the University of Thessaloniki, even though Delft will run the didactical evaluation as part of this work package. Last but not least, the sixth work package disseminates project results, is responsible for making project results visible by publications, and will also offer training courses and material for lecturers, students and university administrations to aid them in setting up, running and using remote experiments and virtual laboratories. An important task of this package is also the development of a contract template to ease interesting parties joining the network; legal constraints for exchanging resources between universities need to be identified, and a legal framework for shared resources needs to be worked out here. It is interesting to note that we found in a preliminary questionnaire that most universities do have as much trouble in earning money by sharing experiments as they have in spending money for it. Thus, mutual exchange of resources is likely the model to be implemented.

6 Conclusions Even though LiLa is an ambitious project for constructing an infrastructure for “virtual” experiments, we want to stress that it is not our aim to substitute traditional hands-on training; the value of such courses lies beyond the gained scientific insight, namely in getting acquainted to laboratory equipment, and in training the social communication skills with fellow students, colleagues and tutors. Even though we try to mimic these structures as far as possible in the virtual world, their replication remains necessarily incomplete. Instead, we hope that LiLa makes the best out of the financial problems universities have to face – and establishes a strong federation of universities which, as a group, are able to support their students better than a single isolated institution could.


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[HdAL+ 08]

[HPdP73]

[HPdP76]

[ila] [JJP+ ]

[JRS+ 05]

[lab] [pro] [Wat09]

H.A. Basher and S.A. Isa. On-campus and Online Virtual Laboratory Experiments with LabVIEW. In Proceedings of the IEEE SoutheastCon, pages 325–330, 2006. I. Gustavsson, J. Zackrisson, L. Håkansson, L. Claesson, and T. Lagö. The VISIR project – an Open Source Software Initiative for Distributed Online Laboratories. In Proceedings of the Annual Int. Conf. on Remote Engineering and Virtual Instrumentation, 2007. V. J Harward, J. A del Alamo, S. R Lerman, P. H Bailey, J. Carpenter, K. DeLong, C. Felknor, J. Hardison, B. Harrison, I. Jabbour, P. D Long, Tingting Mao, L. Naamani, J. Northridge, M. Schulz, D. Talavera, C. Varadharajan, Shaomin Wang, K. Yehia, R. Zbib, and D. Zych. The iLab Shared Architecture: A Web Services Infrastructure to Build Communities of Internet Accessible Laboratories. Proceedings of the IEEE, 96(6):931 –950, June 2008. J. Hardy, Y. Pomeau, and O. de Payssis. Time evolution of two-dimensional model system I: invariant states and time correlation functions. J. of Math. Physics, 14:1746–1759, 1973. J. Hardy, Y. Pomeau, and O. de Payssis. Molecular dynamics of a classical lattice gas: Transport properties and time correlation functions. Phys. Rev. A, 13:1949– 1961, 1976. iLabs: Internet access to real labs - anywhere, anytime. http://icampus.mit.edu/ iLabs/. M. Jeschke, S. Jeschke, O. Pfeiffer, R. Reinhard, and Th. Richter. Intelligent Training Courses in Virtual Laboratories. In Proc. of ED-Media 2006 (Orlando), pages 2069–2074, VA, USA. Association for the Advancement of Computing in Education (AACE). Association for the Advancement of Computing in Education, Norfolk. S. Jeschke, Th. Richter, H. Scheel, R. Seiler, and C. Thomsen. Das Experiment und die eLTR-Technologien: Magnetismus in Virtuellen Laboren und RemoteExperimenten. Bonner Köllen Verlag, 2005. LNI. Labview by National Instruments. online document available at http://www.ni.com/ labview. Project Wonderland website. https://lg3d-wonderland.dev.java.net/. John K. Waters. Sun Makes Its MUVE, sidebar in Ä ’Second Life’ For Educators. T.H.E. Journal, January 2009.

VIDEOEASEL - A Flexible Programmable Simulation Environment for Discrete Many Body Systems Thomas Richter, Sabina Jeschke, Olivier Pfeiffer

Abstract In this work, we present a Virtual Laboratory providing a simulation framework for discrete many-body systems. Programs defining the dynamics of the system and instruments measuring on the simulation can be easily implemented within its own programming language, and can be linked and edited at run time. The system class that can be covered within this framework reaches from discrete difference equations over classical many-body problems is physics to research problems in image processing, allowing us to apply this laboratory in education and research. Keywords Virtual Laboratory · Explorative Learning · Mathematics · Cooperative Virtual Knowledge

1 Introduction Many particle systems show a rich and sometimes even surprising set of phenomena; the interaction of many small systems can create unexpected behavior at macroscopic level that is not easily derived from the dynamics of its individual participants. In physics, typical many-body phenomena are phase transitions and nonreversibility of macroscopic dynamics, the models used for studying these effects are true classics of physics: The Ising model describing the ferromagnetic effect, and the lattice gas model as a very simplistic description of an ideal gas. But even beyond physics, many-body dynamics are an important field to be studied: In biology, the almost unpredictable population change of a predator-prey system, and in chemistry patterns seen in oscillating reactions are all phenomena that can be understood as the outcome of the interaction of very many, but very simple constituents at small scale.

T. Richter (B) RUS Computing Center, University of Stuttgart Allmandring 30a, 70550 Stuttgart, Germany e-mail: [email protected]

© [2009] IEEE. Reprinted, with permission, from “Proceedings of the 5th IEEE GCC Conference and Exhibition”, IEEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_28

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In this work, we introduce a framework that allows studying all the above and related systems, in a quantitative matter, giving hands-on access to a surprisingly large and rich system class in an extremely comfortable, flexible and powerful manner. This work is organized as follows: In the next section, we introduce the common mathematical framework on which our models are based and give a review of related works. The next section describes the design of our implementation. We then present example systems as use-cases for the laboratory, and then give some insight into the capabilities of the laboratory and its programming language. We finally describe our experience of deploying this framework in higher physics education and conclude with an outlook on future work.

2 Mathematical Framework The simulation environment presented in this paper is based on the idea of Cellular Automata (CAM) [TM87] already deployed much earlier for similar purposes; a Cellular Automaton is defined by a regular grid of cells, where each cell can be in one out of finitely many states. The dynamics of the system is defined by assigning a finite state machine to each cell, which, depending on its own state and the state of its neighbors, computes the next state of the cell in the next time step. This cell grid is often visualized by assigning to each cell state a color, and representing the cells as colored pixels of a computer display. Historically, Conway’s ”‘Game Of Life”’ was one of the first popular mathematical “games” [Gar70], even though the concept of a cellular automata goes back to earlier times, e.g. Zuse [Zus69] already experimented with this idea. In 1978, Toffoli and Margolus built a hardware implementation that was programmable in Forth [TM87] and could execute programs in real-time; many interesting applications can be found in their book. Wolfram studied cellular automaton to demonstrate that for many, even very simple automata, the most effective description of the patterns they generate is the automaton rule itself [Wol02]. Thus, for most setups, the complexity of the complete cellular automaton machine cannot be reduced further by any mathematical description. Recently, interest in this field is diminishing since writing a suitable automaton to model a specific multi-particle system is often hard and not straight-forward, the programming model is often too complex, and quantitative measurements required for any scientific analysis are also easily neglected. Furthermore, it is often hard to establish strict mathematical proofs in this field. Many early works also concentrated on purely qualitative experiments. We still believe that CAMs have lots to offer, they provide a suitable framework for many experiments that have important lessons to tell, especially for students in an educational environment. We will provide some examples in the next sections, but also point out that many of the early problems can be resolved today: Our automaton is freely programmable in a language closely related to Java or C that provides more flexibility and features than earlier implementations. To allow qualitative measurements, the necessary instruments can be designed and implemented in the same language along. The code also integrates

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into mathematical toolkits like Maple [Map08], or learning management systems like moodle [moo08].

3 Implementation A VideoEasel program describes n coupled cellular automata, each of them can be understood as a two-dimensional plane of cells representing a cellular automaton in the traditional sense. However, cell planes can also interact to its nearest neighbor planes, and thus coupled automata or three-dimensional setups are possible. Each cell plane is defined by a set of parameters and the automaton itself, specified in a C-like programming language. This program is conceptionally executed on all cells of a plane in parallel, computing the state of the plane to the next time stamp given its and the neighbor plane states to the current time. Parameters are exposed to the user in the form of GUI elements like sliders or checkboxes, and even the program can be manipulated at run-time. Measurement instruments are also represented as cellular automatons, though they do not modify the cell configuration, but rather modify output parameters collecting the result value of the measurement. For example, a very simple measurement instrument counts all cells in a given state, and computes from that the relative density of these cells in the overall configuration; the magnetization of the Ising model, described in the next section, can be computed in this way. However, the programming language is flexible enough to allow operations that are more complex in the measurement process. The laboratory software is split into two separate functional blocks: First, the number crunching core which compiles the CAM from the VideoEasel programming language into machine code and performs the simulation itself, and one or several clients that connect to this server over the internet. The purpose of the clients is to either visualize the simulation and provide access to the experiment and its parameters, or to act as an interface to additional software, for example to Maple or LabView. This flexibility allows not only several users to share the same experiment, but it also integrates mathematical software seamlessly into the laboratory. The server, due to its computational demands, is written in C++, whereas most of the clients have been implemented in the Java language, offering platform independence. Java has the additional advantage that it allowed us to provide an applet version of the client that integrates nicely into browsers, and also makes the laboratory available as a learning element in a SCORM compliant learning management system.

4 Examples In this section, we discuss three typical example systems to demonstrate the capabilities of our laboratory. First, a classical lattice gas system first introduced by Hardy et all [HPdP73, HPdP76] is described; this is a reversible and deterministic

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system, but provides a lot of insight into the nature of the second law of thermodynamics. The second example is the Ising model of Ferromagnetism [Isi25], a non-deterministic automaton allowing the discussion of phase transitions in manybody systems. Our third example is a stochastic image-denoising algorithm first considered by Geman & Geman [GG84]. The examples present important properties of the VideoEasel system: First, the automaton rules can be formulated in a way that avoids otherwise typical problems in this area, e.g. the formulation of rules that conserve the particle count, second, quantitative measurements are formulated similarly to the dynamics and are intrinsically part of the framework. Further, the Ising model shows that built-in tunable random generators allow the construction of stochastic systems. Last but not least, the Geman & Geman example will demonstrate that it is important to consider the case of coupled automaton systems. We will provide code to demonstrate how to setup these experiments, show the corresponding source code, and will demonstrate some of the outcomes.

4.1 The Lattice Gas Model In this model, cells can be in one of three states: They can be in a zero state, representing empty space, in a particle state, representing a space volume filled by one particle of the lattice gas, and in a “wall” state, representing the container wall confining the lattice gas. The automaton has now to be defined in such a way that the particle movement follows the laws of physics, i.e. particles move freely, reflect on the container and collide under preservation of energy and momentum. One of the challenges of this system is to define the automaton rule now in such a way that the number of particles represented by the configuration remains constant. It turns out that this problem is resolved best by using an alternative description of the automaton called the "‘Margolus"’ rule [TM87]: Here the cells of the lattice are first grouped into a super-lattice of 2x2 cell-blocks, and the elementary automaton rule is formulated in these super-blocks such that the number of cells representing particles in a super-block remains constant. Then, the division of the lattice into super-blocks is altered every other time stamp such that on even time stamps the origin of the superblocks is at even-even locations and in odd time-stamps is at odd-odd locations. This yields a particle movement into four diagonal directions. An interesting aspect of this simple system especially for educational purposes is that even though it is easily verified that this automaton obeys time-reversal symmetry, the second law of thermodynamics holds, i.e. entropy increases over time. In our laboratory, unlike in many earlier works, this can be quantitatively verified: A measurement instrument computing the 4x4-block entropy is easily established by computing the statistical distribution of all 4x4-block configurations. Even though this still an approximation of the abstract entropy function, the plot of the approximated entropy over time is observed to be almost monotonically increasing, establishing the second law of thermodynamics. The resolution of the antinomy between


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the second law and the reversibility of the system is also an interesting section of the history of physics.

4.2 The Ising Model Ernst Ising defined this model in 1921 in his thesis [Isi25] to establish a simple mathematical system to study phase transitions in many-particle systems. Even though this model seems simple, it took more than 30 years to prove that the two-dimensional version of this model is indeed capable of reproducing this effect [Ons44]. In this system, cells are in two possible states, representing elementary magnets — also called “spins” in the following — that can be magnetized in two different directions: Spin up and spin down. Spins couple to their four nearest neighbors by a local energy function that is lower for spin pairs that point in parallel direction than for spin pairs pointing in anti-parallel direction, and they further couple to an external field H by energetically favoring spins adjusted in parallel to H. The simulation in our laboratory computes now the Metropolis dynamics of this system [MRTT53]: The spin orientation is reversed whenever the local energy contribution can be lowered by a spin-flip, or if a heat-bath can provide the energy for the flip. The heat-bath is represented by a random generator, providing a random distribution proportional to exp(-1/T), where T is the temperature of the heat bath. By adjusting the parameter T while the simulation is running and observing the system, students can now determine the temperature at which a phase transition occurs. Similar to the first model, more quantitative experiments are available as well: It is not difficult to measure the inner energy U and the entropy S, and from that derive the Helmholtz Free Energy F = U − T ∗ S. Further, one can measure the magnetization μ of the system. It is now interesting to compare the plots of F and μ over the external field H to find that μ is nothing but the (negative) derivative of F by H. This relation can also be verified from the Gibbs state of the model.

4.3 Stochastic Image Denoising The idea of using methods of statistical mechanics for image denoising purposes goes back to an article of Geman & Geman [GG84]. The image is here understood as a two-dimensional Ising-like model where the grey-levels of the image pixels are represented by the orientation of the pins. Unlike in the Ising model, more than two grey-levels, and thus a larger number of spin orientations are possible. As in the Ising model, an energy functional is defined by the quadratic distance of grey-levels of neighboring pixels, and a Metropolis [MRTT53] algorithm tries to minimize the total energy by adjusting pixel grey-values at random. In addition, however, the pixel-pixel interaction between neighboring pixels can be interrupted by a second

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process operating on the edges of the pixel lattice. The aim of this process is to find edges in the image, and disrupt pixel interactions across those edges to protect the edges from blurring by the Ising process. The edge process also contributes to the energy functional by penalizing edge configurations that are unlikely to occur in natural images, e.g. T-junctions are less likely than straight edges. Both processes are, similar to the Ising model, coupled to a heat-bath. It can now be shown [GG84] that pixel configurations of the coupled processes now converge under simulated annealing, i.e. when the temperature is decreased slowly, to images consisting of separate areas of constant grey-level. In VideoEasel, pixel and edge process are represented by two cell planes, i.e. two cellular automata that are coupled to each other. The pixel process computes the pixel-pixel interaction energy by first checking for interrupted pixel bonds in the edge process, and the edge process has to check the pixel values to separate unlikely from likely edge configuration. The temperature of the heat bath becomes an external parameter users can adjust, and thus can control the annealing process. The gradual improvement of the image quality is then easily observed. However, similar to the above examples, the improvement in image quality can also be measured quantitatively: For that, a non-distorted reference image is loaded into the simulation, and a measurement instrument measures the mean square error between the reference and the reconstructed image. The logarithm of this function, also called PSNR, is the most popular image quality metric, and can be seen to increase over time under the Geman & Geman process.

5 Evaluation The focus of the virtual laboratory introduced above is to provide experiments to demonstrate abstract phenomena to graduate students of physics, mathematics, and engineering courses at university level. However, applications in research, undergraduate, or high school education are also possible. We first deployed the virtual laboratory in the graduate course “Mathematical Physics II” the TU Berlin. This three-semester course covers in its second semester models of statistical mechanics, specifically the Ising model and the lattice gas model. Even though this course is taught at the institute for mathematics, the majority of participating students are typically physicists; the group size is typically between 15 and 20 students. While the lecture covers the theoretical aspects and the mathematical background of the models, we used the practice group of the course to guide the students to experiments on the theory discussed in the lecture before. Specifically, the Metropolis dynamics of the Ising model got introduced, the phase transition was measured on the virtual experiment and the relation between magnetization and free energy was derived experimentally. Students were asked to carry out the experiments, perform the measurements, and collect all necessary data, and were requested to put this data in relation to the material learned in the lecture. To


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our delight, students did find the requested relation between the two quantities, and were able to derive them by their own from the mathematical model. At the end of the course, we requested students to fill out an anonymous query form on the lecture and the practice group. This standard form is kindly provided by the student union of the TU Berlin, and used consistently for the evaluation of all lectures of the institute. According to this evaluation, the lecture received an average grade of 1.7 on a 1 to 6 scale, 1 being best and 6 being worst, thus placing this lecture in the best third fraction. Students appreciated mostly that they could relate the theoretical material and models to practical experience and could gain some hands-on approach on the abstract definitions learned in the mathematical course. Interestingly, the course also triggered some interest in the actual implementation and infrastructure of our virtual laboratory which we couldn’t delve into in the group due to time constraints. Even though experiments on the lattice gas have often been demonstrated to students with great success, we did not yet had the chance to discuss the model in a similar experiment, unfortunately.

6 Conclusion and Outlook VideoEasel is a comprehensive and elaborated tool for studying statistical mechanics and systems from related fields. Its flexible architecture allows deployment in both education and research: For the former, a SCORM compliant applet version eases the integration into learning management systems like moodle or Ilias; for the latter, process control and analytical or numerical evaluation of quantitative results can be provided by Maple or similar toolkits. Let us emphasize that Virtual Laboratories as described can play an important role in education: Conceptionally located between theoretical concepts and practical applications, they can act as pedagogical bridge to make students “see how the theory works”. Thus, they offer the opportunity to experience mathematics in action, an argument supported by our classroom experiment. Being available 7 hours / 24 days a week, Virtual Laboratories, however can also help to extend the experimental capabilities of real laboratories. They can support or complement existing experiments or provide experiments not possible otherwise due to spatial, security or other constraints. Especially the combination of remotely controlled real experiments with virtual laboratories offers great opportunities: It allows students to compare the outcome of a real experiment, compare that with a similar simulation, and see the results in relation to the prediction of the mathematical theory. Comparing all three side-by-side eases students to understand the role of experiments and the unavoidable limitations of every model in physical theories [JRTS07]. Our current focus is to establish VideoEasel as learning resource for graduate and undergraduate studies at the University of Stuttgart and, by that, collect additional experiences from its application in an educational environment. Furthermore, we

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Fig. 1 The Ising Model SCO of the virtual lab VideoEasel running in the browser.

equipped VideoEasel with an intelligent tutoring system [JJP+ 06] that allows us to run automated training courses for students where the courses existing so far focus on selected aspects of statistical mechanics. One of our future research works is to collect more experience with this system as well.

References [Gar70]

M. Gardner. The fantastic combinations of John Conways new solitaire game life. Scientific American, 223:120–123, 1970. [GG84] S. Geman and D. Geman. Stochastic relaxation, gibbs distributions, and the bayesian restoration of images. IEEE Trans. on Pattern Analysis and Machine Intelligence, 6:721–741, 1984. [HPdP73] J. Hardy, Y. Pomeau, and O. de Payssis. Time evolution of two-dimensional model system I: invariant states and time correlation functions. Journal of Mathematical Physics, 14:1746–1759, 1973. [HPdP76] J. Hardy, Y. Pomeau, and O. de Payssis. Molecular dynamics of a classical latticegas: Transport properties and time correlation functions. Physics Review A, 13:1949–1961, 1976.

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E. Ising. Beitrag zur Theorie des Ferromagnetismus. Zeitschrift für Physik, 31:253– 258, 1925. [JJP+ 06] M Jeschke, S. Jeschke, O. Pfeiffer, R. Reinhard, and Th. Richter. Intelligent Training Courses in Virtual Laboratories. In Proceedings of World Conference on Educational Multimedia, Hypermedia and Telecommunications (ED-MEDIA), volume Volume 1, pages 2415–2422, 2006. AACE. [JRTS07] S. Jeschke, T. Richter, C. Thomsen, and H. Scheel. On remote and virtual experiments in eLearning in statistical mechanics and thermodynamics. In Proceedings of the Fifth Annual IEEE International Conference. Pervasive Computing and Communications Workshops, pages 153–158, 2007. Times Cited: 0 5th IEEE International Conference on Pervasive Computing and Communications MAR 19-23, 2007 White Plains, NY. [Map08] Maplesoft. Maple, 2008. http://www.maplesoft.com/. [moo08] Moodle, 2008. http://moodle.org/. [MRTT53] N. Metropolis, A. Rosenbluth, M. Teller, and E. Teller. Equations of state calculations by fast computing machines. J. Chem. Phys, pages 1087–1091, 1953. [Ons44] L. Onsager. A two-dimensional model with an order-disorder transformation. Physial Review, 65:117–149, 1944. [TM87] T. Toffoli and N. Margolus. Cellular Automata Machines. MIT Press Cambridge, 1987. [Wol02] S. Wolfram. A new kind of science. Wolfram Media, 2002. [Zus69] K. Zuse. Rechnender Raum. Vieweg, 1969.

An Intensive Course in Mathematics for Engineers: Experiences and Prospects Mike Scherfner, Sabina Jeschke, Matthias Plaue

Abstract One main concern – especially after the implementation of the bachelor program in Germany – is how to manage the great number of lectures and how to give above-average students (but not only for them!) the opportunity to complete their course of studies quickly, but without loss of content or quality of teachings. In order to attack these problems we started an intensive course for selected students in order to offer them a unique learning experience by employing a special teaching concept, with appropriate training and exercises. Keywords Bologna Process · mathematics education for engineers · intensive courses

1 Introduction The bachelor’s degree was introduced at the Department of Mathematics at the Technische Universität Berlin (Berlin Institute of Technology) as well as at other German and European universities in the course of the Bologna Process, as the first level in a three-tier (BSc, MSc, PhD) graduation system. Some of the main goals are: Encourage students to be more mobile (within the European Higher Education Area), generate a greater convergence between the academic education in the United States and Europe, shorten the overall duration of studies. After the introduction of the bachelor program in Germany there arose the necessity for new concepts in mathematics education for engineers. In order to tackle this point the Department of Mathematics at TU Berlin has conceived a novel concept enabling selected engineering students to complete the better part of their mathematical studies in the condensed timeframe of one instead of three semesters. This course has already been employed in 2004/05 with a different approach by Lutz [LL05]. M. Scherfner (B) Institute of Mathematics, TU Berlin, Straße des 17. Juni 136, 10623 Berlin, Germany e-mail: [email protected]

© [2009] ICERI2009. Reprinted, with permission from ICERI2009 Conference Proceedings. ISBN: 978-84-613-2955-7, IATED, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_29

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To qualify for attending the course students had to participate in a written examination with school knowledge being the sole requirement. Subsequently, the 30 students with the best grades were admitted to the course. To this end, the content of the regular traditional lectures “Linear Algebra” and “Analysis I & II” has to be communicated and a special approach concerning the lectures and exercises must be employed. For each part of the course, students have to pass a written examination. Although the tutorials are small (10 students), because of the condensed timeframe a higher staff requirement does not occur. The intensive course program enables students with broader previous knowledge to immediately take advantage of their higher qualification. Thus, this model provides an interior differentiation that can be roughly compared with the honors class system in the U. S. The advantages of the new teaching concept showed in significantly improved pass-rates. The prospects resulting from our experiences will be presented in a way that could function as a guide for the employment of the approach with similar courses at other universities.

2 Requirements for Attending the Course We have restricted the number of students for the intensive course to a maximum of 30. The requirement for attending the course was the successful participation in a written qualifying examination. To successfully solve the problems given in this exam, only knowledge from school education was required, as well as the ability to apply that knowledge to standard exercises we took from usual class books. Additionally, we took one exercise from PISA (Programme for International Student Assessment, established by the OECD) for grammar school pupils in their third year. Any of about 1500 newly enrolled students could participate, approx. 100 students did so. The 30 students with the best results were allowed to attend the course. We want to point out that 40 percent of the students had no advanced courses for mathematics in school and not the highest grades. So with the qualifying examination we only checked the basic knowledge coming from the courses every pupil in Germany has to pass during gymnasium.

3 Requirements for Successfully Completing the Course Every first lecture of the week, a problem sheet was handed out that had to be solved in small groups of two students and returned the week after. The problems on each sheet were divided in three mandatory and five optional exercises. The students had to solve all of the three mandatory exercises and two of the optional exercises, the latter of which could be freely chosen. At the end of the semester, a problem sheet score of 60 % was required to attend the final written examination. Additionally to this requirement, the students had to participate in a total of three written exams: Two exams in the middle of the semester to verify the students’ skills in the subject

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matters “Analysis 1” and “Linear Algebra”, and one final exam about “Analysis 2” that was taken together with the other students attending the standard course “Analysis 2”. In this way, we could directly compare the pass-rates. Finally, we demanded active and regular attendance of the tutorials throughout the course.

4 Problem Sheets In the following, we exemplify our problem sheet design by presenting the exercises of the 11th sheet of a total of 14 handed out during the course, which had vector calculus and line integrals as a topic. As we discussed in the previous section, we divided every problem sheet in mandatory and optional exercises.

4.1 Mandatory Exercises Determine a potential for the vector field E(x, y, z) and calculate the line integral E ds, where k ⎞ 2x y + z 3 E(x, y, z) = ⎝ x 2 + 3z ⎠ , 3z 2 x + 3y ⎛

Compute the line integral

x

⎞ t 7 et = ⎝sin(πtet 2 )⎠ with 0 ≤ t ≤ 1 . k(t) t3 ⎛

where vds,

⎛

⎞ y−x v(x, y, z) = ⎝ −y ⎠ , 1

⎛ ⎞ 2t x(t) = ⎝4t ⎠ with 0 ≤ t ≤ 1 . t2

The parametrization of a cardioid is given by a(1 + cos φ) x(φ) = with 0 ≤ φ ≤ 2π . a(1 + sin φ) Calculate the arc length of this curve!

4.2 Optional Exercises How long is the spiral groove of a long-playing gramophone record? Model this problem mathematically and calculate the solution with realistic data. Let f : R2 → R be a twice differentiable function, and k : [0, 1] → R2 a differ entiable curve with the property f (k(t)) = c for some fixed c ∈ R (i.e. k is part of = 0? Justify your answer. a level curve of f ). Is it true that k grad f ds

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Consider the vector field 1 v(x, y) = 2 x + y2 a) b) c) d)

−y with (x, y) = (0, 0) . x

Compute the line integral of v along the unit circle. Confirm that v = grad arctan xy for x = 0 and v = −grad arctan xy for y = 0. Does v have a potential? Is the line integral path independent? Draw a picture of the vector field and the computed line integral. A vector field v is said to have a vector potential A if v = rot A.

a) Prove the following: If v has a vector potential, then div v = 0. b) Consider the vector field ⎞ ⎛ 2 3x − 3y 2 + 6x z ⎠. −6x y v(x, y, z) = ⎝ 2 2 3x − 3z Determine a vector potential for v. Hint: One component of the vector potential can be chosen arbitrarily, e.g. A1 = 0. Determine the functions f : R3 → R for which the vector field v : R3 → R3 with ⎛ ⎞ f (x, y, z) v(x, y, z) = ⎝ x 2 + yz 2 ⎠ y2z has a potential.

5 Lectures There were four hours of lecturing every week, divided into two lectures. The original standard courses – “Linear Algebra”, “Analysis 1 and 2” – demand 2+4+4 hours instead, and we were thus able to significantly reduce the total number of lecturing hours. To achieve this goal while maintaining content and quality, it was essential to reorganize the lectures. This was done in the following way. We started with the usual preliminaries (sets, maps, elementary logic), and directly proceeded with multivariable calculus as follows: • • • •

Open, closed and compact sets, sequences and limits, continuity, differentiability.


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At this point, the derivative was introduced as a means of describing the tangent line to the graph of a real valued function in one variable. We then interpreted this ˜ − x) ˜ + f (x). ˜ tangent as a linear approximation, i. e. f (x) ≈ f (x)(x In this way, we made it clear that a special kind of generalization for the expres˜ was needed in the case of multivariate functions. This was the starting sion f (x) point for introducing linear algebra: to understand and apply the differential (functional matrix) in the n-dimensional case. Although the approach to begin analysis with the more general multidimensional case seems unusual, it has already been successfully employed for example in the undergraduate textbook by Hellwig and Wegner [HW92]. Linear algebra included: • • • • • • • •

Vector spaces and subspaces, systems of linear equations, linear mappings and determinants, inner products and norms, coordinate change, eigenvalues and eigenvectors, diagonalization, ordinary differential equations. Then we proceeded with

• • • • • •

differentiation rules, extreme values, parametrizations, line and volume integrals, theorems of Gauss, Stokes and Green, Taylor and Fourier series.

The above curriculum seems to be hard for the beginning student, but it turned out that this natural successive way of asking “What is the question” and “How can we give the solution” – especially at the point where the differential was introduced – led to interest and insight among the students. The typical topics for 1-dimensional problems – like rules for integration, intermediate value and mean value theorem – were treated especially in the tutorials and when presenting explicit calculations during the lecture. For example, the usual 1-dimensional integral is crucial while applying Fubini’s theorem. In order to achieve this tour de force, it was vital to give solid motivation for all the topics, coming mainly from the natural sciences, and to include many drawings in order to speed up the understanding.

6 Tutorials The tutorials were divided into two parts: (1) The first part included the main tutorials for two hours a week with 15 students. (The complete class was divided in order to reduce the number of students for

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an improved instructor/student relation.) In these tutorials, the students were provided with additional explanations and examples for the topics presented in the lectures. (2) The second part included tutorials for one hour a week with five students, in which the participants solved exercises with the help of an instructor. This form of tutorials is very intensive, and there was no need for more instructors than for the usual courses. In fact, only two assistants needed to be employed as instructors for the tutorials – in general, the combined courses “Linear Algebra”, “Analysis 1 and 2” need one assistant for administrating each course, and one additional assistant for the tutorials (with 15-40 students) which are similar to the tutorials described under item (2) above.

7 Evaluation At the influential nation-wide evaluation website www.meinprof.de, 18 of the 30 students gave ratings (possible from 5.0 to 1.0, 1.0 being the best mark): Fairness Support Material Comprehensibility Fun Motivation Overall rating

1.1 1.0 1.2 1.0 1.0 1.1 1.1

The course is recommended by 100% of the students that participated in the evaluation. Student comments include: • “Definitely recommended. I did not learn this much from one year of studying mathematics than while attending this course.” • “I never had so much fun learning. Challenging, but excellent!” • “Certainly the most motivating course I have ever attended at the TU Berlin.” • “Very nice course if you are interested in math! (Recommended: Having had the advanced math course in school)” It should be mentioned that the intensive course received the best overall rating of all mathematics courses registered with this website (which are more than 1000). In comparison, the usual analysis lectures (combined in the evaluations) together with the linear algebra course, also taught by M. Scherfner, received the following average grades by 42 students:


Fairness Support Material Comprehensibility Fun Motivation Overall rating

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1.25 1.2 1.45 1.05 1.25 1.45 1.25

This shows – with the same lecturer and the same topics – that even a top evaluation can be surpassed by changing the methodology. We like to emphasize that www.meinprof.de is not optimal to make final decisions with respect to the merit of a course, but at the moment it is the only data available.

8 Conclusion and Summary Within the intensive teaching framework described above, the subject matter is presented in a way different from the standard courses, and the number of tutorial participants is held low. For each part of the course the students have to pass a final written examination. Although the tutorials are small, a higher staff requirement does not occur. The advantages of the new teaching concept showed in significantly improved pass-rates – the last course taught by M. Scherfner was successfully completed by even 100 % of the students. The intensive course program enables students with broader previous knowledge to immediately take advantage of their higher qualification. Thus, this model provides an interior differentiation that can be roughly compared with the honors class system in the U. S. Based on the results of this course, another idea was implemented: Early Bird. This course attracts the highly motivated students who want to use the free time between semesters in order to speed up their studies in mathematics for engineers. There “Analysis I” and “Linear Algebra” are presented in a condensed schedule with everyday lectures and tutorials. It turned out that the pass-rates ratios “Early Bird vs. usual courses” were: 1.33 (2006), 1.21 (2007), 1.2 (2008).

References [HW92] Karl-Eberhard Hellwig and Bernd Wegner. Mathematik und Theoretische Physik, volume 1. de Gruyter, 1992. [LL05] Frank H. Lutz and Brigitte Lutz-Westphal. Schnellkurs Ingenieurmathematik – Pilotprojekt an der TU Berlin. DMV-Mitteilungen, 3:188–191, 2005.

Moderne Studienform: Galilea und der Bachelorstudiengang „Naturwissenschaften in der Informationsgesellschaft“ Christian Schröder, Sabina Jeschke, Nicole Natho, Olivier Pfeiffer

Zusammenfassung Die durch den Bolognaprozess [oERCtAoEUC] voran getriebene Reform der Hochschullandschaft zur Schaffung eines einheitlichen europäischen Hochschulraums bedeutet für Deutschland eine tief greifende Systemänderung. Die Diplom-/Magisterstudiengänge müssen in die neue Abschlussform Bachelor/Master inklusive aller dazu gehörenden weiteren Umstellungen überführt werden. Dabei ist eine völlige Neukonzeption eines alten Studiengangs selten, obwohl dies forciert wird. Die Evaluation der alten Studiengänge und die modernen Anforderungen führen häufig zu dem Ziel, neue methodische Ansätze in die Lehre zu integrieren. [(2008, Pan08, pro07, TBLF06] Diese schließen sowohl moderne Lehr- und Lernformen als auch eine gendersensible Ausrichtung besonders der technischen Studiengänge mit ein.1 Der erste Im Rahmen des Studienreformprojektes Galilea [DJTW06] wurde ein erster Bachelorstudiengang, „Naturwissenschaften in der Informationsgesellschaft“, konzipiert, der die oben genannten Aspekte verbindet. Ein Hauptziel ist die Erhöhung des Anteils weiblicher Studierender in einem naturwissenschaftlichen Studiengang.

Schlüsselwörter Curriculum Development · Gender · Academic Education

C. Schröder (B) MuLF, TU Berlin, Straße des 17. Juni 136, 10623 Berlin, Germany E-Mail: [email protected] 1 Der erhöhte Bedarf an IngenieurInnen und NaturwissenschaftlerInnen wird von Verbänden wie z.B. dem VDI und der Tagespresse in zunehmendem Maße öffentlich geäußert. Um den erwarteten Mehrbedarf decken zu können müssen neue Strategien entwickelt werden um die Attraktivität technischer Ausbildungswege zu erhöhen. Eine große Zielgruppe bilden dabei Frauen, da sie in natur- und ingenieurwissenschaftlichen Studiengängen häufig deutlich unterrepräsentiert sind (http://www.hrk.de/de/download/dateien/HRK-Statistik_SoSe_2008_komplett.pdf).

Originally published in “Information: Droge, Ware oder Commons?: Wertschpöfungsund Transformationsprozesse auf den Informationsmärkten. Proceedings des 11. Internationalen Symposiums für Informationswissenschaft (ISI 2009)”, Rainer Kuhlen (Hrsg.), © vwh - Verlag Werner Hülsbusch, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_30

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1 Das Projekt Galilea 1.1 Der Ansatz von Galilea an der TU Berlin Trotz umfassender gesellschaftlicher Veränderungen und politischer Anstrengungen zur Schaffung der Chancengleichheit bleiben Frauen in naturwissenschaftlichen und technischen Studiengängen und den entsprechenden Berufsfeldern eine Minderheit. Unter bildungsökonomischer Perspektive und unter dem Aspekt der Qualitätssicherung und Innovationsfähigkeit hat die Forderung nach Chancengleichheit der Geschlechter gerade auf Grund der Unterrepräsentanz von Frauen in der Wissenschaft ¨ ein erhebliches Gewicht gewonnen. [Kom99, Kom01, Sch03, W98] In einer vorwiegend technologisch ausgerichteten Universität wie der TU Berlin macht sich ein geringer Frauenanteil besonders bemerkbar. Die Universitäten müssen die Möglichkeit nutzen, entsprechende Verbesserungen innerhalb von Studiengangs-Curricula zu initiieren. Ein wichtiger Aspekt ist dabei die Förderung von modernen Lehr- und Lernformen, die geschlechtsspezifische Interessen, Ziele und Ansprüche berücksichtigen. Die Galilea-Studiengänge sollen koedukative, technologisch ausgerichtete Studiengänge sein, in denen Frauen 50% der verfügbaren Studienplätze belegen. In die Lehrpläne werden umfangreiche Projekt- und Teamarbeit, Praktika in Wirtschaft und Industrie sowie internationale Austauschprogramme integriert. Sie adressieren die Schulung von Schlüsselqualifikationen wie interdisziplinäre Fähigkeiten, soziale und strategische Kompetenzen, aber auch Führungs- und Managementqualifikationen. Ein besonderer Schwerpunkt liegt auf dem Einsatz neuer Medien in der Lehre. Interaktive Lehr- und Ausbildungskomponenten wie kooperative Wissensräume [Ham03] werden in mehreren Pflichtmodulen des Studiengangs angewandt. Sie ermöglichen einen hohen Individualisierungsgrad und unterstützen so die Umsetzung eigener Lernstile. Es wird erwartet, dass sich der oft als sehr verschult und „technokratisch“ wahrgenommene Lehransatz in den techniknahen Fächern flexibilisieren lässt. So ist es nach einer erfolgreichen Einführung z.B. einer e-Learning Plattform sehr viel einfacher, alternative Inhalte zur Verfügung zu stellen und so individuelle Interessen stärker zu berücksichtigen. Das Galilea-Konzept bildet die Grundlage des Bachelorstudiengangs „Naturwissenschaften in der Informationsgesellschaft“ an der Fakultät II – „Mathematik und Naturwissenschaften“. Die Entwicklung weiterer Studiengänge an anderen Fakultäten ist derzeit noch in der Planungsphase. Durch die Entwicklung neuer Lehr- und Lernformen, eines gezielten Mentoringprogramms und die Erstellung neuer Hybridstudiengänge in den Natur- und Technikwissenschaften sollen einerseits moderne Anforderungen von Gesellschaft, Wissenschaft und Wirtschaft Eingang in die Curricula bekommen und gleichzeitig der Anteil von Frauen in diesem Bereich stark erhöht werden. Berücksichtigt wird dabei, dass es durchaus viele Frauen gibt, die sich sehr für Technik interessieren, das Image klassischer Ingenieursfächer wie Maschinenbau oder Elektrotechnik aber den Interessen einer großen Zahl von Frauen widerspricht. Durch die stärkere

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Integration und Betonung von interdisziplinären Fragestellungen sowie der Anwendung moderner Medien in Lehre und Lernen wird dem entgegengewirkt.2

2 Das Projekt Galilea 2.1 Die Ziele des Studiengangs Wirtschaft und Gesellschaft haben einen zunehmenden Bedarf an interdisziplinär ausgebildeten und flexibel einsetzbaren Absolventinnen und Absolventen, die über ein breites naturwissenschaftliches Fachwissen verfügen. Der interdisziplinär, anwendungs- und gleichzeitig forschungsorientiert angelegte Studiengang vermittelt Methoden und Grundlagen der Informatik, Mathematik und Naturwissenschaften. Die Zusammenführung dieser Gebiete bildet, ergänzt durch Wahlmöglichkeiten aus weiteren technischen und nicht-technischen Fächern, die Basis für die Entwicklung einer umfassenden naturwissenschaftlichen Methodenkompetenz. Durch das Bachelorstudium machen sich die Studierenden mit den fachspezifischen Methoden zur Behandlung und Lösung von Problemen der Naturwissenschaften vertraut. Dies ermöglicht im Anschluss sowohl den übergang in die berufliche Praxis, legt aber auch die Grundlage für eine weiterführende universitäre Ausbildung (Masterstudium). Die Struktur dieses Studiengangs mit seinem multidisziplinären Inhalt kommt besonders den Präferenzen von Frauen entgegen. Die enge Verbindung zwischen Theorie und Experiment wird klar herausgestellt und zusätzliche Möglichkeiten zum Experimentieren werden angeboten, z.B. mit Online remote Experimenten3 . Der Studiengang „Naturwissenschaften in der Informationsgesellschaft“ steht für die Modernisierung von Studiengängen, in denen das Verhältnis von Frauen extrem niedrig ist sowie für andere naturwissenschaftliche Studiengänge als Grundlage zur Verfügung. Für Absolventinnen und Absolventen, die nach dem Bachelor den Einstieg in die Berufstätigkeit wählen, ergeben sich verschiedene Aufgabenstellungen und Einsatzmöglichkeiten in solchen Bereichen, die ein breites naturwissenschaftliches Grundverständnis und Methodenwissen erfordern, in denen spezifische Fähigkeiten und weiterführende Kenntnisse jedoch weitgehend in der beruflichen Praxis erworben werden. Beispiele hierfür können sein: Wissenschaftsjournalismus, Tätigkeiten in Wissenschaftsverlagen, wissenschaftliches Bibliothekswesen, Referententätigkeit in Politik/ Ministerien/ Behörden im nationalen und internationalen Umfeld,

2

Sowohl in den Ingenieurwissenschaften als auch in den Naturwissenschaften werden steigende Studierenden- und Absolventenzahlen erwartet, die zu betreuen die Aufgabe der Hochschulen und die zu erreichen die Aufgabe einer hochtechnisierten Bildungsgesellschaft ist. Verfügbar unter: http://www.kmk.org/statist/fachspezprog_text.pdf [31.10.08]. 3 http://remote.physik.tu-berlin.de/farm/ [31.10.08]

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Projektmanagement in naturwissenschaftlich-technischen Gebieten, Wissenschaftsmanagement an Hochschulen und Forschungsinstituten, Tätigkeiten in Finanz- und Versicherungsunternehmen, u.a. Für einen ausführlicheren überblick über den Bachelorstudiengang „Naturwissenschaften in der Informationsgesellschaft“ siehe Kapitel [?] Anhang.

2.2 Aufbau des Studiengangs Mit dem Bachelorstudiengang „Naturwissenschaften in der Informationsgesellschaft“ bietet die Technische Universität Berlin ein Studium Generale der Naturwissenschaften an, das auch die Informatik und vor allem die Mathematik einbindet. Grundlage des Curriculums für den Studiengang bildet eine enge Verbindung zwischen Theorie und Praxis. Dieser erste entwickelte Studiengang, ist zum Wintersemester 2007/2008 mit 16 Studierenden (9 Frauen, 7 Männer) gestartet. Im Wintersemester 2008/2009 begannen 30 Studierende (14 Frauen, 16 Männer) das Studium. Die Grundlage des Studiums (Anteil von ca. 59%) wird durch die jeweils fächerübergreifende Module Mathematik für PhysikerInnen, Numerische und Computerorientierte Mathematik, sowie Experimentalphysik gebildet. Dadurch werden die theoretischen, informationstechnischen und methodischen Grundlagen vermittelt, die für jedes naturwissenschaftliche Studium benötigt werden. Zusätzlich werden die zwei neuen Pflichtmodule „Wissensmanagement in der Informationsgesellschaft“ und „Neue Medien in Forschung und Lehre“ angeboten, in denen Grundlagen des modernen Wissensmanagements und multimedialer Lehr-, Lern- und Präsentationstechniken vermittelt, bzw. angewandt werden. Diese Module werden durch die Universitätsbibliothek und das Zentrum für Multimedia in Lehre und Forschung (MuLF) durchgeführt. Beide Veranstaltungen finden im ersten Studienjahr statt und bilden neben der fachlichen Ausbildung vor allem eine methodische Grundlage für das weitere Studium. Die Anwendung von IuK-Technologien von Seiten der Lehrenden und der Lernenden steht dabei im Vordergrund. In diesen Kursen erwerben die Studierenden notwendige Schlüsselqualifikationen für ihre erwarteten zukünftigen Arbeitsbereiche. Zusammen mit dem Modul Computerorientierte Mathematik vermitteln die beiden neuen Module Fähigkeiten und Kompetenzen im Umgang mit IuKTechnologien. Die Studierenden sind anschließend befähigt, die erworbenen Kenntnisse in ihrer fachspezifische Arbeit anzuwenden. Neben den fachspezifischen Ausrichtung im Wahlpflicht- und Freien Wahlbereich bilden diese drei Module den Hauptanteil der Berufsbefähigung des Bachelorstudiengangs. Die in den Naturwissenschaften größer werdenden Anforderungen zum Umgang mit IuK-Technologien wird damit Rechnung getragen. Der Wahlpflichtbereich (ca. 21%) besteht aus einem Katalog von derzeit etwa 70 Modulen, aus den Bereichen der technischen Biologie, Chemie, Informatik, Mathematik und Physik. Die fachliche Vertiefung in einem oder mehreren dieser Bereiche steht hier im Vordergrund.

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Das Studium bietet darüber hinaus die Möglichkeit, im Freien Wahlbereich (10%) Module aus dem Angebot der vier Berliner Universitäten zu wählen. Dies ermöglicht einen fächerübergreifenden Austausch, stärkt aber vor allem die Möglichkeiten einer individuellen Profilbildung der StudentInnen. Der Erwerb von Sprach-, Management- und Wirtschafts- und Genderkompetenz wird nahe gelegt. Zum Studium gehört ebenfalls ein mindestens 12-wöchiges Berufspraktikum, so dass auch die AbsolventInnen eines naturwissenschaftlichen Studiums schon erste Erfahrungen in der beruflichen Praxis sammeln können. Die hohe Flexibilität dieses Studiengangs spiegelt sich auch in der Möglichkeit wider, einen individuellen Studienverlaufsplan ab dem ersten Semester zu erstellen. Es wird des weiteren angeboten, eine Bachelorarbeit in einem interdisziplinären Team zu erstellen und ein Thema aus unterschiedlicher fachspezifischer Sichtweise zu untersuchen. Dieser hohe Individualisierungsgrad wird von uns als Chance gesehen, einen höheren Frauenanteil in natur- und ingenieurwissenschaftlichen Fächern zu realisieren und mittelfristig diese Themen insgesamt für eine breitere Zielgruppe interessant zu machen.

3 Schlussfolgerung Die Herangehensweisen von Frauen und Männern an technische Fragestellungen, aber auch ihre Anforderungen an Technik unterscheiden sich mitunter stark. In der wissenschaftlichen Community ist bekannt, dass die Herangehensweisen der Frauen zur Technologie verstanden werden muss, um sie dann in pädagogischen Konzepten entsprechend zu berücksichtigen. [Col01, Sch99] In Universitäten wie die TU Berlin, die sich überwiegend auf Technologie konzentrieren, ist der niedrige Anteil weiblicher Studierender in den Ingenieurwissenschaften besonders wahrnehmbar. Gleichzeitig werden an diesen Universitäten die meisten Naturwissenschaftler, Informatiker und Ingenieure die in Deutschland leben und arbeiten, ausgebildet. Folglich spielen diese Universitäten eine wichtige Rolle in der überwindung des „Gender Gaps“ in den Ingenieur- und Naturwissenschaften. Daher sollten sich gerade die deutschen Technischen Universitäten besonders auf die Aufgabe vorbereiten, technische und techniknahe Studiengänge zu entwickeln, die gleichermaßen attraktiv für beide Geschlechter sind. Um den Anteil der weiblichen Studierenden innerhalb der technologischen Disziplinen zu erhöhen, werden im wesentlichen zwei Ansätze unterschieden: Der direkte Ansatz schlägt vor, dass änderungen durch ein aktives Herangehen an ein „Problem“ und seine Ursachen erreicht werden, während der indirekte Ansatz vorschlägt, zuerst die vorhandene Stärke der Frauen zu verbessern und dann das „Problem“ und seine Ursachen zu lösen. Im Oktober 2004 startete die TU Berlin ein Programm, das auf dem zweiten Ansatz basiert: Genesis [DJK+ 04], gefördert durch den ESF. Im Rahmen von Genesis wurde untersucht, wie z.B. Lernplattformen eingesetzt werden können, um die individuellen Vorstellungen und Wünsche von Frauen besser in der Lehre zu unterstützen. Im Zuge dieser Untersuchungen zeichnete sich ab, dass viele Studentinnen

Abb. 1 Exemplarisch ist hier ein Schwerpunkt auf die Informatik gelegt, es kann im Wahlpflichtbereich aber auch eine beliebige andere Kombination geben

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vor allem von dem Image techniknaher Studiengänge abgeschreckt waren, so dass die Idee entstand, neue Studiengänge zu entwerfen. Als ein Ergebnis wurde im November 2006 das Studienreformprojekt Galilea an der TU Berlin ins Leben gerufen, mit dem Auftrag, neue modellhafte Studiengänge zu entwickeln und umzusetzen. Beide Projekte beabsichtigen dabei nicht nur, mehr Frauen für technische und naturwissenschaftliche Studiengänge zu gewinnen, sondern versuchen außerdem, die TU Berlin als Vorreiter in ihren Bemühung zu stärken, die Nachfragen und die Bedürfnisse von Gesellschaft, Wissenschaft und Wirtschaft abzudecken. Das Gesamtziel ist es, das Image von techniknahen Studiengängen zu modernisieren. Die Berücksichtigung der unterschiedlichen Bedürfnisse und Anforderungen von Männern und Frauen sowie die Anwendung moderner Lehr-/Lernformen im Zusammenhang mit IuK-Technologien werden dabei fokussiert.

4 Anhang Der Bachelorstudiengang “Naturwissenschaften in der Informationsgesellschaft” Die Regelstudienzeit des Studiengangs einschließlich der Bachelorarbeit beträgt sechs Semester. Inhalt und Aufbau des Studiums sowie das gesamte Prüfungsverfahren sind dabei so gestaltet, dass die Studierenden innerhalb dieser sechs Semester ihr Studium beenden können. Der Studienumfang beträgt 180 Leistungspunkte (LP) nach dem European Credit Transfer System (ECTS). • Pflichtbereich Mathematik In diesen Modulen bekommen die Studierenden den mathematischen Hintergrund basierend auf Analysis und Linearer Algebra vermittelt, der für alle Naturwissenschaften notwendig ist. Es wird besonders auf physikalische Fragestellungen eingegangen und die Zusammenarbeit in Kleingruppen gestärkt. • Pflichtbereich Informatik In Computerorientierter Mathematik (CoMa) wird die Syntax und Symantik von Programmiersprachen am Beispiel der objektorientierten Sprache Java erlernt. Die Teamarbeit ist dabei von zentraler Bedeutung, im zweiten Semester wird in Gruppenarbeit ein Projekt bearbeitet. In der Einführung in numerische Mathematik erwerben die Studierenden Kenntnisse zur numerischen Lösung von Problemen und Fähigkeiten im Umgang mit entsprechender Software. • Pflichtbereich Naturwissenschaften Inhalte werden in den Bereichen Mechanik, Thermodynamik, Elektrodynamik und Optik theretisch in Vorlesungen vermittelt. Hauptschwerpunkt bildet aber das Projektlabor, in dem jeweils sieben Studierenden in einer Gruppe selbständig Experimente planen, aufbauen, durchführen und auswerten. • Pflichtbereich Informationsmanagement Die Studierenden erwerben Recherche-, Präsentations-, Publikations- und Kommunikationsfähigkeiten auf wissenschaftlichem Niveau. Die Lehr-/Lernplattform Moodle wird intensiv eingesetzt.

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• Wahlpflichtbereich Die Studierenden können aus einer Liste von mehr als 70 Modulen aus Biologie, Chemie, Informatik, Mathematik and Physik wählen. • Freier Wahlbereich Studierende können Module aus dem gesamten Angebot der Berliner Universitäten wählen, auch zusätzliche Module aus der Wahlpflichtliste. • Berufspraktikum Die Studierenden bekommen einen Eindruck von möglichen späteren Arbeitsfeldern. Das Praktikum dauert mindestens 12 Wochen. • Bachelorarbeit Jede/r Studierende muss eine eigene Bachelorarbeit vorlegen. Das Thema der Bachelorarbeit sollte sich auf einen Studienschwerpunkt beziehen. Es können auch mehrere Studierende ein gemeinsamen Thema aus unterschiedlichen Fachrichtungen (z.B. physikalisch, chemisch, biologisch) bearbeiten, wobei aber jede/r eine eigenständige Arbeit anfertigen muss.

Literaturverzeichnis [(2008]

HRK Hochschulrektorenkonferenz (2008). Für eine Reform der Lehre in den Hochschulen. Technical report, Bonn, 2008. [Col01] Sabine Collmer. Wie Gender in die Technik kommt – Computerkompetenz für Frauen, 2001. http:/www.frauenakademie.de/veranst/vortrag/img/collmer.pdf, downloaded 31.10.08. Nina Dahlmann, Sabina Jeschke, Friederike Körner, Lars Oeverdieck, Rue[DJK+ 04] di Seiler, and Erhard Zorn. GENESIS – Gendersensitive Virtual Knowledge Spaces for Mathematics and Natural Sciences, Proposal European Social Fund. Technical report, 2004. [DJTW06] Nina Dahlmann, Sabina Jeschke, Christian Thomsen, and Marc Wilke. Overcoming the Gender Gap: New Concepts of Study in Technological Areas. In Proceedings of the 2006 ASEE Annual Conference, Chicago/USA, June 2006. [Ham03] Thorsten Hampel. Our Experience With Web-Based Computer-Supported Cooperative Learning – Self-Administered Virtual Knowledge Spaces in Higher Education. In Proceedings of the Site 2003 – Society for Information Technology and Teacher Education - International Conference, pages 1443–1450, Charlottesville (Va.), USA, 2003. Association for the Advancement of Computing in Education. [Kom99] Europäische Kommission. Frauen und Wissenschaft – Mobilisierung der Frauen im Interesse der europäischen Forschung. Technical Report KOM(99) 76, 1999. [Kom01] Europäische Kommission. Wissenschaftspolitik in der Europäischen Union, Förderung herausragender wissenschaftlicher Leistungen durch Gender Mainstreaming. Bericht der ETAN-Expertinnengruppe “Frauen undWissenschaft”, Brüssel, 2001. [oERCtAoEUC] Confederation of EU Rectors Conferences and the Association of European Universities (CRE). The Bologna Declaration on the European space for Education: an explanation. Verfügbar unter: http://europa.eu.int/comm/ education/policies/educ/bologna/bologna.pdf [31.10.08]. Der aktuelle Stand zur Umsetzung des Bologna-Prozesses ist unter http://www.ond.vlaanderen. be/hogeronderwijs/bologna/ einzusehen. Der aktuelle Stand zur Umsetzung

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[Sch03]

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des Bologna-Prozesses ist unter http://www.ond.vlaanderen.be/hogeronderwijs/ bologna/ einzusehen. Franziska Pankow. Die Studienreform zum Erfolg machen! Erwartungen der Wirtschaft an Hochschulabsolventen. Technical report, Berlin, 2008. Projektgruppe Studierbarkeit. Studierbarkeit an der Humboldt-Universität: Wie läuft das Experiment „Studienreform“? Technical report, Berlin, 2007. Heidi Schelhowe. Interaktivität der Technologie als Herausforderung an Bildung. Zur Gender-Frage in der Informationsgesellschaft. In Forschungsinstitut Arbeit, Bildung, Partizipation (FIAB): Jahrbuch Arbeit, Bildung, Kultur, volume 17, pages 49–55. 1999. Barbara Schwarze. Wer ist wirklich drin? Gender in der Informationsgesellschaft, Analyse mehrerer Studien und darauf aufbauende Handlungsempfehlungen. Technical report, 2003. Felicitas Thiel, Irmela Blüthmann, Stefan Lepa, and Markus Ficzko. Ergebnisse der Befragung der Studierenden in den Bachelorstudiengängen an der Freien Universität Berlin. Technical report, Berlin, 2006. Berlin. Christine Wächter. Frauen in der Technik – Pionierinnen in Technopatria. In C. Wächter and et. al., editors, Technik Gestalten, Interdisziplinäre Beiträge zur Technikforschung und Technologiepolitik. Kluwer Academic Publishers, München & Wien, 1998.

Microtraining for Workplace-Related Learning Anne Carina Thelen, Sascha Daniel Herr, Frank Hees, Sabina Jeschke

Abstract Today’s working and business life is characterized by broad economic and social trends. Due to these external effects, companies face an increasing demand for up-to-date knowledge in order to stay competitive. Microtraining is one answer to increasing organizational learning needs. Its methodology is based on the concept of short learning units, supporting workplace-related learning, which is especially important in the context of small and medium-sized enterprises (SMEs). Microtraining is time and cost-saving, highly flexible and can be tailored to organizational learning demands (short, medium and long term). Keywords Work-place related learning · informal training · active learning · tacit knowledge · on-the-job learning

1 Introduction Today’s working and business life is characterized by dynamics of change and increasing uncertainty. Companies have to cope with global economic and social trends like acceleration of technological innovation, shorter production cycles, tertiarisation of jobs, knowledge-based production and sales processes, demographic change, merging of working and learning etc. The described challenges and framework conditions in the socio-economic and technological context have led to a shortened half-life period of knowledge in many cases. The span between the moment certain knowledge is needed and the time this knowledge has become obsolete gets more and more shortened. Against this background, knowledge and learning have become critical success factors for companies, which are forced to update and supplement their internal knowledge continuously. Therefore companies are looking for efficient training and A.C. Thelen (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

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learning methods. But especially SMEs lack time and money to invest in formal training methods. Therefore informal and workplace-related learning will gain more and more relevance in the context of SMEs. Microtraining is one answer to increasing organizational learning needs and poses a systematic, holistic and structured learning approach to integrate learning to the workplace. The content of the present paper shows up the need for internal training in SMEs and introduces Microtraining as a systematic training approach which supports informal learning and knowledge exchange bound to the workplace. Furthermore the theoretical and methodological background of Microtraining is presented.

2 Training and Learning in The Context of SMEs As Fig. 1 indicates, SMEs use a variety of different measures of knowledge management and are sensitive for a knowledge-based design of their business segment in general. However, based on their heterogeneity (e.g. size, sector, structures, strategies etc.), SMEs do not show a consistent knowledge management and rather implement single components and concentrate on certain focal points [Aea03]. With regard to the topic dealt in this paper it is very important that learning out of (project-) experiences (80%) as well as internal and continuous training and learning (74%) form the basis of knowledge management in SMEs and can be assigned to the phase’s “creation and diffusion of knowledge” of the knowledge management cycle [PRR99]. In contrast to the general need for continuous learning described above, in comparison to large enterprises especially SMEs lack time and money to invest in external training. According to a current empirical study nearly half of the queried SMEs indicated that heavy workloads and time pressure prevent training and learning.

Fig. 1 Measures of knowledge management in SMEs [PGHP06]

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Almost 40 percent of the respondents pointed out that high training costs are responsible for the lack of learning [fB08]. Moreover most SMEs hardly possess an internal training infrastructure in comparison to large-scale enterprises and are characterized by a lack of systematization and conceptualization of training and learning. Therefore work-related, self-organized and informal models of training and learning become more and more important for SMEs [DT08] in contrast to formal training. In times of rapid economical and technological changes, traditional learning concepts become more and more insufficient as they lack the need for just-in-time and just-enough training and are not flexible enough to react prompt to rapidly changing learning needs. Only about twenty percent of relevant on-the-job knowledge is acquired through traditional and formal training, while the remaining eighty percent is gained in informal settings [Cro07], like on-the-job or workplace-related learning. Consequently, organizations look for more efficient and workplace-bounded alternatives to traditional and formal training methods. In practice however, informal learning is considered more effective than formal learning, because it is more individual and the learner becomes accountable [dVL08]. With regard to innovation, informal learning (sharing experiences, trial and error etc.) and adequate transfer and diffusion of knowledge on the work floor are keys towards innovation for SMEs. Microtraining and its informal and workplace-related training approach addresses shortages of skilled workers and improves the quality of the employees’ skills [Vea06]. It helps to maintain, distribute and share incorporated knowledge in a systematic and structured way, so that it does not become incidental. Microtraining offers rooms of face-to-face- reflection which support the workplace-related distribution of knowledge in organizations [Wah96]. Due to its tailored design Microtraining can be adjusted to specifically those problems and questions which are of internal relevance. Thereby it ensures that learning and training is aligned with the needs of individual employees as well as current and future directions of the organization [Far09]. Core elements of Microtraining are the shortness, the nearness to the workplace and the integrated reflection.

3 Methodology 3.1 The Microtraining Design Since the Microtraining approach is highly customizable and adaptable to urgent organizational issues, organizational objectives have to be clarified before setting up the training. The selection of topics will be composed of specific and workplacerelated issues, determined by the knowledge requirements of the employees and the objectives of the organization. Typical examples are the usage of new software (e.g. bookkeeping program), sales strategies (e.g. customer service), exchange of experiences about different topics; new media; commercial training; new regulations/ laws/ requirements etc.

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Microtrainings are typically held with groups of 6–8 trainees in order to ensure diversity of knowledge levels, background, and experiences, as well as to engage trainees in discussions. Larger groups often show that participation is reduced due to less involvement of passive group members. Smaller groups limit the amount of pre-training knowledge held by its members, which consequently reduces the possibility of knowledge flows from one trainee to another. The role of the Microtrainer can be filled by anyone in the organization that is committed to training employees on organizational issues. In contrast to traditional formal training settings, the Microtrainer’s task is mainly to motivate and involve the trainees, facilitate and structure discussions, as well as to monitor the learning progress of the group. Microtraining consists of sessions which follow the same structure, described beneath.

3.2 The Microtraining Session Microtraining begins with an active start, followed by a demo or exercise, continues to a discussion or feedback and ends with a preview or lookout to the next session (see Fig. 2). 1. The active start raises attention and prevents the trainees from leaning back. Due to the shortness of the sessions, the trainees have to be instantly caught and engaged in a cognitive task in order to gain the most of the available time. This can be accomplished by the use of a confronting question that prompts the trainees to think about a topic in a personal, reflective manner. After giving the trainees some time to sort their thoughts, a short discussion is initiated. Hereby personal experiences with respect to the topic and the question are shared within the group. Furthermore, organizational objectives for the session are communicated and trainees are encouraged to formulate personal learning objectives. It is important to underline the relevance of the subtopic for the organization as well as the individuals.

Fig. 2 The Microtraining session [mic10]


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2. What comes next is a demonstration or exercise that illustrates most of the actual learning content of the session. Typical procedures used for this part are brainstorming, sequencing, role-plays, mutual interviews, fill-in questionnaires, and case studies. 3. Feedback to the exercise and discussions about the implications that arise from it are following. Experiences and insights gathered from the exercise are shared among the members and linked to the topic of the session. Trainees reflect on what they learned from the experience. At this point, the Microtrainer evaluates everyone’s understanding of the topic by asking questions on the learning content and gives feedback on the group process. 4. At the end of the session, the trainees are prompted to discuss and agree on how to retain the acquired knowledge beyond the session. Practical opportunities to apply the knowledge and behavioural adaptations that are in line with the learned content are considered. Trainees are invited to evaluate the session briefly. Moreover, a short preview of the following session is presented in order to prepare trainees on what to come and link the present topic with the upcoming themes.

3.3 The Microtraining Cycle A complete Microtraining cycle focuses on an overarching main topic and is divided into a series of 15–30 minute sessions (see Fig. 3). Every cycle starts with an introductory session, which clarifies the training concept, introduces the main topic and provides the trainees with the opportunity to get involved in the planning of the upcoming sessions. At the end of every cycle, a closure session takes place that rounds off the whole cycle, reflects on what learning achievements were accomplished and previews further cycles. In between the introductory and closure sessions, a number of subtopic sessions are employed. These sessions contain the actual learning content. The subtopic sessions break down the main topic into manageable and suitable pieces of information for the length of up to 30 minutes. Depending on the complexity of the main topic, the number of subtopic sessions can vary.

Fig. 3 The Microtraining cycle [mic10]

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3.4 Evaluation of Microtrainings Evaluation of a training method is an important process for every company interested in further development. However, in practice, training evaluation is often done insufficiently. Since the Microtraining method is highly customizable, there is a lot of room for organizations to adapt it towards their needs and fit it within their context. Structured evaluation is the information source for this adaptation and continuous improvement process. Therefore, the Microtraining approach incorporates evaluations by design. There are three real-time evaluation points in one cycle. Firstly, at the end of every session, a brief evaluation of the group process, the content and the trainer is initiated. This is regarded as a snapshot of the present mood and reaction of the group. Secondly, a more extensive evaluation occurs at the closure session at the end of a cycle. Trainees are invited to give their feedback and general opinion on the cycle, the content, the Microtrainer and their personal assessment of what they learned. Thirdly, after each session and after the closure session, the Microtrainer him- or herself evaluates his or her own functioning, the appropriateness of the subtopics, as well as the assessed learning progress of the group. The real-time assessments are a part of a more formal framework for the evaluation of the Microtraining method. It is based on Kirkpatrick’s four levels of evaluation [Kir98]: Level 1: Reaction, which is the immediate reaction or feeling towards the training method. Data for this level is gathered at the real-time assessments directly after the sessions. Level 2: Learning, which describes what explicit knowledge the trainees acquired. Data for this level is gathered mainly at the closure session. Level 3: Transfer, which is the extent to which the acquired knowledge manifests itself as improved or adapted behaviour on the job. This has to be observed after a mid-term period by supervisors or the Microtrainer him- or herself. Level 4: Business results, which are the extent to which the training translated into measurable business results, e.g. increased sales or less work-related injuries. This level has to be assessed after a long-term period.

4 Theoretical Foundation 4.1 Social Constructivism Theory The core of the Microtraining concept is derived from social constructivism theory, which states that knowledge is created in social groups, due to interactions between members of a team and mutual learning from each other [Vyg78]. According to constructivism, each individual establishes his/her own understanding of the world


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by actively constructing knowledge and mental models. In social settings, e.g. work teams, the members of a group receive bits of information from other members in order to enrich their mental model of a given subject. As a consequence of this process, individuals synchronize their ideas, experiences and attitudes, thereby forming a small group culture that exhibits a shared mental model. Recent research suggests that shared mental models are vital for effective collaboration and coordination in work teams, as well as effective team learning [min]. Since SMEs typically exhibit a low level of hierarchy and lack extensive quality control mechanisms, effective team work and a shared understanding of organizational objectives are crucial factors for productivity and quality of work. Microtraining supports this by focusing on group work and knowledge exchange between the trainees, thereby creating an organizational learning culture.

4.2 Tacit Knowledge Since the Microtraining method is intended for the exchange and enrichment of workplace-related knowledge, the notion of tacit knowledge becomes important. Tacit knowledge is knowledge that cannot be easily transferred from one person to another by means of writing it down or verbalizing it. It is mainly acquired by experience and on-the-job learning and represents the main mode of job-relevant knowledge in work settings [NT95]. Organizations have to incorporate ways of transferring this type of knowledge because, according to recent research [Cro07], what people need to know to do their jobs well is essentially composed of tacit knowledge. Compared to larger organizations, SMEs are characterized by a lower degree of formalisation and documentation of activities and more individual control and responsibility. Furthermore, SMEs do not have access to a large applicant pool. Consequently, individuals are less exchangeable due to the tacit knowledge they hold. This poses a threat for SMEs in case of turnover or sick leave. Moreover, in order to benefit the most from this knowledge, other employees have to gain access to it. Transfer of tacit knowledge is accomplished by socialisation, which occurs in informal settings, e.g. conversations during work, and shared experiences [NT95]. Informal learning is personal and authentic, contributing to a pleasant and effective learning experience. Furthermore, socialisation is a natural way of learning, following the notions of social learning [Aro08, Ban77]. The Microtraining method incorporates these considerations by design. It offers an informal and safe environment for personal experience exchange and facilitates discussions about ideas and solutions.

4.3 Active Learning The procedure of Microtraining sessions is characterized by activities that follow the implications of active learning. The trainee is not viewed as passive receiver of

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presented knowledge like in traditional training methods, but as an active participant in the learning process [BE91]. Active learning requires the trainee to be cognitively engaged in a task or discussion and to take responsibility over his/her own learning achievements [May04]. This responsibility shift towards the trainee also fosters the use of self-regulatory learning strategies, essentially improving the personal ability of trainees to acquire knowledge in a sustained and efficient manner [BW95]. Moreover, Microtraining facilitates the trainees’ metacognitive reflection on their learning progress due to the open and explorative nature of training sessions and the immediate and frequent use of feedback loops [Har01]. The Microtraining method even takes these properties of active learning further by involving the trainees in the planning and content selection process of the sessions. Since SMEs operate in a largely non-formalized manner and are dependent on individual employees to take action and responsibility, the mode of working and the mode of learning should match. The Microtraining approach accomplishes this fit by the use of active learning principles.

5 Development of the Microtraining Approach The utilization of short learning units for organizational learning is a very recent development in didactical research and commonly called Microlearning. It is grounded on the emergence of E-Learning offers. Due to the nature of web-based services, learning content became increasingly dynamic and loosely linked [Wei02]. Web 2.0 applications included the social aspect in generating knowledge together with others and found increasing attention with E-Learning companies [Dow05]. Furthermore, mobile learning that utilizes short learning units on mobile phones holds promise to expand with today’s wide availability of powerful mobile hardware [HNM05]. Since the roots of Microlearning are grounded on the E-Learning approach, Microlearning content mostly revolves around electronically delivered factual knowledge that acts as a refresher of complementary training methods. However, for the transfer of tacit knowledge, the learners need to have face-to-face contact. The proposed Microtraining approach was developed to fill this gap. It builds on the work of two EU-funded projects that were aimed at developing a framework for flexible, cost- and time-efficient training units that are able to address the learning needs of SMEs. 31 partners from 7 European states worked together between October 2004 and March 2007 in order to develop short face-to-face learning trainings that were applied in several pilot tests conducted with SMEs [mic07]. Extensive practical experience from about 50 European SMEs shaped the work of a sequel project that ran from November 2007 to February 2010 in the framework of the European Leonardo da Vinci Life Long Learning program [mic10]. Under the leadership of the Technical University of Delft, Netherlands, 5 European states collaborated in the development of supporting tools that allow SMEs to implement Microtrainings effectively. The support tools cover a broad range of information material, e.g. a quickstart guide, Microtraining manual, handbook for Microtrainers,


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case descriptions, evaluation tools, templates, as well as a support website (http:// www.microtraining.eu) that can be used freely by organizations to share their experiences with the Microtraining method.

6 Conclusion The Microtraining method offers an advanced and didactically sound framework for SMEs to tackle today’s need for flexible and time-efficient training. Since the method is highly customizable, SMEs can adjust and tailor their Microtrainings towards their individual requirements and resource availability. Microtraining supports workplace-related learning in SMEs and packages learning so that it is accessible and directly relevant. Due to the informal approach, employees associate the trainings with an enjoyable experience and are more likely to accept the method and participate actively than with traditional, more formal solutions. Microtraining facilitates to share ideas, practices and knowledge among employees and embraces a culture of learning and engagement in the longterm. Since the importance of human capital as a key asset is expected to grow even further in coming decades, the application of a suitable solution for building the workforce’s knowledge-base is crucial for SMEs in order to stay competitive. Understanding that new ways of learning have to be implemented can make the difference between downfall and survival. Appropriate training methods that are tailored specifically for workplace-related learning can form a competitive advantage for SMEs that are proactive and adopt them early. Overall Microtraining increases competitiveness, innovative capability, customer service and retention, output of products and services and the quality of work. At the same time it reduces error rates, wastage of materials, costs and time per task. Furthermore learning related to the workplace helps to address shifting market preferences and ensures better health and safety records as well as an engaged workforce (e.g. improved workplace culture and employees retention rates) [oC09]. Future research on the topic of Microtrainings should deal with a set of considerations. First of all, since Microtraining is a newly developed training approach, the long-term effects of the method have to be evaluated properly. How does it affect productivity? Work satisfaction? Learning capacity? Etc. Second, it would be interesting to see how Microtraining performs when applied to larger organizations and how it would have to be adapted to meet the requirements that come with such a target group. Third, a large scale comparative study that measures how the Microtraining method fares in competition with other training methods on similar areas could reveal insights: In which settings can Microtraining yield the most benefits? Which conditions may render Microtraining not suitable? The success of the method is dependent on its applicability, acceptance and effectiveness. Empirical data originating from the considerations above will contribute to a more complete picture of what role Microtraining can play in the future of organizational learning.

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E. Abele and et al. Wissensmanagement in KMU. Entwicklung eines Werkzeugkastens für kleine und mittelständische Unternehmen. Zeitschrift für wirtschaftlichen Fabrikbetrieb, pages 375–379, 2003. [Aro08] E. Aronson. The social animal. Worth/Freeman, New York, 2008. 10th ed. [Ban77] A. Bandura. Social Learning Theory. Prentice Hall, New Jersey, 1977. [BE91] C. Bonwell and J. Eison. Active Learning: Creating Excitement in the Classroom AEHE-ERIC Higher Education Report No.1v. Jossey-Bass, Washington, D.C., 1991. [BW95] D. Butler and P.H Winne. Feedback and self-regulated learning: A theoretical synthesis. Review of Educational Research, 65:245–281, 1995. [Cro07] J. Cross. Informal Learning: Rediscovering the Natural Pathways that Inspire Innovation and Performance. Pfeiffer, San Francisco, 2007. [Dow05] S. Downes. E-learning 2.0. eLearn Magazine. www.elearnmag.org/subpage.cfm? section=articles&article=29-1, downloaded 2010-05-17, 2005. [DT08] O. Döring and S. Turnwald. Personalentwicklung in kleinen und mittleren Unternehmen: Anforderungen, Möglichkeiten, Grenzen und Perspektiven. Retrieved. www. f-bb.de/uploads/tx_fffbb/Fachartikel_PE_in_KMU_Doering.pdf, downloaded 201004-20, 2008. [dVL08] P. de Vries and T. Leege. Final Report WP 1:Bedarfsanalyse. Reload project. DE/07/ LLP-LdV/TOI/147058. Leonardo Project: European Union. Technical report, Leonardo Project: European Union., 2008. [Far09] N. Farvaque. Guide for Training in SMEs. DG Employment, Social Affairs and Equal Opportunities. European Commission. www.ec.europa.eu/social/main.jsp?langId=en &catId=89&newsId=544&furtherNews, downloaded 2010-05-10, 2009. [fB08] Bundesinstitut für Berufsbildung. Weiterbildungsbeteiligung in KMU. www.kibb.de/ cps/uploads/559_Weiterbildung_in_KMU_Antwort1.1219152837800.pdf, downloaded 2010-04-20, 2008. [Har01] H. J. Hartman. Metacognition in Learning and Instruction: Theory, Research and Practice. Kluwer Academic Publishers, Dordrecht, 2001. [HNM05] A. Holzinger, A. Nischelwitzer, and M. Meisenberg. Mobile Phones as a Challenge for m-Learning: Examples for Mobile Interactive Learning Objects (MILOs). In 3rd International Conference on Pervasive Computing and Communication (IEEE), pages 307–311, 2005. [Kir98] D.L. Kirkpatrick. Another look at evaluating training programs. American Society for Training & Development, Alexandria, VA:, 1998. [May04] R. Mayer. Should there be a three-strikes rule against pure discovery learning? The case for guided methods of instruction. American Psychologist, 59:14–19, 2004. [mic07] Microteaching - modular teaching and learning solutions for a needs based education. www.microteaching.org, downloaded 2010-05-10, 2007. [mic10] Microtraining for effective learning. www.microtraining.eu, downloaded 2010-05-10, 2010. [min] Shared mental models, team coordination, and team performance. In Symposium conducted at the annual meeting of the Society for Industrial and Organizational Psychology, Orlando, FL. [NT95] I. Nonaka and H. Takeuchi. The knowledge creating company: how Japanese companies create the dynamics of innovation. Oxford University Press, New York, 1995. [oC09] Conference Board of Canada. Workplace Learning in Small and Medium-sized Enterprises: Effective Practices for Improving Productivity and Competitiveness. Overview Report. 2009. http://www.ccl-cca.ca/pdfs/OtherReports/CBofC-WorkplaceLearningSME-OverviewReport.pdf, downloaded 2010-04-28. [PGHP06] Peter Pawlowsky, Lutz Gerlach, Stefan Hauptmann, and Annett Puggel. Wissen als Wettbewerbsvorteil in kleinen und mittelständischen Unternehmen. Empirische


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Typologisierungen auf Grundlage einer bundesweiten Befragung. FOKUS prints 09/ 06. Technical Report 09/06, Technische Universität Chemnitz, Chemnitz, 2006. http:// www.tu-chemnitz.de/wirtschaft/bwl6/prints/fokus_prints_09-06.pdf, downloaded 2010-04-20. G. Probst, S. Raub, and K. Romhardt. Wissen managen. Wie Unternehmen ihre wertvollste Ressource optimal nutzen. Gabler, Wiesbaden, 1999. R. Verburg and et al. Managing Technology and Innovation. An introduction. Routledge, Oxford, 2006. L. Vygotsky. Mind in Society. Harvard University Press, London, 1978. H.K. Wahren. Das lernende Unternehmen: Theorie und Praxis des organizationalen Lernens. Gruyter, Berlin/New York, 1996. D. Weinberger. Small pieces loosely joined: A unified theory of the web. Basic Books, New York, 2002.

Teachers need robotics-training, too Ursula Vollmer, Sabina Jeschke, Barbara Burr, Lars Knipping, Jörg Scheurich, Marc Wilke

Abstract Since robotics holds a special fascination among all the technological fields – due to its cross-disciplinary approach as well as its popularity through movies and literature – this field is attracting even the interest of pupils and students who are normally more reserved and cautious towards technological areas. In particular, practical experiences have shown that out of all the different technological areas robotics has a very high motivation impact on women. Thus, robotics can also be utilized as an instrument to bridge the gender gap in technological areas and fields of natural sciences. However, so far the majority of projects and initiatives focus on the instruction of the pupils and students themselves which naturally leads to restrictions concerning the scope of application. In order to enhance the impact factor, the integration of “multipliers”, in particular the “educators” in elementary schools, middle schools und high schools - and even in the kindergarten - is an important task. Within this paper, we describe a concept for teaching teachers how to implement robotics curriculum into today’s classrooms which is currently under development at the University of Stuttgart and the Technische Universität Berlin. Keywords robotics · teachers · hands-on training

1 Introduction Within a large number of projects all over the world, robotics has proven to be an extraordinary powerful tool to excite pupils and students about science and technology. Taught in a gender-sensitive way, robotics is also attracting women and girls, that usually are not so much interested in natural sciences or technological issues. As there is – or soon will be – a shortage on engineers in Germany, we need U. Vollmer (B) Institute of Information Technology Services, University of Stuttgart, Allmandring 30A, 70569 Stuttgart, Germany e-mail: [email protected]

First published in 2009 at the 37th Annual Conference of SEFI in Rotterdam, © SEFI, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_32

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to get more young people interested in these fields, so that the number of students choosing engineering or natural sciences as their studies increase. Looking at the percentage of women in natural sciences and engineering, there lies much potential in this social group for achieving a higher number of students in the respective fields. At the moment, robotics does not yet have the necessary significance in education that corresponds to the possibilities it offers. In order to improve this situation, the RoboTeach program aims at teaching, informing, and supporting teachers and educators, that would like to introduce robotics courses and projects in their institutions.

2 Concept and Pedagogical Approach The RoboTeach program aims at improving children’s education in robotics by offering robotics trainings, information and material to educators in kindergarten and teachers as well as teacher trainees for all different school levels. As the situation of the target audiences, such as time, place, and other needs, has to be accounted for, the program consists of four different modules that complement one another. The situation of the children, e. g. age, social background, are accounted for in all of those modules.

2.1 RoboTeach-AttendanceCourses The best way to teach robotics includes hands-on training and so has to be done in attendance courses. We plan to offer courses for • teacher trainees • teachers of all different school levels • educators in kindergarten The courses for teacher trainees are integrated into the Robinson program (see section 3.1, [JKVW08]) established at the University of Stuttgart and the TU Berlin as a new module. A specific robotics program is offered for teacher trainees during the semester. This program consists of a seminar, in which – after a few introductory lectures – students are supposed to work out a robotics topic and to prepare a lesson or hands-on training on this topic for to their fellow students. The overall topics are given by the lecturer, but the exact subtopic can be chosen and defined by the students. This gives all students attending this course the possibility to learn more about robotics itself on the one side and to practice teaching robotics on the other side. In combination to this seminar, a hands-on training is offered, where the students are supposed to design, built and program a robot in small teams. For this training, the LEGO Mindstorms NXT robotics kits [FFA07] and the NXT-G [Kel07] graphical programming language are used. This allows an easy access to such a robotics project, as the robotics kits and the graphical programming language are designed for children and are so easy to get acquainted with. Nevertheless, very interesting and challenging projects can be implemented with these tools. The introductory

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lessons provide an overview on the robotic field. They also give information on robotics kits, course possibilities for the different ages of the school children, and gender issues. Possible competitions for children and preparation information are also presented in the introductory lessons. As teachers and educators usually do not have much time during the week due to their jobs, different possibilities for courses have to be offered for them. Thus, we will offer weekly courses as well as compact courses in one week during the school holidays. These courses will begin with a few introductory lectures, followed by a hands-on training. The introductory lessons will contain a short introduction in robotics and information on robotics kits, robotics competitions for children, and gender issues. During the hands-on training the teachers and educators have the possibility to become acquainted with the robotics kits and get ideas for possible exercises and projects they can do with the children at school or in kindergarten, respectively. For those teachers and educators, who first want to get an idea on how robotics could be used for educational purposes, compact courses of one or two days with a short introduction in robotics and some hands-on exercises are offered, too. As for the students’ hands-on training, the LEGO Mindstorms NXT robotics kit [FFA07] in combination with the NXT-G graphical programming language [Kel07] is used for these courses, too.

2.2 RoboTeach-DistanceLearning Additionally to the RoboTeach-AttendanceCourses, distance learning possibilities are offered to deepen the course contents (blended learning), to provide means for practice and experience exchange, and to provide courses for people, that are not able to participate in attendance courses. All distance learning means provide information on technical issues of robotics, on specific robotics kits (e. g. LEGO Mindstorms [FFA07], Fischertechnik [fis], Asuro [asu], . . . ), on competitions, on the suitability of robotics kits for specific groups of children, and on gender issues. Means used for distance learning include virtual laboratories, e-learning platforms and forums for experience exchange.

2.3 RoboTeach-OnDemand Teacher trainees, teachers and educators will definitely have specific demands that can not be covered with any of the other course offerings. Those demands could refer to different robotics kits (LEGO WeDo, Fischertechnik, Asuro, c’t bot . . . ), specific target groups of the children (such as disabled children, children with difficult social background, . . . ), combination with specific subjects, . . . The specific demands of an interested group are determined and a special course is then planned and prepared for this group. In case single persons ask for such special demands, a course is planned on the premise, that more participants are found for this special course.

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2.4 RoboTeach-Material In order to prepare good lessons, courses, and activities for the children, teachers and educators need to have access to good teaching material. We develop material for teaching robotics under the following aspects: • • • • • • • •

age of children target group (e. g.: girls, boys, children with difficult social background, . . . ) focus (e. g.: exercises adapted to a specific topic or (school) subject) intended use (support during lesson, learning at home, . . . ) form (book, video, game, building instructions, . . . ) content (robotics basics, specific robotics kit, gender, . . . ) information on different hardware / robotics kits available competitions

3 Embedding The RoboTeach program is embedded in the Robinson program, established at the University of Stuttgart and the TU Berlin and cooperates with the Roberta® project at the IAIS Fraunhofer Institute in St. Augustin via the RobertaRegioZentrum in Stuttgart and Berlin, respectively.

3.1 Embedding in Robinson Program The Robinson program at the University of Stuttgart and the TU Berlin consists of the following modules, all offering robotics lectures, seminars, and hands-on training to students and – in the case of Roberta® - pupils: • Robinson-Ing: Courses in this module aim at students of natural sciences and engineering. They provide the students with an insight into the working life of an engineer and introduce basic concepts of hard- and software engineering. Additionally, soft skills like team work and presentation skills are trained in these courses. • Robinson-Mixed: This module aims at students of humanities and social sciences. The overall goal is, to bridge the gap between natural sciences and engineering on the one hand and humanities and social sciences on the other. The students get an insight in the way of working and thinking of an engineer, as well as an idea about the social relevance of such a field and about the creativity, that is needed in engineering. • Robinson-Med: Besides the target group, i. e. medical engineering students, and the necessary adaptions to this target group, this module is very similar to the Robinson-Ing module • Roberta®: The Roberta® module provides the framework for the RobertaRegioZentrum and the Roberta® courses, respectively.

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The courses for teacher trainees, described in section 2.1, are integrated as a new module Robinson-Ped of the Robinson program.

3.2 Cooperation with Roberta® project The Roberta® project [fAiSA06] was initiated by the IAIS Fraunhofer Institute in St. Augustin. The main goal of this project is, to increase the number of women in the natural sciences and engineering field by offering gender-sensitive robotics courses for pupils. The IAIS Fraunhofer Institute in St. Augustin constitutes the basis for many so called RobertaRegioZentrum throughout Germany and some other European countries. Course instructors are prepared for their work in specific courses at the IAIS Fraunhofer Institute in St. Augustin. The RoboTeach project extends the coverage of the RobertaRegioZentrum in Stuttgart and Berlin, respectively by providing professional instructors, such as teachers and educators, with the information necessary for establishing robotics courses for pupils by themselves.

4 Similar Projects Some projects with similar aims are described in the following sections.

4.1 Course for Junior High School Teachers in Japan Takahashi et al. [TKM+ 07] propose a one day training course for Japanese teachers. The course consists of an one-hour lecture, followed by a four-hour hands-on training. The lecture, based on a textbook, introduces robotics and the fundamental issues concerning the master slave robot system used for the hands-on training.

4.2 Material for Hands-on Robotics Training Mataric et al. [MKFS07] provide teachers with materials for hands-on robotics training and STEM education.

4.3 Robotics as Integrating Agent in Primary Education Martin et al. [MBG00] describe a project, in which Irish teachers were introduced to robotics in order to enable them using technology as an integrating agent in their work. In this project, story-telling and robotics were combined in courses at primary schools.

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4.4 Evolution of Robotics Kits Martin et al. [MMR+ 00] describe the technological evolution of robotics kits, beginning with Seymour Papert’s Logo work [SP76]. This summary is followed by an introduction in possible activities with the presented robotics kits.

5 Outlook The RoboTeach program will improve and spread education in robotics in kindergarten and schools, as the instructors are better prepared and know more about the topic. Besides the technical aspects, instructors also know more about gender issues. This knowledge is not only applicable for the robotics courses and projects they plan, but also for their normal classes. Hopefully, this will improve the way mathematics and natural sciences are taught in schools and get more pupils interested in these subjects. If this succeeds, the number of students – especially women – choosing natural sciences or engineering as their studies will increase and we can possibly meet the needs of engineers that will arise shortly.

References [asu] [fAiSA06] [FFA07] [fis] [JKVW08]

[Kel07] [MBG00]

[MKFS07] [MMR+ 00]

[SP76] [TKM+ 07]

AsuroWiki - Home Page. http://www.asurowiki.de/pmwiki/pmwiki.php. St. Augustin Fraunhofer-Institut für Autonome intelligente Systeme AIS. Roberta Grundlagen und Experimente, volume 1. IRB Verlag, 2006. Mario Ferrari, Guilio Ferrari, and David Astolfo. Building Robots with Lego Mindstorms Nxt. Syngress Media, April 2007. fischertechnik - Building blocks for life. http://www.fischertechnik.de/en/index.aspx. Sabina Jeschke, Lars Knipping, Ursula Vollmer, and Marc Wilke. The Robinson program: Robotic Curricula for Interdisciplinary Academic Education. In Proceedings of the SEFI Annual Conference, Aalborg/Denmark, July 2008. James Floyd Kelly. LEGO MINDSTORMS NXT-G Programming Guide. Computer Bookshops, July 2007. Fred G. Martin, Deirdre Butler, and Wanda M. Gleason. Design, story-telling, and robots in Irish primary education. In Proceedings of the IEEE International Conference on Systems, Man, and Cybernetics, 2000, volume 1, pages 730–735, 2000. Maja J Mataric, Nathan Koenig, and David Feil-Seifer. Materials for enabling hands-on robotics and STEM education. In In AAAI Spring Symposium on Robots and Robot Venues: Resources for AI Education, 2007. Fred Martin, Bakhtiar Mikhak, Mitchel Resnick, Brian Silverman, and Robbie Berg. To mindstorms and beyond: Evolution of a construction kit for magical machines. Interactive Technologies, pages 9–33, 2000. Morgan Kaufmann Publishers Inc. San Francisco, CA, USA. Cynthia J. Solomon and Seymour Papert. A case study of a young child doing turtle graphics in LOGO. In Proceedings of the June 7–10, 1976, national computer conference and exposition, pages 1049–1056, New York, USA, 1976. ACM. Y. Takahashi, N. Kanai, M. Miwa, T. Yoshidom, N. Kimura, K. Shigeri, I. Ikari, and Y. Kawarads. Proposal of Robotics Education Training Course for Junior High School Teachers. In Proceedings of the International Workshop on Robotics in Education, 2007, 2007.

RELOAD - A Semantic-based Learning and Knowledge Platform for Employees of the Do-It-Yourself Industry Florian Welter, Olivier Pfeiffer, Anja Richert, Sabina Jeschke

Abstract The focus of the project RELOAD is set on employees of the Do-ItYourself (DIY) industry. Employees and consultants in this sector play a decisive role because they communicate directly with end customers during sales and consulting talks. Nevertheless, it is a fact that many employees and consultants in DIY stores are untrained, low qualified workers, or even workers from other sectors. Moreover, RELOAD considers customers with regard to means of informing them on products. Concerning commercial success, it is important for the DIY sectors that end customers know how to use and apply products which are purchasable in DIY stores. Only if this know-how can be transferred, the end customers will buy the respective products. In other words the maxim for this sector is true that ‘the knowing customer buys more’. RELOAD tries to address employees and costumers at the same time by offering a Knowledge Platform as a multimedia and semanticbased solution. This platform contains eLearning modules which are specified to the individual learning needs of the employees and which should enable them to actualise their knowledge much more efficient and faster. Together with the knowledge platform in DIY stores, eLearning applications in form of short learning modules will support the self-directed learning of the employees. This kind of learning can be integrated into dynamic daily work processes more easily than classical types of learning and at the same time it is also more cost-efficient. As a consequence customers of DIY stores will gain more profit through a more efficient consultancy, too. Keywords Do-It-Yourself industry · eLearning · Microtraining · Semantic-based Knowledge Platform

F. Welter (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

Originally published in the ICELW proceedings, Kaleidoscope Learning, Inc., ISBN: 978-0-9827670-0-9, © Kaleidoscope Learning, Inc, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_33

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1 Introduction With an approximate annual business volume of 37 Billions Euro in Europe the DIY branch is an important economic factor in the European Union. For this reason RELOAD focuses on the vocational training of the employees of the Do-It-Yourself (DIY) stores and their consulting skills. This plays a particularly important role in this sector as they communicate directly with the end customers in sale consultations. But as a matter of fact many employees and consultants in the DIY stores are un-trained low qualified or workers from outside the sector. To be commercially more successful in this sector, the employees have to inform the customers about how to use and apply products more efficiently on the one hand. On the other hand the DIY industry has to deal with an augmenting variety of product information which needs to be updated constantly. Concerning this point, preparing the product information in a simple and clear manner so that employees of DIY stores are able to use it for sales, is not a trivial task, because employees have to be trained e.g. in electronic devices or different material properties. Besides this fact there is a growing number of costumers which possess an comprehensive previous knowledge mostly achieved through the internet. The knowledge acquisition behaviour of the customers is a consequence of the so called “EduCommerce” [Lee07] which is a hybrid form of eLearning and eCommerce. Therefore it is essential for the DIY stores to train their employees at least as good as the customers to ensure a good quality of consulting services. In other words for the DIY branch the maxim is true that ‘the knowing customer buys more’.

2 Project Objectives For the challenges described above, RELOAD establishes a Knowledge Platform as a multimedia and semantic-based solution in DIY stores, which contains eLearning modules to enable the employees to learn ‘on the job’ on a self-directed and efficient way [BRH07]. The project primary aims at untrained and less qualified employees in the DIY-sector, who are not used to self-directed and media-based learning. A special didactical approach is required in RELOAD to motivate this target group. To ensure an effective learning process for the target group, a blended learning concept was chosen which supports self-learning processes accompanied by experienced colleagues while it takes place as collaborative learning in the group. The interaction with the Knowledge Platform, the Microtrainings which constitute a didactical concept characterised by short learning units and the support of experienced colleagues or trainers assure the motivation of the learners [BH07a, vdMSHL95]. These Microtrainings can be integrated into daily working processes more easily than common types of learning e.g. the teacher-centred learning [BH07b]. Additionally, the platform allows tests of the formerly learned units which support the control of the learning process for the target group. Furthermore, RELOAD focuses on supporting companies on their way to become a learning organisation and increase the service capabilities of employees.

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Therefore, the long term survival ability of the participating enterprises will be increased. The application of the Knowledge Platform as well as the participation in and the creation of the Microtrainings implicates that the workplace of the future is differently formed and better adapted to the new challenges of lifelong learning processes. Nevertheless, these processes are necessary to cope with growing product diversity and an augmenting flexibility of services. RELOAD is coordinated by the Center for Learning and Knowledge Management and Institute of Information Management in Mechanical Engineering, RWTH Aachen University. The European DIY-Retail Association (EDRA), producers and DIY stores as well as scientific partners from the education and IT sector in Europe are part of the international consortium.

3 Methodology and Technology Used The service website “www.k-21.net/baumarkt” provides a basic technology for the RELOAD Knowledge Platform. A centralised data pool with course and learning units (e.g. ‘How to use a grinder correctly?’) concerning various DIY products has been created in close cooperation with the academy “Bauen & Wohnen” (build & live), which is a federation of German DIY branch experts. Due to the fact that RELOAD is an innovation transfer project applying existing technologies and concepts it does not aim to ‘reinvent the wheel’. Hence, the latter mentioned basic technology is used as a base and will be developed continually to an integrated learning and knowledge management environment. Besides, during the process of system development mainly open source learning architectures are used. In addition to that, the integration of Microtrainings as multimedia-based short learning units which were conceptualised in another European project will supplement the Learning and Knowledge Platform [VB08]. Especially the innovation of using blended concepts and their transfer to the DIY branch is one of the unique features of RELOAD. Microtraining is distinguished as an innovative concept which helps employees of the DIY-branch to cope with the increasing information of the manufacturers faster and to incorporate this information into the consultation of customers [BRH09]. The Microtraining learning units are integrated into this platform and are characterised by high applicability and by the attempt to reduce the units to a minimum regarding time-consumption. The Knowledge Platform bases on a semantic net to offer flexible and nonlinear ways of learning to the users (cf. Fig. 1). The contents of the platform are logically connected and they are related as instances of classes and objects to each other, which can be described as general functions of a knowledge map [SFM+ 07, SBH07]. Furthermore, the content of the platform can be easily accessed either via an index or via a search function enabling a clear and simple navigation through the system for the target group [RM95, Bro98]. By providing these functions, the semantic-based Knowledge Platform offers information for which employees of the DIY branch searched for as well as information for which users

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Fig. 1 Example of a semantic net (www.w3.org)

did not search for, but which is also important, because it is complementary information. In other words the architecture of the system arouses the interest among users to navigate through the platform and thus to receive information that educates their branch specific skills. Additionally, the semantic-based platform contains vital technical information about various products and electronic tools, e.g. a drilling machine or a grinder. This information is visualised via the Microtrainings which are embedded on the platform as animations, 3D models and video- or audio sequences [SBH08] (cf. Fig. 2).

Fig. 2 3D model for using a grinder as an example of a learning unit (www.baumarktwissen.eu)

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A typical Microtraining unit is characterised by duration of approximately 15 minutes. The relatively short time of 15 minutes is important with regard to the target group consisting of mainly untrained and less qualified employees, from which at least some would lose interest or would be overstrained by longer learning units. Thus, each unit begins with a general multimedia introduction into the topic, e.g. a video about technical details and handling of a grinder. The theoretical introduction is followed by a phase of practice for the users which contains questions to different items and product features. In the final phase of the Microtraining unit, a short summary of the formerly learned content is provided underlining the main learning achievements for the users. After the employees have learned with the help of the Microtraining units (today over 50 different units are available on the Knowledge Platform) they have to pass a web-based test which verifies their knowledge. If the test-phases are finished successfully, a certificate can be obtained in a final demonstration confirming the Microtraining graduation. An important aspect concerning the development of the Knowledge Platform depicts the consideration of user feedback in the entire development process. Besides the fact that feedback is used to improve the system continually, the users shall be enabled to create and edit Microtraining units personally in future. Hence, by supplying possibilities of interaction on the platform, the interest of employees to visit and learn new units is augmented. Furthermore, with regard to an ongoing demographical change towards an older society with e.g. older employees, the need to share the knowledge of experienced employees is increasing, too. Again a solution can be provided by the RELOAD Knowledge Platform, because it enables the integration of the employees’ knowledge into an interactive learning environment.

4 Results And Concluding Remarks A self-directed and media-supported learning is provided to the employees of the DIY branch by the didactics specifically designed for the target group. This kind of semantically supported learning, which also combines education with entertainment (‘Edutainment’), enables the employees to handle the customers’ rising need of information. Due to this reason the learning approach is very promising with regard to increasing overall sales in the DIY Industry. Thus, a better trained employee of a DIY store supports the fact that ‘the knowing customer buys more’. With the accomplishment of a detailed analysis of needs as well as customer strategy workshops for the employees of the DIY-markets, a didactical concept was conceived for the target group. Based on these results, two test phases started in the participating DIY stores (in August 2008 and in September 2009), in which became obvious that the target group handled the provided applications on the Knowledge Platform in a satisfying manner, although general deficits of the employees in the DIY branch became obvious concerning the general use of computers and the familiarity with internet applications. The latter could be underlined by user interviews which have been conducted after the test phases. As a consequence providing

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personal trainers (in combination with an individual training schedule) could represent a solution that should be intensified for those employees who are inexperienced in using computer applications. Nevertheless, the platform received a positive feedback with regard to the usability of its Microtraining units. Referring to this, one has to state that the use of the Microtraining units of the Knowledge Platform seems to be more effective for the employees during their working time (‘learning on the job’) in comparison to complete learning units at home. On the one hand the results underlined that this kind of informal learning is a promising approach for the employees of the DIY branch, but on the other hand the test phases also elucidated the need to continually develop an adequate framework in the entire DIY Industry, including more learning terminals for employees at work. Concerning this, the augmenting efficiency and use of Microtrainings in the branch has to be promoted to convey more partners among the DIY Industry. Hence, an important argument for a further promotion can be described with the fact that didactically prepared Microtrainings can be implemented in a cost-saving manner, because already existing materials and technical descriptions could be simply provided by the DIY Industry. In addition to that, a broader international scope could be realised, too, e.g. by expanding the platform with additional modules in several languages for a European context. In doing so, more international DIY branch experts and customers could be reached. Other important steps towards a development of the RELOAD results are thinkable by a closer integration of suppliers of the DIY branch in the existing Knowledge Platform or a more intensive cooperation with agencies, publishing companies or training centres to disseminate and to exploit the gained results. With regard to the development of a holistic ‘value chain of knowledge’ in the DIY branch, a higher degree of standardisation still seems to be necessary, to be able to integrate already existing eLearning solutions of the entire DIY branch into a value chain. Moreover, concerning the task of exploitation a business model has been developed which envisages that the further development of the Knowledge Platform can be continued in future, apart from its initial public funding.

References [BH07a]

[BH07b]

[BRH07] [BRH09]

S. Brall and F. Hees. Effektives Lernen mit Kurzlerneinheiten. Kompetenzentwicklung in realen und virtuellen Arbeitssystemen. GfA, page 209–214, 2007. Dortmund, Germany. S. Brall and F. Hees. Microtraining: Activating knowledge transfer in businesses. In G. Papadourakis and I. Lazaridis, editors, New Horizons in Industry, Business and Education, page 447–451. Heraclion, Greece, 2007. S. Brall, A. Richert, and F. Hees. Self-directed Learning, Knowledge modules for effective learning. ZLW/IMA, Aachen, 2007. S. Brall, A. Richert, and F. Hees. Wissensaktualisierung durch Kurzlerneinheiten. In K. Henning and C. Michulitz, editors, Unternehmenskybernetik 2020: Betriebswirtschaftliche und technische Aspekte von Geschäftsprozessen, page 339–344. Duncker & Humboldt, Berlin, 2009.

RELOAD [Bro98] [Lee07] [RM95] [SBH07]

[SBH08]

[SFM+ 07]

[VB08]

[vdMSHL95]

371 T. Brooks. The semantic distance model of relevance assessment. In Information Access in the Global Information Economy, volume 35, page 33–44, 1998. T. Leege. EduCommerce–Informierte Kunden kaufen mehr. In BHB Info Baumarktkongress, page 24–25, 2007. P. Resnik and C. S. Mellish. Using information content to evaluate semantic similarity in a taxonomy. In IJCAI-95, page 448–453, 1995. S. Sattari, W. Backhaus, and K. Henning. The Web-Knowledge Map in Higher Education: A semantic-based tool to answering the challenge of technology use, succession of generations and changing learning patterns. In Proceedings of the 8th International Conference on Information Technology Based Higher Education and Training-ITHET, Kumamoto, Japan, 2007. S. Schröder, W. Backhaus, and K. Henning. RELOAD: A Knowledge Platform with a Blended Learning Concept for Employees in the Do-It-Yourself (DIY) Industry. In Association for the Advancement of Computing in Education (AACE), editor, Proceedings of the World Conference on Educational Multimedia, Hypermedia & Telecommunications (ED-MEDIA), page 2722–2725, Vienna, Austria, July 2008. E. Sjoer, P. Fabian, E. McQuade, J.C. Nascimento, P. Pimenta, and S. Sattari. Implementation of a web knowledge map from. In Joining forces in Engineering Education towards Excellence Proceedings SEFI-IGIP Joint Annual Conference, Miskolc, Hungary, July 2007. P. De Vries and S. Brall. Microtraining as a Support Mechanism for Informal Learning. www.elearningpapers.eu/index.php?page=doc&doc_id=12788&doclng=6, downloaded 2010-03-16, 2008. H. T. van der Molen, G. N. Smit, M. A. Hommes, and G. Lang. Two Decades of Cumulative Microtraining in The Netherlands: An Overview. Educational Research and Evaluation, 4(1):347–378, 1995.

Pre-Freshmen Students Gearing up with Early Bird Erhard Zorn, Sabina Jeschke, Akiko Kato, Olivier Pfeiffer

Abstract We are offering a freshmen course called “Early Bird” where students have the opportunity to take the mathematics courses of the first semester (Calculus I for Engineers and Linear Algebra for Engineers) before they are enrolled at our university. Participants accomplishing sufficiently many homework assignments are qualified to take the final written examinations even if they are (still) not enrolled. The grades of these examinations may be accepted if the students will be enrolled afterwards. In this 9 weeks course the regular calculus I and linear algebra lectures are taught in the same lecture/tutorials together. Though the workload in this course is very high for students, 99 % are recommending this course to other prospective engineering students. The intention of this course is to provide the first semester students with the mathematics that will be usually used in non-math classes before it can be taught in the math classes. As mathematical knowledge and skills are some of the most important tools for engineers the Early Bird course has proved as very effective to prepare engineering students for their engineering courses. Before winter term 2008/09 we successfully offered this course for the third time. This year we had no additional financial resources to offer very small classes. On the other hand, in the week between this course and the final examinations a summer camp has been organized where recitation lessons were voluntarily offered by teaching assistants. In this article, we are comparing the final examination results of Early Bird students and regular students. We are presenting the results of the Early Bird courses of the last three years. The results will be compared with the data of regular students who took the same written exams.

Keywords Mathematics Education · Higher Education · Curriculum Development · Engineering Education

E. Zorn (B) MuLF, TU Berlin, Straße des 17. Juni 136, 10623 Berlin, Germany e-mail: [email protected] Originally published in “Proceedings of the 2009 ASEE Annual Conference”, © ASEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_34

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1 Key Features of Early Bird At the Berlin Institute of Technology we offer an intensive course in mathematics called “Early Bird” during summer holidays. Within this course the content of the regular courses “Calculus I for Engineers” and “Linear Algebra for Engineers” are taught together during nine weeks. Our target group is the students of engineering departments who have to attend these two courses in their first (or first and second) semester at university. They are allowed to attend Early Bird in advance in summer directly before their enrollment in autumn. If they successfully attend the course and pass the final exam, the earned credits can be applied to their engineering studies. We offered this course in the last three summers in 2006–2008 teaching about 300–400 students per course.

2 Motivation In the freshman courses in engineering or natural sciences we observe all too often that engineering students do not have sufficient mathematical skills to understand the subject of the classes. However, sound standing knowledge in mathematics is a basic tool for every engineer. There are at least two possible explanations for this phenomenon. It is possible that the students have poor knowledge of high school mathematics. Surely it is not the task of a university to make up for the failures in high school mathematics lessons. Nevertheless, our school of mathematics and natural sciences, as well as many other universities, offer remedial courses in high school mathematics, so called bridge courses, to prepare high school graduates for their studies. The other reason may be found in the mismatching curricula of the subjects of the studies. The understanding of non-mathematical subjects often requires knowledge in mathematics which has not yet been taught in the mathematics classes. At the Berlin Institute of Technology, an attempt has been made in the past by the lecturers to adjust the curricula of different classes. Although many improvements have been achieved regarding the choices of the relevant topics and their chronological order, there are still problems left which are difficult to resolve. As an example the freshman course “Introduction to Classical Physics for Engineers” starts with basics of classical mechanics, including Newton’s laws as a matter of course. However, to understand, e. g. Newton’s second law (“Force is the first time derivative of momentum”), one has to have basic knowledge of calculus. However, one-dimensional differential calculus will not be discussed until the middle of the first semester, not to mention the differential calculus in higher dimensions. Now this may not be a serious problem because most students have already learned how to differentiate real differentiable functions in high school. But, for instance, the line integral to calculate work is treated in mathematics within the scope of vector calculus in second semester, at the earliest. The same course covers the topics “oscillations and waves” as well, whereas the course “Ordinary and Partial Differential Equations for Engineers” is intended for third semester students (sophomores). In

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practice, lecturers of engineering classes manage this situation by inserting exercises on relevant mathematical topics when needed. This is mostly dissatisfying for both professors and students because of the loss of time, and because, therefore, the mathematical topics cannot be discussed in detail as the matter requires. This is a fundamental problem: Mathematicians wish to teach the mathematics starting with foundations and explaining every detail. Engineering teachers do not want to wait one or two semesters, but they want to teach “their own” subjects to engineering students starting from the beginning to give them hands-on experience as soon as possible. On the one hand, engineering students are happy when they can understand the mathematical concepts thoroughly and do not have to use recipes without comprehension. On the other hand, these students would be very frustrated if they had to deal only with mathematics for one or two semesters. Therefore, this fundamental problem will probably never be resolved. As learning is a “non-linear” process students will profit most by a good mixture of mathematics and engineering classes. Students who participated in Early Bird already have knowledge of the first semester mathematics courses at their disposal when they start their studies. This may help them to get along better with their studies in the first semesters. Another advantage of Early Bird is the fact that the students can focus on learning mathematics during nine weeks without any other classes at the same time. Additionally, students starting their study in winter term have the opportunity to use the time between high school graduation (German Abitur) and their first semester.

3 Implementation At the Berlin Institute of Technology approximately 27.000 students are enrolled. Every semester there are about 1400–2400 (most students are starting in winter term; thus, more first semester students are attending the courses in winter term) participants attending the courses “Calculus I for Engineers” and “Linear Algebra for Engineers” that are compulsory mathematics courses of first semester engineering students. Since it is not possible to teach them all by one professor, we offer a set of parallel lectures with 300–500 participants each. In addition smaller exercise/recitation classes are offered where the students attend lessons by Assistant Professors and student tutors. The idea of Early Bird is to shift two first semester lecture and associated exercise classes into the semester break. Concerning the high school graduates who attend Early Bird in summer, first term mathematics is already available at beginning of their studies in autumn. They get the opportunity to pass the course and final exam before start of studies. In case of failure, there will be no negative consequences for the students because they are not yet formally enrolled. At beginning of Early Bird it is not yet decided who will get admission to the university. Therefore, there is always a certain risk by selecting the Early Bird-participants, because some of them will be readmissioned. By accepting only persons who applied for a university place at Berlin Institute of Technology and

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Fig. 1 Lecture hall with Early Bird students

who have high chance for admission (high school marks), we effectively can reduce this risk. We want to point out that the Early Bird course is not a remedial course of high school mathematics [Fri07], [Sch01], [SS05]: Many universities are offering a variety of “bridge courses” or preparatory courses. These courses are offered to bridge the gap between high school and university, and many of them are dealing with mathematics or physics. At least at German universities, as far as the authors know, these are additional courses, and they are intended as a repetition of the subjects that (should) have been learned at high school. Additionally, some courses are designed to give the beginning students the opportunity to discover their strength and weakness [Bud95]. The aim of Early Bird is not to offer a remedial course with main emphasis on the repetition of the mathematics from high school, but to give the opportunity to take standard courses of mathematics for first semester students before the first semester starts.

4 Early Bird vs. Regular Courses One semester has the duration of about 15 weeks. The regular semester course “Calculus I for Engineers” includes two lectures and one exercise class per week, “Linear Algebra for Engineers” one lecture and one exercise class per week. The


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Fig. 2 Early Bird Students discussing mathematics after the recitation session

total number of lectures is the same in Early Bird, since every day one lecture is given during nine weeks. Shorter exercise classes take place every day, and the students have to solve (short) homework assignments every day, while the students in regular semester courses get one larger homework assignment per week in both courses. The overall amount of work is therefore the same, but Early Bird lasts only nine weeks and thus has to be considered as a full-time course. Since the participants don’t have any other courses during Early Bird, they can fully concentrate on mathematics and prepare well for both final exams. In the last two years we managed to give the students one free week between the end of the course and the examinations so that they can learn sufficiently. This time, in this free week a summer camp has been organized where for instance recitation lessons were voluntarily offered by teaching assistants. The relaxed atmosphere between the teaching team and the Early Birds has always been conducive to good learning success. For the first and second Early Bird course we had additional funds by the university to have smaller exercise classes (16 students per teaching assistant/student tutor). This time without additional funds we had 24 students per exercise class. Teachers who have been involved in this year’s and the last years’ Early Bird courses have the impression that the negative effects of the larger classes have been compensated by the summer camp.

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Fig. 3 Early Bird students at the summer camp discussing mathematics during lunch break

5 Results The immediate success is quite evident when we analyze the exams’ results. The Early Birds take part in the same written examinations as the students of the previous summer term so that we easily can compare the results of both groups. The following table shows the percentage of students who passed the exam. Obviously the intensive and exclusive dealing with mathematics by the Early Birds shows its effects on these results. Furthermore, though the workload in this course is very high for students, 99 % (211 out of 213 who answered to this question in a poll at the end of the course) are recommending this course to other prospective engineering students. Table 1 Comparison of the examination results of Non-Early Bird/Early Bird students Year

Subjekt

Exam passed (Non-Early Birds)

Exam passed (Early Birds)

Ratio (Early-Birds/ Non-Early Birds)

2006 2006 2007 2007 2008 2008

Calculus I Linear Algebra Calculus I Linear Algebra Calculus I Linear Algebra

54 % 73 % 47 % 55 % 46 % 71 %

78 % 89 % 63 % 59 % 63 % 73 %

1.44 1.22 1.34 1.07 1.37 1.03


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References [Bud95] [Fri07] [Sch01] [SS05]

Dan Budny. Mathematics Bridge Program. ASEE, 1995. Klaus Fritzsche. Mathematik für Einsteiger. Sepktrum Akademischer Verlag, Heidelberg, 4th edition, 2007. Winfried Scharlau. Schulwissen Mathematik: Ein Überblick. Vieweg, Braunschweig, Braunschweig, 2001. 3rd edition. Winfried Schirotzek and Siegfried Scholz. Starthilfe Mathematik. B.G. Teubner, Wiesbaden, Wiesbaden, 2005. 5th edition.

Part III

Cognitive IT-supported processes for heterogeneous and cooperative systems

Software Architecture, Knowledge Compiler and Ontology Design for Cognitive Technical Systems Suitable for Controlling Assembly Tasks Eckart Hauck, Daniel Ewert, Arno Gramatke, Klaus Henning

Abstract Companies in High-Wage countries face the so called polylemma of production. It consists out of two dilemmas. On the one hand the dilemma of value vs. planning orientation and on the other the dilemma scale vs. scope. To reduce the dilemma of planning vs. value orientation cognitive technical systems are a promising approach. To enact cognitive behavior a technical system has to incorporate an extensive knowledge base. This paper deals with the software architecture of such a system, the concept of a knowledge compiler which is able to transform different knowledge representation formalisms and the design for the ontology which is the foundation of the knowledge base.

1 Introduction In the last years, production in low-wage countries became popular with many companies by reason of low production costs. To slow down the development of shifting production to low-wage countries, new concepts for the production in high-wage countries have to be created. The production industry in high-wage countries is confronted with two dichotomies. On the one hand the dilemma value orientation vs. planning orientation and on the other hand the dilemma scale vs. scope. These two dilemmas span the so called polylemma of production technology [Bea07]. A reduction of this polylemma is the main aim of the cluster of excellence “Integrative Production Technology for High-Wage Countries” of the RWTH Aachen University. It deals with this problem in four core research areas. One of these research areas is “self optimizing production systems”. In this are the implementation of cognitive capabilities as prerequisite for self-optimization of a technical system is evaluated. Self optimization reduces the dilemma between value orientation vs. planning orientation due to a decreased effort in reprogramming the system for new tasks. In order to be able to behave in a cognitive way a E. Hauck (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

© [2009] IEEE. Reprinted, with permission, from “2009 WRI World Congress on Computer Science and Information Engineering”, IEEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_35

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technical system has to incorporate a Knowledge Base in which the domain knowledge is stored [HGH08]. The paper is organized as follows: Chapter 2 gives an introduction to the software architecture of the system. Chapter 3 explains the design of the Knowledge Base. Chapter 4 then describes the Knowledge Compiler for such a system.

2 Software Architecture 2.1 Overview A cognitive technical system (CTS) suitable for controlling assembly tasks has to meet many requirements. These requirements are reflected in the software architecture. Fig. 1 shows the software architecture of the CTS. It is derived from the three-layer approach commonly used in autonomous robotics [RN02]. The design includes also a Presentation Layer for the human machine interaction and a Logging Module. The Knowledge Module contains the Knowledge Base and the Knowledge Compiler.

Fig. 1 Software architecture of the cognitive technical system

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2.2 Presentation Layer The Presentation Layer incorporates the Human-Machine-Interface (HMI). An operator interacting with the cognitive technical system can give the desired goal state for the assembly task, a description of the finished product, to the cognitive system. The operator can enter this description in a human understandable form, e.g. via a CAD program. To realize the desired machine transparency, the current system state is presented to the operator. If wanted, the operator can access all current and recent data in detail. Also, a knowledge engineer can access and edit the knowledge base through the HMI.

2.3 Planning Layer The Planning Layer contains the core elements that are responsible for decisionfinding. Based on the current world state and a given goal, the Cognitive Processor (CP) computes the best action to execute and returns its decision. An action can either be an abstract command to the Coordination Layer to execute a certain assembly step, or a request for more information. The Kernel component then invokes the action execution. If the CP cannot find a suitable action due to a lack of information about the objects recognized in the current state, and therefore returning a default query action, the kernel sends a query to the Knowledge Module asking for actions which are applicable to the present objects. The Knowledge Module returns rules accordingly. The Kernel then augments the ruleset of the CP with these rules. Should the query not have resulted in new rules, the Kernel sends a query to the operator. The user now has to decide which action to execute. The current approach relies on Soar as the Cognitive Processor. Soar is a cognitive architecture based on the “unified theory of cognition” [New94], which aims to model general intelligence [LNR87]. Soar is a rule based production system. Rules are fired if they match elements of the inner representation of the current world state and can modify this representation. Via input- and output-links Soar can communicate with its environment, e.g. to retrieve sensor information or invoke external commands.

2.4 Coordination Layer The Coordination Layer is the executable layer of the CTS. It provides executable services to the Planning Layer. These services correspond to the actions the Cognitive Processor can invoke. The Coordination Layer also processes the sensor data received from the connected hardware, and provides an abstract representation of the current world state on demand. The provided services are abstract actions, for example “move(blockA, blockB)”, meaning to grab a “blockA” and place it ontop a “blockB”. The Coordination Layer

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realizes this command by invoking the necessary robot commands via the Reactive Layer to achieve the desired movements. That way, the Planning Layer is exculpated from the details of the robot movements, e.g. the exact coordinates of the blocklocations, etc., which leads, due to a reduced problem space, to faster decisions and more look-ahead.

2.5 Reactive Layer The Reactive Layer and its components handle the low level control of the system. The Controller allows the implementation of quick responding control loops, which monitor certain sensor values for validity and invoke, if necessary, given actions, for example a shutdown in case of an emergency. The Communicator sends the commands of the Coordination Layer to the robotic manipulators, were the actual physical execution of the commands takes place.

2.6 Knowledge Module The Knowledge Module provides the knowledge that is necessary for the assembly task. This knowledge is stored within the Knowledge Base (KB). The component Knowledge Compiler allows the translation of the KB’s formalism into the formalism of the Cognitive Processor. The translation is realized by the Translator component, while the Reasoner component is used to query the Knowledge Base. Fig. 2 gives a more detailed view of these components and their interfaces, together with the components of the Planning Layer.

Fig. 2 Component diagram of Planning Layer and Knowledge Module


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The functionalities of the Knowledge Module’s components are described in detail in the Chapters 3 and 4.

2.7 Logging Module The Logging Module is accessible layer-independently by all other modules. Its purpose is to provide a log of all data that are generated during the program execution. This data is either available online through the Presentation Layer, or, in case of a system crash, using external tools, to allow failure diagnosis.

3 Knowledge Base The Knowledge Base holds the entire domain knowledge within an OWL ontology [Sea04], which is based on description logics [Bra04]. The ontology contains, among other things, the two main classes “Service” and “Object” (See Fig. 3). “Service” holds descriptions of all services which are offered by the Coordination Layer. A service is described with the following elements: • Name: the services’ name, • Precondition: a logical formula, presented in SWRL [HPB+ 04], describing the necessary conditions for the service to allow its execution • Effect: a logical formula, in accordance to the Precondition • Parameter: list of parameters needed to invoke the service execution The service description is loosely orientated around the description of web-services in OWL-S [Mar04], particularly the service model. The class “Object” subsumes all objects that can occur as parts of the world state during the assembly process. These objects are classified into subclasses, where each subclass holds to all those individual objects which can be manipulated by a certain service. Right now, this classification has to be done manually. In future the ontology will be improved in a way that allows this classification to be inferred automatically. This can be achieved by augmenting the ontology with specifications of the robotic devices in such a way, that we can derive the objects on which a robot manipulator would be applicable, from its specifications. E.g., from the fact that a robot gripper could only be spread 10 cm, it can be derived, that it can grip accordant blocks with a maximal edge length of that size. Figure 3 shows a part of the Knowledge Base describing the class “MoveableBlock”. Classes are presented as circles, containing other circles as subclasses or individuals, which are presented as diamonds. All individuals of the class “MoveableBlock” are related to the same individual service “moveService”. We have organized our ontology in such a way, that each object individual in the ontology corresponds to the set of objects in the real world that have the same shape. We have found this being a good practice, since we don’t need to distinguish

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Fig. 3 Diagram of a part of the Ontology showing the relation between blocks and services

between single objects when deciding about which service is applicable. More information about single objects is not needed within the ontology [NM01].

4 Knowledge Compiler The component Knowledge Compiler provides the means to extract requested information from the knowledge base and to generate accordant rules in the formalism of the CP. Figure 2 shows a more detailed view of this component. The compiler receives a request from the Planning Layer containing objects for which the CP could not find any action to apply to. For those objects the compiler now generates a query asking for services which are applicable to the particular object. These queries are sent to the Reasoner which accesses the Knowledge Base to derive this information. Out of the precondition, name and effect-descriptions of the returned services, the compiler then builds rules in the formalism of the CP and sends these back to the Planning Layer. Figure 4 shows the complete decision finding process including knowledge conversion.


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Fig. 4 Activity diagram of the decision finding process

5 First Results As a first step a knowledge compiler was implemented, which translates SWRL rules into Soar production rules. Existing Soar rules sufficient to solve a 3-blocks problem were modeled in SWRL and were automatically translated into Soar rules. The translation process is a relatively straightforward approach. Soar’s working elements are converted from, for example, ( ˆname objectA) into name(?a, objectA). This conversion presents just a simple conversion of the syntax. Since SWRL does not support Soar preferences these are coded in SWRL using a reserved property “preferences”, that assigns a constant “plus”, “minus”, “equal”, etc. to the regarding operator.

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This way a SWRL rule like current_state(?s) ∧ operator(?s, ?op) ∧ preferences(?op, plus) ∧ name(?op, move-block) --> operator(?s, ?op) / preferences(?op, equal) results in the following Soar rule: sp {blocks-world_compare_move-block_indifferent ( ˆname move-block) (state <s> ˆoperator +) --> (<s> ˆoperator =) } In this example, precondition and effect are coded within one single SWRL rule, whereas the current formalism separates the rule in two separated parts, to be closer to the suggestions of OWL-S.

6 Conclusions In this paper the software architecture and some of its components like the Knowledge Compiler and the Knowledge Base were described. Further research will include the automation of deriving the applicability of a service to the individual object by the description of the resources the service has at his disposal. Ongoing evaluations will show if the performance of the cognitive processor can be improved by implementing a hybrid solution that uses a classical planning software [HN01] to guide the decision finding process. In addition to that, the architecture will be implemented as a whole with the different sensor inputs and effectors like a robot arm for the actual realization of an assembly task.

7 Related Work Cognitive technical systems are primarily researched and implemented in the automotive and aerospace sector [Kea08], [Put04]. The research to implement cognitive abilities in the production environment is currently very limited. Research in the past focused on the realization of autonomous manufacturing cells [Pea05]. With Onto2Soar there already exists an approach to combine a rule based system with an ontology [WLB04]. This approach differs from the one used here in that


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Onto2Soar translates the working memory of a Soar agent into an ontology to allow exchange of declarative knowledge between several agents, whereas we store all procedural knowledge of the system within an ontology. Acknowledgements The authors would like to thank the German Research Foundation DFG for the support of the depicted research within the Cluster of Excellence “Integrative Production Technology for High-Wage Countries”.

References [Bea07] [Bra04] [HGH08]

[HN01] [HPB+ 04]

[Kea08] [LNR87] [Mar04] [New94] [NM01] [Pea05]

[Put04] [RN02] [Sea04] [WLB04]

C. Brecher and et al. Excellence in Production. Apprimus Verlag, Aachen, 2007. R.J. Brachman. Knowledge Representation and Reasoning. Morgan Kaufmann, Oxford, 2004. E. Hauck, A. Gramatke, and K. Henning. Cognitive technical systems in a production environment. In Proceedings of the Fifth International Conference on Informatics in Control, Automation and Robotics, Madeira, Portugal, 2008. J. Hoffmann and B. Nebel. The FF Planning System: Fast Plan Generation Through Heuristic Search. Journal of Artificial Intelligence Research, pages 253–302, 2001. Ian Horrocks, Peter F. Patel-Schneider, Harold Boley, Said Tabet, Benjamin Grosof, and Mike Dean. SWRL: A Semantic Web Rule Language Combining OWL and RuleML. 2004. Sören Kammel and et al. Team AnnieWAY’s autonomous system for the 2007 DARPA Urban Challenge. Journal of Field Robotics, pages 615–639, 2008. John E. Laird, Allen Newell, and Paul S. Rosenbloom. SOAR: an architecture for general intelligence. Elsevier Science Publishers Ltd., Essex, UK, 1987. David Martin. OWL-S: Semantic Markup for Web Services. 2004. Allen Newell. Unified theories of cognition. Harvard University Press, Cambridge, MA, USA, 1994. N.F. Noy and D.L. McGuiness. Ontology development 101, A guide to creating your first ontology. 2001. Pfeifer and et al. Autonome Produktionszelle. In 100 Jahre Produktionstechnik Werkzeugmaschinenlabor WZL der RWTH Aachen von 1906 bis 2006 SFB 368. RWTH Aachen, 2005. H. J. Putzer. Ein uniformer Architekturansatz für Kognitive Systeme und seine Umsetzung in ein operatives Framework. Verlag Dr. Köster, Berlin, 2004. Stuart J. Russell and Peter Norvig. Artificial Intelligence: A Modern Approach (2nd Edition). Prentice Hall, 2002. M. Smith and et al. OWL Web Ontology Language Guide. www.w3.org/TR/2004/ REC-owl-guide-20040210, 2004. R. E. Wray, S. Lisse, and J. Beard. Investigating Ontology Infrastructures for Execution-oriented Autonomous Agents. Proceedings of the 2004 AAAI Knowledge Representation and Ontology for Autonomous Systems Symposium. Stanford, CA, 2004.

Sustainable Transport - Knowledge and Innovations at RWTH Aachen University for Europe’s Systems of Tomorrow Klaus Henning, Leonie Petry, Richard Ramakers, Julie Meinhold

Abstract The transport of freight and people is a basic condition for the competitiveness of industry and services in Europe. This economic sector solitary has a turnover of approx. 1,000 billion EUR (approx. 7% of the gross domestic product of the EU), employs more than 10 million people and contributes substantially to the functioning of the European economy [Com]. The general context of transport has strongly changed in Europe during the last years. Carbon dioxide emissions, noise pollution, rising oil prices and the strain of road traffic constitute important challenges and impulses for energy efficient, ecological and sustainable transport at the same time. In the following document the topical situation in the European transport sector is highlighted and the future challenges to the European transport system are pointed out. In this connection three approaches by RWTH Aachen University (Rheinisch-Westfaelische Technische Hochschule Aachen) are introduced which contribute to the aims of energy efficient, ecological and sustainable transport in Europe. Keywords Sustainable Transport · European Transport System · semitrailer · intermodal · container · Swap Box · Truck Platoons · Advanced Driver Assistance Systems

1 Problem Definition The problem of transport overload in conurbations as well as on the main traffic arteries of Europe has appeared in the 90s for the first time and still threatens the competitiveness of the European Union (EU). The reason for this is especially the suboptimal organized European traffic system caused by a constant increase of the traffic amount in all transport sectors, irregular growth in different areas and the resulting charges for economy, environment and society hence. K. Henning (B) IMA/ZLW & IfU - RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected] © [2009] IEEE. Reprinted, with permission, from “Tagungsband zur IEEE-Tagung “Systems, Man and Cybernetics” ”, IEEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_36

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1.1 Non-uniform Growth of Different Traffic Carriers The biggest portion of freight haulage within the EU is 44 % of freight haulage to the traffic carrier road (Fig. 1). It is followed by the short distance maritime transport with a portion of 41 %, rail with 8 % and the inland transportation with 4 %. Even more striking is the meaning of road traffic in the area of passenger transportation with a market portion of 79 %, whereas rail only holds on a portion of 5 %. It becomes clear that some traffic carriers have adapted much better to the demands of modern economy. According to the European Commission [Com01] these are results of a missing consideration of external costs in traffic prices and lacking attention of certain social and security regulations, particularly in road traffic. This is a critical situation because further growth in all transport sectors is estimated (Fig. 2): For the period between 2000 and 2020 a growth of the freight haulage of approx. 2 % per year is anticipated (50 % for the whole period). The most important structural trends are: • The traffic carrier road still bears the biggest portion of the traffic within the EU. • Freight traffic on rail regains a stronger impact in some EU member states, though reaches a small contribution in percentage to the transport volume in the medium term and in the long term only. Therefore one should be aware that the European economy is seriously endangered by overload of the trans-European traffic network. The chronic overload is attributed to the intransparent prize structure of infrastructure costs, overload costs, environmental impact costs and accident costs. Among other things the suboptimal organized European traffic system and use of the traffic carriers as well as new technologies are mentioned as reasons.

Fig. 1 Transport amount in the European Union from 1970 to 2006 [Com]

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Fig. 2 Expected transport growth in the EU from 2000 to 2020 [Com]

1.2 Effects of The European Transport Policy A sustainable transport policy of the European Union needs adjusted, state of the art transport systems for the economic, social and ecological requirements of today’s society. After a cumbersome beginning the transport policy of the European Union obtained dynamics more rapidly in recent years. The most important aims of the EU transport policy can be summarized as follows [Com]: • High degree of mobility for citizens and enterprises in the whole European Union. • Protection of the environment, guarantee of the energy supply security, support of current norms for the employment in the sector as well as protection of passengers and citizens. • Contribution to energy supply security. • Improvements of the occupation quality and better qualifications of employees in the European transport sector. • Support of innovations with regard to the aims mentioned above through an increase of efficiency and sustainability of the expanding transport sector. Based on the problem of increasing traffic growth (see chapter 1) and the transport policy of the European Union shown above, the European Commission [Com01] identified future challenges to a sustainable transport (extract): 1. 2. 3. 4. 5. 6. 7.

Revival of rail traffic Realization of intermodality Support of the maritime and inland water navigation Extension of the trans-European traffic network Increase of road safety Increase of the air traffic and environment protection Optimization of road traffic

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8. Use of clean fuels and technologies 9. Extension of the trans-European traffic network 10. Research and technology in the service of ecologically friendly and efficient means of transportation Concerning these challenges identified by the European Commission RWTH Aachen can deliver approaches to solve these problems. All of them share the aspect that they contribute significantly to the goals identified by the European Union and help to decrease the problems in the transport sector. In the following chapters three “highlights” from the area of the university research of RWTH Aachen University are introduced to sustainable transport: • Revival of rail traffic and realization of intermodality: “Semitrailers in Advanced Intermodal Logistics (SAIL)” • Realization of intermodality and operational optimization: “Intelligent MegaSwapBoxes for Advanced Intermodal Freight Transport (TelliBox)” • Increase of road safety and optimization of road traffic: “Development and analysis of electronically coupled truck platoons (KONVOI)” The projects SAIL and TelliBox share the aspect of intermodality. KONVOI can contribute to the identified challenges by an increase of road safety and optimization of road traffic.

2 Research Projects of RWTH Aachen University (Extract) 2.1 Semitrailers in Advanced Intermodal Logistics (SAIL) 2.1.1 Project Description The project “Semitrailers in Advanced Intermodal Logistics (SAIL)” funded by the European Union focused on the potential for intermodal transport as a whole by evaluating the trends and decisions taken by transport operators. It was demonstrated that the worked-out solutions could not only fulfill the ambitious goal of the European Commission of increasing the percentage of rail haulage from 10 % to 15 % until 2010, but outnumbered it [Stu03]. Within this project 29 different shipping principles were identified from which six were transferred to the next level of development. Finally three solutions were selected through of a method called “Technical attractiveness” for realization and were built as a prototype. The first SAIL-solution, corresponding completely to the other non-intermodal semitrailers, has interior headroom of three meters. (Fig. 5, left). The vehicle has a total length of 13.7 m. Thus results a load volume of 100 m³. The entire height of three meters interior can be used by raising the roof, in order to position the loading. Thus approx. 28 t loading mass can be carried. The rear underrun bumper with the rear lights is equipped in that way, that in the new railway loading gauge of the pocket-wagon, a turn-up of the bumper for shipping is not necessary any more. In the further rear part of the semitrailer a cylinder exists apart from the control unit of


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Fig. 3 The three products in the project SAIL: Cranable Semitrailer (left), new pocket-wagon generation (middle), roll-On-roll-off-system (right)

the pneumatic spring and the air parking brake, which can be driven out in the case of loading and of unloading for support of the vehicle. A navigation-tool, which is connected by a vehicle interface with the truck, enables constant information for the scheduler about the position and the status of the vehicle. Adapted to the cranable semitrailer, a new pocket-wagon generation as a second solution was developed, which has also a new loading gauge (Fig. 5, middle). The rail-mounted vehicle has a length over buffers of 19.7 m and a pivot distance from 14.2 m. The bogie has an axle-base of 1.8 m as well as a wheel diameter of 840 mm. Around this base position a pocket was built, which has a standing height of 270 mm. This pocket is arranged in such a way that semitrailers of different lengths and different axle-positions can be shipped. The innovation in this rail-mounted vehicle is, that no wheel-rugs are necessary and the protection of the semitrailer can be implemented over the king pin accommodation or over the locked compressed air brake of the axles. On these new pocket-wagons further containers of the classes 20 foot to 24 foot as well as container of the classes 30/31 and 40/42/44 and 45 foot can be shipped beside the semitrailer of the new generation. As a third solution a roll-on-roll-off concept was developed with type of a rolling road wagon is used as a form of transport to make a particularly not adapted semitrailer shippable (Fig. 5, right). The roll-on-roll-off machine pulls the straddle carrier onward to the rolling-road wagon. The straddle carriers handle up to 40 t weight. The prototype of the cranable semitrailer which is equipped for the Ro-Ro-Traffic was used commercially on a total distance of 47.757 kilometers (freight capacity of approximately 750.000 ton kilometers) [sai].

2.1.2 Recommendations on Traffic Policy Level The plan for traffic political infrastructure should include an area-wide arrangement of transshipment stations for intermodal transport. The arrangement is to be made in this way that there is no need for a longer approach more than 200 kilometers. Thus, the approach to a terminal and the use of other traffic routes also for shorter way are efficient.

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2.1.3 Recommendations Concerning Rail Infrastructure The European railroad network is to be strengthened in this way that a net for rail nets with high- and top-speed trains (passenger traffic) and are split up from rail nets with middle and higher speed (freight haulage). By this these to nets may be run autonomous and diversity as basis for innovations can be reached. 2.1.4 Recommendations Concerning Semitrailers and Exchangable Containers The external dimensions of the semitrailers must not exceed the actual valid extent. This is especially due to the total height of 4 000 mm, a length of 13.600 mm and a width of 2.480 mm maximum, otherwise there would be no intermodal transport possible due to the coherence of enveloping space and structural clearance. For the accreditation of swap bodies and semitrailers for the intermodal transport the requirements are set to a maximal force of 2 g, the requirements of the tie-down of only 0,8 g. In case of an accident the tie-down collapses at first. A uniform measurement which makes sense from the physical and technical side would be an adaption of the tie-down and the accreditation conditions to 1,2 g. That would mean a significant increase of safety on the road and still 20 % more than the maximum force of 1 g. All semitrailers should be equipped with reach angles for a vertical shipment as well as hooks for the tie-down in intermodal transport as a standard. Thus intermodal transport with all semitrailers would be possible. 2.1.5 Recommendations concerning aggregate wagon Changes of the norm presetting (e.g. UIC-Leaflets) should be reached at the licensing of rail vehicles away from the detailed presetting to interface definitions. Therefore the innovation ability of wagon builders may increase similar to the street vehicle builders. Technical innovations such as automatic clutches, electronic and electro pneumatic brakes or train traffic systems (GSM-R/GPS) should be sponsored. The application of innovative techniques in test runs should be allowed as a block train or as the last wagon for test runs in every-day use. The UIC-norm UIC 96/53 (dimensions, weights and axle loads) should be fixed in order to the intermodal transport. To guarantee this issue, the UIC-norm should be turned into an EU-norm [fin09].

2.2 Intelligent MegaSwapBoxes for Advanced Intermodal Freight Transport (TelliBox) Faced with a trend towards increasing freight transport, a global market and the need for a resource-saving transport system, it is mandatory that European transport


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policy shifts the balance between all transport systems [dRA08]. Especially in the automotive and white good sectors these challenges have appeared. A general tendency in the enhancement of loading units concerns the maximisation of the cargo area and the facilitation of loading and transhipment processes. These loading units differ amongst others in aspects like dimensions and stability as well as usability regarding handling, transport and loading processes. By drawing together the ideas and contributions of freight forwarders, manufacturers and scientists, the scientific aim of the project ‘Intelligent MegaSwapBoxes for Advanced Intermodal Freight Transport’ (TelliBox) is to achieve an all-purpose, intermodal loading unit that is applicable to transport via road, rail, short sea and inland shipping. The advantages of containers and semitrailers will be combined to an optimal loading unit – a MegaSwapBox – regarding cargo volume, usage of standard equipment for handling, transportation and loading processes than currently available intermodal loading units (Fig. 4). Within six decisive project steps, the interdisciplinary European consortium will realise three optimised and certified prototypes which will be tested on an intermodal European corridor (PL-D-NL-UK). The project started in April 2008 with duration of three years and is funded by the European Union. TelliBox will achieve its objectives by combining new materials with innovative and intelligent constructions. The project TelliBox seeks to successfully introduce the MegaSwapBox onto the market with a view to encouraging the standardisation of new loading units in the long run [web].

Fig. 4 Challenges of the MegaSwapBox [dRA08]

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The analysis of the current situation, state-of-the-art situation in intermodal transport and expected impacts on the newly proposed intermodal loading unit MegaSwapBox has been done in the As-is analysis report found out by a consortium of freight forwarders, manufacturers and scientists who are actively taking part in the European intermodal market. From the analysis of intermodal loading units it is clarified that there is a space for a new high-volume loading unit that would satisfy conditions of trimodal usage and its design would enable loading from the rear and side. The result of this part is a comparison matrix that reveals advantages and disadvantages of the individual intermodal loading units and they are compared with the proposed MegaSwapBox. From the comparison matrix it is evident that the only competitor in this segment of intermodal transport could be the 45’HC container. Its advantage is in compatibility with the existing technical base (means of transport, handling equipment), but its disadvantage is less advanced design (lower cargo volume, absence of side doors and not liftable roof). Taking the needs of automotive and white goods industry as an example, those customers are using pallet cages with 1 and 1,5 metres in height and will therefore profit particularly from loading units with 3 m internal height. These dimensions must be achieved whilst adhering to the vehicle limits of Directive 96/53 which states that the external height of the loading unit plus chassis may not exceed 4 m on road and 2,55 m in width. Furthermore the top needs to be liftable to one side to ease the loading process and reduce risks of damages of the cargo. Finally, the loading unit needs to be certified by CSC “International Convention for Safe Containers” and UIC “Union Internationale des Chemins de Fer”. Taking these facts into consideration, requirements of the TelliBox can be categorized in “must” and “should” requirements. “Must” requirements are fundamental for the new system, while “should” are the requirements fulfilling of which would enhance the properties of the new TelliBox system. It was identified that the most interesting “Must” requirements are an internal space for 33 pallets, internal height of 3.000 mm, external length of 13.716 mm, external width 2.550 mm, 3.200 mm, weight of 44 t, openable on three lockable sides (no topline) and a liftable roof for loading cargo of 3 m height, an enabled maximum speed of 120 km/h, minimized costs and build of recyclable materials. Should requirements are an internal length of 13.620 mm, internal width of 2.480 mm, grooves at the bottom frame for handling, an enabled maximum speed of 140 km/h and a good maintainability. Within the second work package, the technical attractiveness of possible combinations in the solution space was analysed. Therefore, analysing methodologies like technical feasibility, sensitivity analysis and cost-benefit-analysis were applied. In this decision phase there was identified a list of requirements effort for achieving the maximum possible utilisation of space that is available during transportation on roads, railways and inland and short sea shipping. Naturally, effective handling in terminals and during transloading has to be considered as well. At the same time the requirements have to obey physical (technical) laws, maximum dimensions acceptable on the three modes of transport, considering safety, economy and in maximum possible extent the existing standards so that the new system would be as much as possible compatible with other intermodal systems. The final result of this phase


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is a fixation of three solution variants which were chosen in cooperation with the Advisory Board of TelliBox. On the basis of these solutions further development of the future TelliBox will be done. These first results show that the developed TelliBox will face the identified future challenges in transport better than topical loading units. As the project still is in progress, further results of TelliBox can be presented at the IEEE conference in October 2009. As a conclusion, TelliBox actively promotes the EU’s objectives by means of achieving intermodal integration because the aim is toshifting transports from road to intermodal. That means an operational optimisation of transport and by this can strengthen the competitiveness of the European Union.

2.3 Development and Analysis of Electronically Coupled Truck Platoons (KONVOI) The development and evaluation of the practical use of truck platoons is the objective of the BMWi1 -funded project KONVOI2 . With the assistance of virtual and practical driving tests, by using experimental vehicles and a truck driving simulator, the consequences and effects on the traffic will be analyzed [HWA07]. Within the project KONVOI, four experimental vehicles are equipped with the required automation-, information- and automotive-technology to build truck platoons. The main system components of the platoon system are the Advanced Driver Assistance System (ADAS) and the Driver Information System (DIS) Fig. 5. The longitudinal guidance of the ADAS is based on a LIDAR distance sensor. The distance sensor is used to determine the distance in longitudinal direction and the transversal offset to the leading vehicle. The vehicle-vehicle-communication transfers necessary vehicle data from all platoon members, which is required for the ACC to realize the target distance of 10 meters. In all trucks a target acceleration interface is implemented, which automatically calculates the drive-train and the management of the different brakes in the vehicles. The transversal guidance of the ADAS is based on the transversal offset to the leading vehicle and the recording of the own track position with a CMOS image processing system as well as the analysis of the data flow from the vehicle-vehicle-communication. A steering actuator on the base of an electric motor delivers the necessary steering moment for the automated guidance of the trucks [FMH08]. 1 BMWi: Bundesministerium für Wirtschaft und Technologie, respectively Federal Ministry of Economics and Technology 2 Project consortium KONVOI: RWTH Aachen (Zentrum für Lern- und Wissensmanagement und Lehrstuhl für Informationsmanagement im Maschinenbau - Projektkoordination, Institut für Kraftfahrwesen, Institut für Regelungstechnik, Institut für Psychologie, Institut für Straßenwesen Aachen, Lehr – und Forschungsgebiet Berg- und Umweltrecht), MAN Nutzfahrzeuge, WABCO Development, Ewals Cargo Care, Hammer GmbH, Offergeld Zentralverwaltung, Bundesanstalt für Straßenwesen, Berufskolleg Simmerath/Stolberg.

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Fig. 5 The Platoon System [web]

After sufficient testing of the Advanced Driver Assistance System (ADAS) as well as the Driver Information System (DIS) for the proof of the system security as well as clarifying insurance-legal aspects, the experimental vehicles are subsequently tested on motorways with traffic. During the test runs on motorways, all the data streams are recorded to analyze the automation control, traffic flow, road safety, economic efficiency and environmental effects as well as the acceptance and stress of the truck drivers. During the analysis and evaluation of truck platoons in different automation scenarios it became obvious that the scenario “platoons organized by the driver”, with possible necessary modifications offers the best possibilities for a medium-term implementation [HP03, Sav05]. In this scenario, the driver has the permanent control of the autonomous driving procedures. The creation of a platoon depends on the initiating driver who delivers the necessary data about time and place of meeting, the destination, as well as the required truck telemetric data (loading weight, engine power etc.) with the help of a driver information system (DIS). Because no schedules have to be generated as they have to be in rail traffic, the high flexibility of truck transportation is preserved. After activating the ADAS it automatically shows a selection of the best matching platoons, informs the driver and prepares the participation to the selected platoon. It then helps the truck driver to plan the route and guides the driver to the meeting point. The driver has to initialize and respectively confirm all of the platoon maneuvers in order to build and to dissolve the platoon. Accordingly, the DIS is the human machine interface (HMI) of the platoon system [FMH08]. The presented software architecture fulfills all the fundamental demands for the development of interactive software systems in the automotive sector. Hereby the architecture ensures the user interaction between the driver and the technical systems as well as the data processing between the different system components in the vehicle. This architecture


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guarantees a modern, flexible, extensible and easily configurable system, especially for HMI of driver information and assistance systems. Due to its interactive and adaptive characteristics, the presented architecture could be moreover seen as a generic software architecture framework. In the first instance, the Driver Information System was implemented into the RWTH Aachen University Truck Driving Simulator (Fig. 6) which was used as a test environment for the module, integration and system tests [FMH08]. For the platoon system’s success, the acceptance of the truck drivers, freight forwarders and all other traffic participants plays an important role. Therefore their attitude towards the platoon system is surveyed throughout the whole system development. These surveys allow a forecast of the success or failure of a possible market introduction of the system. Furthermore they allow adopting the platoon system to the specific needs of its possible users [HGI08]. The concept of creating “trains on road” (truck platoons) supported by Advanced Driver Assistance Systems is one possibility to manage the permanent increase of freight transportation and the utilisation of its capacities. An electronic coupling of trucks will relieve the truck driver and therefore will increase safety. Consequently, the capacity of the roads will be used more efficiently due to the short gaps between the trucks. An optimization of traffic flow up to 9 % and a reduction of fuel consumption up to 10 % caused of slip stream driving can be expected [Sav05]. In the project KONVOI a trial implementation in virtual and real test runs is realized which shows the benefits of the ADAS in freight transportation. Furthermore, the project includes an impact analysis of vehicle platoons which considers all aspects with respect to the human, the organization and the technology [HWA07, oRAU07]. Furthermore the attitude of the truck drivers towards the platoon system was collected by the means of acceptance tests, following a test in the driving simulator with standardized interviews. In this test run the truck drivers had the chance to try all possible convoy manoeuvres and to experience the platoon system as the driver of the leading or a following truck. The reasons for the increase of the acceptance of the truck drivers and freight forwarders are the adaptation of the platoon system

Fig. 6 Truck platoons in a truck driving simulator and the graphical user interface of the DIS to organize and operate truck platoons [HWA07]

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to the needs of the groups considered (truck drivers, freight forwarders and other motorway users) as well as the possibility for the subjects to get a deeper insight into the platoon system through the implementation of the system into the driving simulator. The unique features in comparison to similar projects the developed system was successfully tested in real traffic without blocking the usual traffic volume on German highways. There are other projects in which vehicle platooning is developed but none with test runs with four trucks in real traffic [Tsu05]. During this test phase in real traffic over a period of several days, trucks were allowed to go by 80 km/h. Restrictions for the KONVOI-System are the facts that KONVOI can be used on highways only at the moment. More detailed facts will be published in the future in the final report. Therefore KONVOI-System contributes to the EU’s objectives by means of an increase of road safety and optimization of road traffic through a more efficient road-side traffic flow by harmonizing traffic on the highways. Thus can disburden transport overload in conurbations in the European Union.

3 Summary and Future Perspectives Within the course of this paper the topical situation in the transport sector of Europe was highlighted. Furthermore, the topical problems of the European transport system are shown which are caused by the constant increase of the traffic amount in all transport sectors, irregular growth in different areas (see chapter 1). Solutions need to be developed which contribute to a sustainable transport concerning economy, society and environment (see chapter 2). Three selected solution attempts of the RWTH Aachen were introduced which can give an important contribution to handling of the future challenges (see chapter 3). With the developed solutions in the projects SAIL and TelliBox the intermodal transport can be strengthened with sustainable effect and the rail traffic can be revived [sai]. This would contribute to a better capacity utilisation of transport modes and counteract against the non-uniform growth the traffic carriers. The project KONVOI shows the application of driver assistance systems in freight traffic and their advantages concerning the economic efficiency, the environment (saving of fuel and reduction of the emissions) as well as the traffic flow and road safety [FMH08, HP03]. These solution attempts lie completely in the sense of a research and technology in the service of non-polluting and efficient transportation carrier as the European traffic politics demands [Com], but only show a small facet of the whole range of innovations in industry and research. Beside the technological innovations in industry and research there are also other important aspects for a sustainable transport. According to EU office of RWTH Aachen University, it is essential that the attitude towards traffic issues and the behaviour of the society must be changed. On the one hand incentives for the people must be created so that they change their behaviour concerning transport and mobility. On the other hand one need to


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show people that they can decisively contribute to a sustainable transport by using new technologies and thereby influence the effects on society, economy and environment positively as well as negatively [20009].

References [20009]

www.zlw-ima.rwth-aachen.de/forschung/projekte/efas/enter.html, downloaded 22.06.2009, 2009. [Com] European Commission. Halbzeitbilanz des Verkehrsweißbuch der Europäischen Kommission von 2001. Technical report, Europäische Kommission, Brüssel. [Com01] European Commission. Die europäische Verkehrpolitik bis 2010: Zeit zu entscheiden. Technical report, Europäische Kommission, Brüssel, 2001. [dRA08] ZLW/IMA der RWTH Aachen. Enter the TelliBox. World Cargo News, March 2008. [fin09] Final report Project SAIL 10277. www.zlw-ima.rwth-aachen.de/forschung/projekte/ sail/documents/final_report_ annexes.pdf, June 2009. [FMH08] A. Friedrichs, P. Meisen, and K. Henning. A Generic Software Architecture for a Driver Information System to Organize and Operate Truck Platoons. In Vortragsveröffentlichung, International Conference on Heavy Vehicles, Paris, 2008. HHVT2008. [HGI08] M. Haberstroh, A. Gramatke, and I. Isenhardt. Introducing Automated Truck Platoons on Motorways. In Tagungsband zum 4th International Congress on Transport Research, Greece, 2008. [HP03] K. Henning and E. Preuschoff. Einsatzszenarien für Fahrerassistenzsysteme im Güterverkehr und deren Bewertung. VDI Bericht Nr. 531. VDI Verlag, Düsseldorf, 2003. [HWA07] K. Henning, H. Wallentowitz, and D. Abel. Das Lkw-Konvoisystem aus den Perspektiven Informations-, Fahrzeug- und Automatisierungstechnik. In Mechatronik 2007 Innovative Produktentwicklung, VDI/VDE-Gesellschaft Mess- und Automatisierungstechnik, pages 133–147. VDI Verlag, Düsseldorf, 2007. [oRAU07] EU-Bureau of RWTH Aachen University. Key Findings from the panel discussion “Sustainable Transport – Knowledge and Innovation of Europe” Systems of Tomorrow. Brussels, June 2007. www.rwth-aachen.de/go/id/ig, downloaded 2007-08-20. [sai] www.zlw-ima.rwth-aachen.de/forschung/projekte/sail/documents/final_report_submitted.pdf, downloaded 22.06.2009. [Sav05] E. Savelsberg. Lastenheft für elektronisch gekoppelte Lkw-Konvois, volume VDI Bericht Nr. 21 of 22. VDI Verlag, Düsseldorf, 2005. [Stu03] F. Stumpe. Aachener Reihe Mensch und Technik. In Entwicklung und Betrieb von neuen Sattelanhänger-Waggon-Kombinationen für zukunftsfähige Transportketten in Europa, Band 46. Wissenschaftsverlag Mainz, Aachen, 2003. [Tsu05] S. Tsugawa. Issues and recent trends in vehicle safety communication systems. IATSS Research, 29, 2005. [web] https://www.zlw-ima.rwth-aachen.de/webtellibox/, downloaded 22.06.2009.

Benefits of RFID for the Production of hybrid Micro Systems in flexible Production Networks of SMEs Verena Jänen, Christian Tummel, Klaus Henning

Abstract Today, the information flow within flexible production networks of small and medium enterprises for the production of hybrid micro systems is characterized by a lack of coordination and concepts as well a high portion of manual procedures. A new concept for an information system uses RFID-tags as data carriers, fixed at the load carriers, as a performance driver for these kinds of networks. As a basis for the development of a suitable information system we will present an appropriate data storage concept and an adapted modeling concept that is adjusted to the coupling of the entire information and the material flow. Keywords RFID-technology · flexible production networks of SME · hybrid micro systems · modeling · information flow · data storage

1 Introduction and objective The increasing complexity and uncertainness caused by structural change, globalization, the constant decrease of product life cycles and the transformation of the former producer markets [GSM98] to the highly dynamic customer markets require various demands on the flexibility and challenges the companies to offer new organizational innovations [Olb01]. The transformation of companies into various company networks is one of the attempts to meet the demands. One kind of such networks are flexible production networks which are characterised by a close cooperation of the involved companies, especially as far as the production processes are concerned [Mue00]. According to [Mue00] a flexible production network is a symbiosis of a virtual company and an operative network, which is defined by the following characteristics:

V. Jänen (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

© [2010] IEEE. Reprinted, with permission, from “2010 International Conference on Industrial and Logistics Technology (ICILT 2010)”, IEEE, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_37

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• Quick and immediate adjustment to the constantly changing economic conditions, • Strong flexibility of the spontaneous and temporary participation of spatially separated network partners, • Balanced distribution of power among the companies. Flexible production networks have been emerging in a wide range of the micro system industry. Complex processes and a strong interdisciplinary cooperation of the production processes define the production of the hybrid micro systems [DG06]. Those production processes are especially mastered by the highly specialized small and medium-sized enterprises (SME) [Gen05]. In order to remain competitive in spite of the high specialization many of the SMEs ally in such flexible production networks. The quality of the product and the process as well as the grade of the automation of technical processes of the micro systems is defined by the information flow between the companies, and also within them. Compared to the conventional production more and more exchange between the single process steps is required including the exchange of the process, quality and product data. At the moment the information flow is characterized a lack of any coordination and concept, and is done manually. The quality of the information flow strongly influences the effectiveness of such production networks. Therefore increasing the degree of automation of the assembly processes with the help of the assembly facilities’ requires an automated information flow. Due to these changing requirements we will present the basis for the organization of the information flow with the help of the RFID-technology. On the one hand this concerns choosing an appropriate data storage concept and on the other hand it also requires the modeling of the information flow. The results are the basis for the development of a suitable information system.

2 The Data Storage Concept An information system in flexible production networks of SMEs has to be based on an adequate concept for data storage. The information that is relevant for the crosscompanies assembly processes mainly concerns individual component product and process information. Therefore, the data storage concepts focus on the parallel information flow. The improvement of the RFID and web technology today offers diverse possibilities to store and manage data, and therefore to organize the information flows as well. The RFID as ‘smart devices’ nowadays offers not only the opportunity for automatic identification but it also has the advantage of moving the ‘intelligence’ of a central system into every product [Zue09]. The counterpart of this decentralization of data is, for example, a web based central database. In the following we will demonstrate the possible data storage concepts and we will also draw a comparative matrix that will help us chose the applicable concept. The usage of the information systems within company networks [Cra04]

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Fig. 1 Classification of data managing concepts within company networks

can be distinguished between central, decentralized (CI) and hybrid data managing (Fig. 1). The approach of this data management concept focuses on the pre, parallel and post information flow for the whole value added chain, which means it happens at the networks level. Focusing on the parallel information flow another decentralized data storage concept (DO) will be added (Fig. 1). This concept is based on the RFID- technology. The central data carrier in the company network is based on a superordinate database, which enables all the partners of a company network to access the information that is relevant for that network. Therefore, each of the data transactions requires a discrete access to the database as well as an infrastructure that allows the communication among the system components. The concept of the hybrid data carrier unites decentralized and central aspects of the hybrid approach. The data that is related to the parallel information flow is saved at the moment of the decentralized processing on the data carrier. An adjustment with the superordinate central web and database system takes place discontinuously. This enables the information needed for the process to be available without accessing the central database. If we reduce the data storage on the local databases and the data carriers on the objects within our hybrid storing of data concept, we will win another local data storage concept. This concept enables a direct coupling of the entire information and the material flow by physically connecting objects and data carriers.

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3 Evaluation and Selection of the Data Storage Concept In order to choose the appropriate selection of the data storage concepts for a company network, we need to take into consideration both levels, the network on the one side and the company on the other side. In order to realize of an evaluation of the concept for a concrete application area we have gathered the following relevant evaluation criteria (Fig. 2). Concerning the profitability the following two aspects need to be considered: the expenses for the acquirement and the maintenance. The flexibility refers to an easy and quick integration of new network partners and modification of the processes and the datasets. The other important criteria are the guaranteed safety of data and user acceptance. In order to evaluate the productive efficiency the influence on the stability, the speed of data transfer and the possible storage capacity count. For those evaluation criteria we need to elevate the target state at the company and network level for the application area and after that the corresponding evaluation of the concepts. The evaluation of the data storage concepts for the observed usage of an information system in flexible production networks of the small and medium-sized enterprises for the production of hybrid micro systems is presented in Fig. 3. In this example the evaluation shows the positive aspects of the decentralized data storage concept with the help of the RFID-technology. The expenses for the acquirement and the maintenance compared to the central and hybrid data (DI) storage concept are rather low because no central systems need to be purchased and maintained externally. Additionally, a high amount of flexibility is ensured because of the coupling of the data transfer among the companies with the material flow and therefore no expensive interface and implemented infrastructure is needed. The selection of a data storage concept at the company level depends on the usage and the production and the system surrounding of the company. Selecting the decentralized data storage at the network level creates the basis for the infrastructure of the hybrid and decentralized data storage. With this the central data storage, can

Fig. 2 Evaluation of data storage concept

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Fig. 3 A concept for standardized transport boxes (left) and component carrier for micro prefabricated components (right), (RUCH Novaplast GmbH & Co. KG GmbH, Fraunhofer IPT)

be established as well. The central data storage at the company level offers the best conditions if in the application area a higher data transfer is required, which needs high speed and a high storage capacity. The hybrid data storage, realised through a local network and RFID-tags, makes sense when the access to a database is not ensured at every processing station. Beyond that with this concept we can reach high system stability. The data that are to be saved on the RFID-tags can limit the information that is relevant for the process steps. There is a discontinuous adjustment with a database that ensures the data and archival storage. In order to achieve the maximal system stability with a low data appearance and low demands on the data transfer speed the decentralised data storage (DO) is a beneficial alternative.

4 Use of RFID-technology For the development of an information system in flexible production networks of SMEs for the production of hybrid micro systems we need to take into account selected data storage concepts. Within the companies central and hybrid data storage is possible, the companies can keep it on a database, which means that the RFIDtechnology remains an important part of the concept and is at least used for the automatic identification process. That way the product and process data that are relevant for the building of every component can be accessed when needed. Because of the small dimensions of the micro prefabricated components the RFID-tags can only be attached on the carriers of the components or the transport boxes. The component carriers can contain several micro prefabricated components (Fig. 3). Transport boxes again carry several component carriers and protect the micro prefabricated components when they are being transported under macro logical conditions, e.g. with shielding gas. For the selection of an applicable RFIDtechnology that is available on the market we need to take into consideration the following factors. In order to be less interference-prone in a metallic surrounding and to support the exchange of big amounts of data we need to use a high-frequency

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RFID-system. The demands on the descriptiveness with big amounts of data for the decentralized data storage require a stable wireless connection between the reading devices and transponders, therefore, we need restrictions on the current technology concerning the ability to compile them and the distance required for reading them.

5 Modeling In order to control the complexity of the organization of the information flow in flexible production networks, an innovative modeling concept has been developed. This concept focuses on the coupling of the information and material flow with the help of the selected data storage concepts. The developed presentation of the modeling will be explained in the following. For the modeling we have chosen a structure, which offers the potential to survey the entire system, in which the information system should operate, in a model (Fig. 4). First there is a partitioning into two views, the information process view and the material process view. Those process views, according to [Wol96], are assigned to the human-to-human, machine-to-machine operating levels, control and material flow level. As the information systems of the human-to-machine communication play an important role, those are added to the operating level. The first step of modeling is the examination and exposition of the processes, which at the material flow level describe the material flow. For the process view the process chain model according to [Kuh95] will be used that also depicts the logistically relevant processes between company networks and also within each company [Cra04]. The processes, which are required for the production, will be described in this model in a chronological order as a process chain.

Fig. 4 Modeling of the information flows

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The material flow level is divided into four logistically fundamental processes according to [Kuh95]: machining, verifying, transporting and storing. The information flow is displayed with the help of workflows that can be found over each system level of the information process. The UML-activity diagram (notation UML 2.0), which is on the upper level, has been chosen for the modeling of the workflows, and is analogue to the operating levels. The configuration of the partitioning on the second level takes all the system elements into consideration that are assigned to the system levels. The workflows that are implemented through the information system are displayed in the three middle levels. For that purpose the activities in the notation of the UML-activity diagram are modeled in this level in vertical chronological order. It should be taken into consideration that after the UML-notation a chronological course is not scheduled. The partitioning on the human-to-machine level is assigned with activities of the user interface. The machine-to-machine level is further divided into each of the system components between which there is an exchange of the activity information. The partitioning on the control level is assigned with activities that have a direct influence on the material flow level. The latter affects an automated production facility for example. A connection between the processes and activities shows in which flow there is an activated workflow, or if the workflow has been stopped, and it also shows if there is an interaction between the process and the workflow. With that we can reach a coupling of material and information flow during modeling on the one hand, on the other hand we can also reach an optic separation of processes and workflows in order to have a clear arrangement.

6 Conclusion In order to connect the assembly and transport processes of hybrid micro systems in flexible production networks in a more effective way an information system is needed, coupling automatically the information and material flow with the help of RFID-technology. In order to develop such information system it has been examined which data storage concepts are applicable at the company and company network level and how to implement these networks with the help of RFID-technology [Jae10]. Furthermore the modeling of coupled information and material flows for the usage is being presented in an information system. With the automated information flow the product and process quality can be significantly improved. Thereby the basis for flexible production facilities that help to increase the grade of automation in a more profitable way has been established.

References [Cra04] [DG06]

F. C. Cramer. Entwicklung eines Modells zur transponder-basierten Informationsflussgestaltung in Produktionsnetzen. Dortmund, 2004. M. Dickerhof and U. Gegenbach. Kooperationen flexibel und einfach gestalten. Carl Hanser Verlag, Munich, 2006.

414 [Gen05] [GSM98] [Jae10] [Kuh95] [Mue00] [Olb01] [Wol96] [Zue09]

Verena Jänen et al. U. Gengenbach. MikroWebFab: Virtuelles Unternehmen zur Entwicklung und Fertigung von Mikrosysteme. MST infobörse, 2005. A. Goeransson, G. Schuh, and K. Millarg. Virtuelle Fabrik. Hanser Verlag, Munich, 1998. V. Jaenen. Ein transponderbasiertes Informationssystem für die Produktion hybrider Mikrosysteme in wandelbaren Produktionsnetzwerken. January 2010. A. Kuhn. Prozessketten in der Logistik. Verlag Praxiswissen, Dortmund, 1995. A. Mueller. Eine EDV-gestuetzte Koordination der Logistik in Produktionsnetzen. Praxiswissen, Dortmund, 2000. E. Olbertz. Lernende Region. Europaeischer Verlag der Wissenschaften, Frankfurt a. M., 2001. D. Wollenweber. Ein systemischer Ansatz zur Gestaltung von innerbetrieblichen Transportketten. VDI Verlag, Düsseldorf, 1996. D. Zuehlke. SmartFactory - A Vision becomes Reality. In IFAC. COEX, editor, Preprints of the 13th IFAC Symposium on Information Control Problems in Manufacturing, pages 31–39, Korea, South, 2009.

Automated Truck Platoons on Motorways – A Contribution to the Safety on Roads Ralph Kunze, Max Haberstroh, Richard Ramakers, Klaus Henning, Sabina Jeschke

Abstract One opportunity to manage the rising freight transportation and to optimize the utilization of motorway capacities is the concept of truck platoons. With the aid of Advanced Driver Assistance Systems it is possible to couple trucks electronically. In consequence, trucks can keep short distances between vehicles of approx. 10 meters at 50 mph and that way realize truck platoons on motorways. Electronically coupled truck platoons offer various improvements to the freight transportation problem, such as improved vehicle occupancy, gained road space, optimization of traffic flow, reduction of fuel consumption due to slipstream driving, a relief for professional drivers and finally an increase in safety due to the longitudinal and lateral guidance. In this paper, a brief introduction to the technical background of these truck platoons is given, as they were realized and tested on public roads within the project KONVOI. The main focus is on the contribution to the road safety of electronically coupled trucks on German motorways. Hence, German accident statistics will be discussed and the benefit for the society due to accident reduction will be monetized and calculated on the basis of the German Federal Traffic Route Plan. Keywords Advanced Driver Assistance Systems · Electronically Coupled Trucks · Accident Reduction · Automated Longitudinal · Lateral Guidance

1 Introduction 1.1 Initial Situation The integration of the new European member countries is a challenging component for national traffic planning in the near future. Especially countries with a central geographic position within Europe, such as Germany, have to shoulder the majority of the future traffic emergence. Due to the increase of global freight R. Kunze (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected] © 2010 VTI. Reprinted, with permission, from: Swedish National Road and Transport Research Institute VTI (Ed.): Proceedings of the Road Safety on Four Continents Conference (RS4C 2010), VTI, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_38

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transportation, the maximum road capacity in several countries worldwide is nearly reached [EfAtP08]. Additionally, this traffic will predominantly encumber the road. A modern national economy needs an efficient traffic system to face such a challenge successfully. Otherwise, today’s even worse traffic situation will be preassigned to collapse. The importance of efficient traffic systems was emphasized by studies from the European Commission in 2006. Between 1995 and 2004 a growth of 35% in European road freight transport was detected. Furthermore, between the years 2000 and 2020 an increase of 55 % in road transportation is expected. In 2006 the road had to bear the majority of the cargo volume with 41 % of all transport modes, besides rail traffic carried 8 % of the volume. [otEC06]. Therefore, even small changes and improvements on road transportation will have large impacts. In the year 2003, the European Commission stated that every day 7,500 kilometers of the European road system are being blocked by traffic jams [otEC03]. Environmental pollution, safety risks and a loss in efficiency for the economy are only some of the effects that result from growing volume of road traffic. Similar problems are known and discussed in industrial nations worldwide. One possibility to face the rising traffic volume on the roads is the modal shift to other types of transportation (e.g. rail, shipping). Another opportunity is the optimization of the road-side traffic flow by driving assistance systems. In the future, such systems could perform tasks which currently have to be executed manually by the truck driver. Since the 90s, Advanced Driver Assistance Systems (ADAS) for trucks have been on offer, including pre-adjustment of speed and distance to the front vehicle. This is exerted automatically via computerized engine- and brakemanagement in connection with an automated transmission. The combination of an Adaptive Cruise Control (ACC) together with an Automatic Guidance (AG) leads to autonomous driving. The difference in this context is the necessity of a leading vehicle. Following trucks can go far distances without any manual engagement by the driver as long as another ahead-driving vehicle exists. Nevertheless, each truck must be assigned with a truck driver at all times due to legal rules and regulations.

Fig. 1 Test Run on German Motorways (March 2009)

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Within platoons, smaller distances between the vehicles (up to 10 meters) can be realized. These truck platoons contribute to an optimization of traffic flow up to 9 % and a reduction of fuel consumption up to 10 % due to slipstream driving [Sav05]. The development and evaluation of the practical use of truck platoons is the objective of the project KONVOI, which was funded by German’s Federal Ministry of Economics and Technology. KONVOI is based on the scenario “Platoons Organized by the Driver” (Figure 2) which was developed in the project “Operation-Scenarios for Advanced Driving Assistance Systems in Freight Transportation and Their Validation” (EFAS) [HP03]. The Project KONVOI was an interdisciplinary research project with partners of RWTH Aachen University, industry and public institutions, which ended after a duration of 49 months with test runs on German motorways at the end of May 2009 (Figure 1). With the assistance of virtual and practical driving tests by using experimental vehicles and a truck driving simulator, the consequences and effects on the human-, the organization- and the technology-dimension have been analyzed [HWA07].

1.2 Problem Definition The electronic coupling of trucks within the project KONVOI offers a bundle of advantages, such as a reduction of the inter-vehicle distance, which leads to an improved vehicle occupancy and gained road space, an optimization of traffic flow, the reduction of fuel consumption advantaged by slipstream driving, a relief for professional drivers, and finally an increase in road safety due to the longitudinal and lateral guidance. This paper focuses on the question, what monetized contribution to the safety on roads can be expected due to the longitudinal and lateral guidance of electronically coupled trucks. Therefore, within the next chapters the scenario of “Platoons Organized by the Driver” as well as the platoon system is described in detail. Afterwards the effects of the electronic coupling on the German accident statistics will be discussed. Finally, the benefit of the changes of accident rates will be calculated based on the Bundesverkehrswegeplan (BVWP - German Federal Traffic Route Plan) [BMV05].

2 Electronically Coupled Trucks 2.1 The Scenario “Platoon Organized by the Driver” The scenario “Platoons Organized by the Driver” (Figure 2) was developed in the project “Operation-Scenarios for Advanced Driving Assistance Systems in Freight Transportation and Their Validation” (EFAS). Further scenarios within the project EFAS were the “centrally organized platoons” and the “platoons on a special truck lane”. All three scenarios were evaluated in consideration of the categories human

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Fig. 2 “Platoons Organized by the Driver” [HP03]

(stress, acceptance), environment (fuel consumption, noxious emission) and traffic (temporal distance, velocity, acceleration, collision time, journey time, traffic flow and volume). Additionally, legal aspects were taken under consideration. The evaluation of these scenarios showed that the first scenario offers the best possibility for a medium-term implementation with some necessary modifications [HP03]. In the scenario “platoons organized by the driver”, the platoons can operate on today’s existing motorways without extending the infrastructure. The driver has the permanent control of the autonomous driving procedures [HP03]. The creation of a platoon depends on the initiating driver who delivers the necessary data about time and place of meeting, the destination of his tour, as well as the required truck telemetric data (loading weight, engine power etc.) with the help of a Driver Information System (DIS). The high flexibility of truck transportation is not lost, because scheduling, like in rail traffic, is dispensable. After activating the ADAS, a selection of the best matching platoons is automatically shown. The ADAS informs the driver and prepares the participation to the selected platoon. The DIS acts as a human machine interface of the platoon system and helps the truck driver to plan the route and guides the driver to the meeting point [FMH08]. The driver has to initialize and respectively confirm all of the platoon manoeuvres in order to build and to dissolve the platoon. As soon as the final position in the platoon is reached, an automated longitudinal guidance with a target distance


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of 10 meters between the trucks and a lateral guidance is possible. On one hand, this target distance was chosen because the short distance prevents most drivers from driving in the gaps between the platoon members. On the other hand, the short distance causes slipstream effects, which can lead to reduced fuel consumption. Since road markings are needed for the lateral guidance, the platoon system is exclusively developed for the use on motorways. Because of a speed limitation for most trucks at approx. 50 mph, the speed of the trucks on motorways differs only slightly. Therefore, the truck platoons are operating at a speed between 37 and 50 mph. This speed can be managed safely at 10 meters distance by the KONVOISystem.

2.2 The Platoon System In order to realize different platoon sizes, the consortium of the project KONVOI equipped four experimental vehicles with the required automation-, informationand automotive-technology (Figure 3). The main components for the implementation of the system architecture in the experimental vehicles are the actuators (steering and power train), the sensors (object registration in close-up and far range, recognition of lane), the vehicle-vehicle-communication (WLAN), the automation unit (coordination of the different vehicle states), the control unit (longitudinal and lateral guidance) and the driver information system (human-machine interface, organization assistant, GPS and 3G) [HWA07]. The longitudinal guidance of the ADAS is based on a LIDAR (Light Detection and Ranging) distance sensor, a Complementary Metal Oxide Semiconductor

Fig. 3 Automation-, Information- and Automotive-Technology of an Experimental Vehicle

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(CMOS) Camera and a RADAR-sensor. The distance sensors are used to determine the distance in longitudinal direction and the lateral offset to the leading vehicle. The vehicle-vehicle-communication transfers necessary vehicle CAN-bus-data from all platoon members, which are required for the longitudinal guidance to realize the target distance of 10 meters. In all trucks, a target acceleration interface is implemented, which automatically calculates the drive-train and the management of the different brakes in the vehicles. The acceleration is either calculated autonomously for each vehicle or deduced from the data which is transferred via the vehicle-tovehicle-communication. Every experimental vehicle is attached with cameras which are able to identify the traffic lane, thus determining the position of the truck within the traffic lane. An electronically accessible steering system has been integrated additionally. A steering actuator on the base of an electric motor delivers the necessary steering moment for the automated guidance of the trucks [FMH08]. With the help of the Driver Information System, the truck driver plans his route, selects economic platoon participants as well as initializes and respectively confirms the platoon manoeuvres in order to build and to dissolve the platoon. The platoon organization is realized on a central server with a data-mining algorithm under consideration of economic aspects [MHS08]. For this task, the DIS has to send the time schedule, route plan and GPS position of the truck with a vehicle infrastructure-communication via G3 to the central server (Figure 4).

Fig. 4 The Platoon System [Fri08]


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3 Contribution to the Safety on Roads 3.1 Accidents on German Motorways On German motorways all accidents of personal injuries and heavy damages to property are registered by police. This data is prepared and published by the German federal statistical office on an annual basis [Bun07]. In the year 2007 the majority of all accidents are induced due to rear-end crashes with stopping or moving vehicles (44 % of all accidents). Running off the side of road is the second and side crashes with other vehicles the third most common cause for accidents. Freight Transportation is responsible for 52 % of all accidents on German Motorways. 21 % of all accidents on German motorways are rear-end accidents caused by freight transports [Bun07]. Hence, Advanced Driver Assistance Systems, which inherit longitudinal and lateral driving tasks, and which monitor the environment of a vehicle, have a tremendous potential for accident avoidance. A longitudinal and lateral guidance is already implemented in the KONVOI system for lane and distance keeping. During a KONVOI-ride, the following vehicles in a KONVOI-platoon will not be able to cause an accident by tailgating or running off the side of a motorway. Therefore, the usage of the KONVOI-system itself is a contribution to the safety on roads. The KONVOI-system has been developed, to support the driver and therefore take over driving operation to keep the distance between vehicles and to keep the vehicle within the road markings. During the project KONVOI a bundle of consolidated findings could be gathered. For example, analysis of the driving procedure showed that the design of the truck driver’s workplace has to be reconsidered. The prerequisite, operations of the KONVOI-system as well as the manual take over through the driver must be guaranteed at all times, should be ensured technicalwise. Hence, the KONVOI-system could be supplemented by systems which control the driver’s attention, such as a head and eye movement detection or a dead man’s control, which is known from railways. A fundamental further development of the KONVOI-system could be the Collision Avoidance (CA). The LIDAR- and RADAR-sensor as well as the image processing systems for the CMOS-camera picture are already implemented in the experimental trucks and could be used to monitor the environment of the vehicle and interpret the surroundings concerning potential hazardous situations. Especially the longitudinal guidance could be adapted easily, because changes have to take place software-wise and generally not on hardware. With these changes, the KONVOI-system would exploit further potential for the collision avoidance. Lammen [Lam93] already mentioned, that systems for the electronic coupling of vehicles would reduce the risk of accidents, independently, if the vehicle is part of an electronically coupled platoon or not. Thus, the likelihood for the avoidance of accidents is dependable on the equipment rate of Advanced Driver Assistance Systems and not dependable on the utilization rate of the KONVOI-System. The key question, which has to be answered for further considerations, is, how high the accident avoidance potential of the electronic coupling could be estimated.

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The Institute for Automotive Engineering Aachen (ika) accomplished research activity in the field of accident avoidance of passenger cars on behalf of the German Ministry of Transport, but research results have not been published [Bau]. Additionally, neither empirical data of the accident reduction through driver assistance systems of transport vehicle are available. Therefore, the accident avoidance potential of the ADAS for the electronic coupling has to be estimated carefully for further considerations. As mentioned above, in 2007 freight transportation caused 21 % of rear-end accidents on German highways. A conservative accident avoidance potential of over 50 % for rear-end accidents on motorways is estimated, which are caused by freight transportation and can be led back to too short distances between vehicles. Therefore, a reduction of more than 10 % for all rear-end accident of freight transportation can be estimated. For accidents with casualty and trucks of more than 12 tons Kitterer [Kit06] calculates an accident avoidance potential of 12 % due to the application of driver assistance systems. In the following considerations a total accident avoidance potential of 10 % for all accidents will be assumed. An increased risk for further road users shall be excluded [NPHP03].

3.2 Evaluation of the Safety Benefit Any accident has a variety of effects, which should not be underestimated. An accident may have tragic and fatal consequences for the individuals involved. A possible decrease or loss of the social contribution to the national economy can be another effect. In this paper the view of the safety benefit will concentrate on financial aspects, which are used and predefined by the German Federal Ministry of Transport, Building and Urban Affairs. The evaluation of the accident avoidance potential of Advanced Driver Assistant Systems as well as the calculation of the benefit of the accident avoidance potential for trucks will be based on the German “Bundesverkehrswegeplan (BVWP)”. The BVWP is used by the German Federal Ministry of Transport, Building and Urban Affairs [BMV05] and has the overall goal, to enhance the welfare of the German population [IVV00]. Within the BVWP all variables for the effects on road safety are taken into account, such as the likelihood for accidents and the severity of accidents. Figure 5 explains the calculation scheme for the change of road safety [BMV05]. The benefit of the increase in traffic safety will be expressed by the variable NS (see Figure 5). In this calculation all accidents with casualties and accidents of property are distinguished (Index PS and SS). Therefore, all accident risks for all routes will be calculated and transformed into accidents rates (accidents/106 vehicle-km). The estimated rates of the BVWP for the traffic accidents with casualties are presented in Figure 6, the rates for traffic accidents of property are displayed in Figure 7. For the calculation of the benefit of electronically coupled trucks on motorways, just the highlighted rates will be needed, because they represent accidents on motorways.

Automated Truck Platoons on Motorways NS =

i

(U K · l)vg −

423 (U K · l) pl

i

with U K = (U R P S · DT Vges · U K S P S + U R SS · DT Vges · U K SSS ) · DT Vges =

4824 · DT Vw + 2424 · DT Vu + 1512 · DT Vs 8760

365 106

NS [ C/a]: i: l [km]: UK [C/km*a]: URPS [U/106*Kfz*km]:

Benefit of the Road Safety Contribution Index of Road Section Length of Road Section Length Related Accident Costs of a Road Section Accident Rates of Accidents of the Damage to Persons depending on Road Types URSS [U/106*Kfz*km]: Accident Rates of Accidents of the Damage to Property depending on Road Types UKSPS [C/U]: Accident Expense Ratio of Accidents of the Damage to Persons depending on Road Types Accident Expense Ratio of Accidents of the Damage to Property deUKSSS [C/U]: pending on Road Types DTVges [Kfz/24h]: Total Average Traffic of a Road Section considered all Days of the Year (8.760 h) DTVW [Kfz/24h]: Average Traffic of a Road Section considered all Work Days of the Year (4.824 h) DTVU [Kfz/24h]: Total Average Traffic of a Road Section considered all Work Holidays of the Year (2.424 h) DTVS [Kfz/24h]: Total Average Traffic of a Road Section considered all Sunday and Holiday of the Year (1.512 h) vg: Index of Comparative Case pl: Index of Plan Case

Fig. 5 Calculation Scheme for the Change of Road Safety [BMV05]

An evaluation based on the BVWP requires a comparison of a so called comparable case and a future case, whereas the future case includes all investments, which have to be evaluated. In this paper the future case will take place in 2015. All input quantities will be chosen, so that the effect of truck platoons for the entire vehicle collective on highways in the year 2015 can be determined. Therefore all physical units will be identified and after that monetized. The reference year 2015 was chosen, because all effects of the Driver Assistance Systems of a realized KONVOI-system can be estimated at that point of time. At the reference your 2015 27,544 accidents of personal injuries and 180,934 accidents to property will occurred. Due to the assumptions of an accident avoidance potential of 10 %, the accidents with casualty would be reduced to 24,790 and the accidents to property would amount to 162,841. The total accident avoidance potential for the reference year will be 20,848 accidents [Gre01, Bra08]. This data is required for the calculation of road safety. But furthermore more information is needed, such as the length and index of road sections (see Figure 5), which will be gathered by simulation.

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Fig. 6 Accident Rates for Road Accidents of the Damage to Persons depending on Road Types regarding the German Federal Transport Network Plan (BVWP) [BMV05]

Profitability calculations of road investments are based on models, which contain an image of the real world with all key valuation-related components. For an analysis of the profitability with the BVWP different related route data and traffic data are necessary, which have to be pictured in this model. In detail, these data are route type, route length, speed limits, slopes, and curviness (route data) as well as average daily traffic, proportion of freight transport respectively for work days, holidays, and weekends (traffic data). For calculations of the profitability the net model NEMOBFStr98 is used, in which all route and traffic related data are assigned. The NEMOBFStr98 is owned by the German Federal Ministry of Transport, Building and Urban Affairs and has been applied to the planning of the federal highways. The entire net consists of 6.313 motorway parts with a total length of 12.927,76 km. The model is applied to simulations and calculations in accordance with the BVWP. In this paper only the benefit for road safety is put in focus, which could be calculated through the model. The benefit of the road safety consists of the changes of the accident rates for road accidents with personal injuries and the changes of the accident rates of property damage. The reduction of the number of accidents with personal injuries reveals a benefit of 188 Mio. C per year. The monetized benefit of property damage sums up to 240 Mio. C per year. Hence, the road safety contribution of Advanced Driver Assistant Systems for the electronically coupling of trucks amounts 428 Mio. C per year.


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Fig. 7 Accident Rates for Road Accidents of the Damage to Property depending on Road Types regarding the German Federal Transport Network Plan (BVWP) [BMV05]

4 Conclusion Due to the application of the German Federal Traffic Route Plan on the electronic coupling of trucks, the contribution to the safety on roads of these trucks could be analyzed. The changes of the rates of accidents have been calculated. Accidents with personal injuries as well as accidents of property damage have been taken into account. A profound estimation of the German accident statistics shows that the realization of Advanced Driver Assistance Systems on German motorways, such as the longitudinal and lateral guidance, can avoid 10 % of all accidents on these motorways. The total monetized contribution to the road safety in this case amounts 428 Mio. C per year. Due to this saving potential and the reduction of direct effects of accidents, obligations for Advanced Driver Assistance Systems are desirable. Any truck itself, which is equipped with a KONVOI-System and drives electronically coupled in a truck platoon, provides a small contribution to the road safety due to the realized accident avoidance. This paper shows the positive influence of technical system for the avoidance of accidents, focusing on the direct consequences and effects due to the automatic control. Nevertheless, further questions regarding the application of Advanced Driver Assistance Systems have to be answered. In the future, indirect consequences and

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effects, e.g. the effects of the automatic guidance on professional truck drivers, will be considered and investigated.

References [Bau] [BMV05] [Bra08] [Bun07] [EfAtP08] [FMH08]

[Fri08] [Gre01] [HP03] [HWA07]

[IVV00]

[Kit06] [Lam93] [MHS08]

[NPHP03]

[otEC03] [otEC06] [Sav05]

A. Bauer. Discussion on the Telephone with Mrs. Bauer. German Federal Highway Research Institute (BASt). BMVBS. Die gesamtwirtschaftliche Bewertungsmethodik. Bundesverkehrswegeplan 2003. Technical report, Berlin, 2005. L. Brandt. Gesamtwirtschaftliche Bewertung von Lkw-Konvois nach der Methodik des Bundesverkehrswegeplans. Studienarbeit, RWTH Aachen University, Aachen, 2008. Statistisches Bundesamt. Unfälle von Güterkraftfahrzeugen im Straßenverkehr 2006. Technical report, Wiesbaden, 2007. ESCAP (United Nations Economic, Social Commission for Asia, and the Pacific). Statistical Yearbook for Asia and the Pacific. Technical report, Bangkok, 2008. A. Friedrichs, P. Meisen, and K. Henning. A Generic Software Architecture for a Driver Information System to Organize and Operate Truck Platoons. In Proceedings of the International Conference on Heavy Vehicles (HHVT2008), Paris, 2008. A. Friedrichs. A Driver Information System for Truck Platoons. Doctoral thesis, ZLW/IMA, RWTH Aachen University, Düsseldorf, 2008. VDI, Reihe 12, Nr. 673. K. Gresser. Verkehrsprognose 2015 für die Bundesverkehrsplanung. Internationales Verkehrswesen, 2001. Hamburg. K. Henning and E. Preuschoff. Einsatzszenarien für Fahrerassistenzsysteme im Straßengüterverkehr und deren Bewertung. VDI, Reihe 12, Nr. 531, Düsseldorf, 2003. K. Henning, H. Wallentowitz, and D. Abel. Das Lkw-Konvoisystem aus den Perspektiven Informations-, Fahrzeug- und Automatisierungstechnik. In Mechatronik 2007 - Innovative Produktentwicklung, VDI/VDE-Gesellschaft Mess- und Automatisierungstechnik, pages 133–147. VDI, Düsseldorf, 2007. IVV. Harmonisierung der Verkehrs- und Bewertungsmodelle beim Verkehrsträger Straße im Verfahren des BVWP. FE-Vorhaben. Technical Report 26.151/2000, Aachen, 2000. im Auftrag des BMVBW. H. Kitterer. Längsdynamische Fahrerassistenz im Nutzfahrzeug. PhD thesis, Aachen, 2006. Schriftenreihe Automobiltechnik. B. Lammen. Automatische Kollisionsvermeidung für Kraftfahrzeuge. PhD thesis, Dortmund, 1993. P. Meisen, K. Henning, and T. Seidl. A Data-Mining Technique for the Planning and Organization of Truck Platoons. In Proceedings of the International Conference on Heavy Vehicles (HHVT2008), Paris, May 2008. D. Neunzig, E. Preuschoff, J. Happe, and L. Petry. Zusammenfassende Bewertung und Handlungsempfehlungen. In Einsatzszenarien für Fahrerassistenzsysteme im Straßengüterverkehr und deren Bewertung. Düsseldorf, 2003. Henning, K.; Preuschoff, E. (Hrsg.). CEC (Commision of the European Communities). Europe at a crossroad - The need for sustainable transport. Manuscript of the European commission. 2003. CEC (Commission of the European Communities). Keep Europe moving – Sustainable mobility for our continent. Technical report, Brussels, 2006. E. Savelsberg. Lastenheft für elektronisch gekoppelte Lkw-Konvois. PhD thesis, Düsseldorf, 2005. VDI, Reihe 22, Nr. 21.

Organization and Operation of Electronically Coupled Truck Platoons on German Motorways Ralph Kunze, Richard Ramakers, Klaus Henning, Sabina Jeschke

Abstract One opportunity to manage the increase of freight transportation and to optimize utilization of motorway capacities is the concept of truck platoons. With the aid of Advanced Driver Assistance Systems, trucks are electronically coupled keeping very short gaps (approx. 10 meters) to form truck platoons on motorways. This contributes to optimisation of traffic flow and reduction of fuel consumption advantaged by slipstream driving. In this paper, a brief introduction into these truck platoons is given as well as a short overview about the elements of the automation-, information- and automotive-technology of the experimental trucks. The paper focuses on the Driver Information System which helps truck drivers to organize and operate these platoons. A generic software architecture for the Driver Information System of the platoon system is presented, which guarantees the development of a modern, flexible, extensible and easily configurable system, especially for Human Machine Interfaces of Advanced Driver Assistance Systems. Keywords Truck Platoons · Advanced Driver Assistance System · Driver Information System · Software Architecture · Electronically Coupled · HMI

1 Introduction The continuing traffic increase in Europe during the last years poses a huge challenge, especially for transit countries such as Germany. Due to the increase of freight transportation, the maximum road capacity in several countries worldwide is nearly reached. In some countries in Asia and the Pacific, the road density increased up to 100 % between 1990 and 2008. More than half of the Asian and Pacific countries had to face an increase of over 20 % in that period of time [EfAtP08]. In Europe a growth rate of 35 % in road freight transport was detected between 1995 and 2004. R. Kunze (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected] Originally published in “Lecture Notes In Artificial Intelligence: Proceedings of the 2nd International Conference on Intelligent Robotics and Applications“, Vol. 5928, © Springer-Verlag Berlin Heidelberg, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_39

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Furthermore, an increase of over 55 % in road transportation is expected between the years 2000 and 2020 [otEC06]. In the year 2003, the European Commission stated that every day 7.500 kilometers of the European road system are being blocked by traffic jams [otEC03]. Additionally, the integration of the new European member countries in combination with German’s centricity within Europe provides another challenging component for Germany’s national traffic planning. Environmental pollution, safety risks and a loss in efficiency for the economy are only some of the effects that result from these factors. Similar problems are known and discussed worldwide.

1.1 The Approach One possibility to meet the rising transport volume on roads is the modal shift to other types of transportation (e. g. rail, shipping). Another opportunity lies in the optimisation of the road-side traffic flow by driving assistance systems. Since the 90s, Advanced Driver Assistance Systems (ADAS) for trucks have been on offer, including pre-adjustment of speed and distance to the front vehicle. The combination of an Adaptive Cruise Control (ACC) together with an Automatic Guidance (AG) leads to autonomous driving. Here, a precondition is a computerised engineand brakes-management in connection with an automated transmission. The difference between platooning and autonomous driving makes the necessity of a leading vehicle. Following trucks can go far distances without any manual engagement by the driver as long as another ahead-driving vehicle exists. Nevertheless, each truck must be assigned with a truck driver at all times due to legal rules and regulations. Within platoons, smaller distances between the vehicles (up to 10 meters) can be realized. These truck platoons contribute to an optimization of traffic flow of up to 9 % and a reduction of fuel consumption of up to 10 % due to slipstream driving [Sav05].

1.2 Objective The development of a generic software architecture for a Driver Information System (DIS) for the organization and operation of truck platoons is the objective of this paper. This paper focuses on the DIS of the platoons system and how a generic software architecture of a DIS as a human machine interface (HMI) for ADAS should be designed. Consequently, the system architecture of the ADAS will be not the subject of this paper. A detailed overview of the system architecture can be found in Henning et al. [HWA07].

2 The Scenario “Driver Organized Truck Platoons” The Project KONVOI is based on the scenario “Driver Organized Truck Platoons” (Figure 1) which was developed in the Project “Operation-Scenarios for Advanced Driving Assistance Systems in Freight Transportation and Their Validation” (EFAS)

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Fig. 1 Scenario 1 – “Driver Organized Truck Platoons”[HE03]

[HE03]. The development and evaluation of the practical use of truck platoons is the objective of the project KONVOI, which was funded by German’s Federal Ministry of Economics and Technology. The Project KONVOI is an interdisciplinary research project with partners of the RWTH Aachen University, industry and public institutions, which ended after a duration of 49 months at 09/05/31. With the assistance of virtual and practical driving tests, by using experimental vehicles and a truck driving simulator, the consequences and effects on the human, the organization and the technology have been analyzed [HWA07]. In the scenario “Driver Organized Truck Platoons”, the platoons can operate on today’s existing motorways without extending the infrastructure and the driver has the permanent control of the autonomous driving procedures [HE03]. The creation of a platoon depends on the initiating driver who delivers the necessary data about time and place of meeting, the destination, as well as the required truck telemetric data (loading weight, engine power etc.) with the help of a Driver Information System. Because no schedules have to be generated like they have to be in rail traffic, the high flexibility of truck transportation is not lost. After activating the ADAS, it automatically shows a selection of the best matching platoons, informs the driver and prepares the participation to the selected platoon. The DIS acts as human machine interface of the platoon system and helps the truck driver to plan the route and guides the driver to the meeting point [FMH08]. The driver has to initialize and respectively confirm all of the platoon maneuvers in order to build and to dissolve the platoon. As soon as the final position in the platoon is reached, an automated longitudinal guidance with a target distance of

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10 meters between the trucks and a lateral guidance is possible. On one hand, this target distance was chosen because the short distance prevents most drivers from driving between the platoons. On the other hand, the short distance causes slipstream effects, which can lead to a reduced fuel consumption of about 10 %. Since road markings are needed for the lateral guidance, the platoon system is exclusively developed for the use on motorways. Because of a limitation for most trucks at approx. 50 mph, the speed of the trucks on motorways differs only slightly. Therefore, the truck platoons are operated at a speed between 37 and 50 mph. This speed can be managed safely at 10 meters distance by the KONVOI-System.

3 The Platoon System In order to realize different platoon sizes, four experimental vehicles have been equipped with the required automation-, information- and automotive-technology (Figure 2). The main components for the implementation of the system architecture in the experimental vehicles are the actuators (steering and power train), the sensors (object registration in close-up and far range, recognition of lane), the vehiclevehicle-communication (WLAN), the automation unit (coordination of the different vehicle states), the control unit (adaptive cruise control and automatic guidance) and the driver information system (human-machine interface, organization assistant, GPS and 3G) [HWA07]. The longitudinal guidance of the ADAS is based on a LIDAR distance sensor, a CMOS-Camera and a RADAR-sensor. The distance


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Fig. 3 The Platoon System [Fri08] and Test Run on German Motorways (March 2009)

sensors are used to determine the distance in longitudinal direction and the lateral offset to the leading vehicle. The vehicle-vehicle-communication transfers necessary vehicle data from all platoon members, which are required for the ACC to realize the target distance of 10 meters. In all trucks, a target acceleration interface is implemented, which automatically calculates the drive-train and the management of the different brakes in the vehicles. The acceleration is either calculated autonomously for each vehicle or deduced from the data which is transferred via the vehicle-to-vehicle-communication. Every experimental vehicle is attached with cameras which are able to identify the traffic lane, thus determining the position of every truck within the traffic lane. An electronically accessible steering system has been integrated additionally. A steering actuator on the base of an electric motor delivers the necessary steering moment for the automated guidance of the trucks [FMH08]. With the help of the Driver Information System, the truck driver plans his route, selects economic platoon participants as well as initialises and respectively confirms the platoon manoeuvres in order to build and to dissolve the platoon. The platoon organisation is realised on a central server with a data-miningalgorithm under consideration of economic aspects [MHS08]. For this task, the DIS has to send the time schedule, route plan and GPS position of the truck with a vehicle-infrastructure-communication via G3 to the central server.

4 Driver Information System (DIS) The DIS is not only the HMI of the platoon system, it also acts as information manager between the truck driver and the ADAS as well as the central server. Via touch screen, the user input of the truck driver is processed by the DIS, and in dependency of the user input the data is given to the technical systems. Vice versa, the DIS processes the data of the technical systems and informs the driver in all platoon phases about the current platoon situation (Figure 4). During the platoon organization, the driver has to enter the DIS settings, planning his route and time schedule and choosing a suitable platoon from an offer list. This

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Fig. 4 The DIS as the Information Manager [Fri08]

data is preprocessed by the DIS and sent to the central server via 3G. The most important data for the central server is the route information of each truck as well as the platoons chosen by the driver. Additionally, the DIS gets a list with suitable platoons sorted by economic criteria from the central server. Furthermore, the central server immediately informs the DIS about any alterations within the planned platoons. Two further tasks of the DIS are the navigation to the planned meeting points/destinations and the warning of danger areas such as road constructions, bridges, motorway junctions and tunnels. The platoons have to be dissolved manually by the truck driver ahead of these areas. During the platoon drive, the drivers have to initiate and respectively confirm all platoon maneuvers (connecting, dissolving and lane change). The control signals from the driver to the ADAS are sent through CAN-Bus. The DIS permanently informs the driver about the actual state of the platoon. This applies to the manual as well as to the automated platoon drive.

4.1 Requirements Specification for the Software Architecture In the following, the requirements of the DIS software architecture are indicated with the letter “R” (for requirement) and a consecutive number. Modularity, Extensibility, Flexibility and Configurability (R1) The usual demands made to software architectures for an HMI are modularity, extensibility, flexibility and configurability. In this context, modularity means that certain functionalities are combined in well-defined software components. These

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components have to be self-explanatory and exchangeable. The extensibility of the software architecture has to be as flexible as possible in order to allow additional functions subsequently and easily. The whole software system – particularly the graphical design of the HMI – is fast to configure and change with a configuration file to avoid alterations of the source code. Robustness and Reliability (R2) The automobile sector has especially high demands on technical systems in vehicles concerning robustness and reliability [WT05]. Therefore, the software architecture has to ensure the robustness and reliability through adequate safety mechanisms and functions. Information and Data Management (R3) The DIS as an information manager has to handle and process a large quantity of data as well as the transmitting of processed data to the corresponding technical systems. Therefore, the system architecture has to support an internal communication, in order to support the different software components with the required data. Furthermore, the software architecture has to support different functions to manage the data in the internal memory as well as in data bases. External Communication with System Environment (R4) The DIS is capable to communicate with their system environment. Accordingly, an external communication with appropriate communication interfaces has been implemented. Furthermore, the ease extensibility (also for other technologies e. g. WLAN, Flexray) has to be guaranteed by the software architecture (cf. requirement R1). Interaction with the User (R5) The DIS is the HMI of the platoon system. The relevant input is made by the driver on the user interface (e. g. touch screens). The system architecture handles the user input through the user interface and gives the effects of the users’ manipulation back to the user interface so that the user can assess the system state. Table 1 Requirements for the Software Architecture R1 R2 R3 R4 R5

Modularity, Extensibility, Flexibility and Configurability Robustness and Reliability Information and Data Management External Communication with System Environment Interaction with the User

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4.2 Design of the Software Architecture The software architecture comprises software components, the externally visible properties of those components and the relationships between them [Bal05]. The choice of an architecture pattern, as the base for the software architecture, is a fundamental one and also one of the first decisions to make [BMR98]. The decision for an architecture pattern was made on the basis of the defined requirements (chapter 4.1). The claimed interaction with the user (R5) classifies the DIS as an Interactive System. The DIS has to process all the incoming data (R3) and has to exchange this data with the system environment, thereby relying on the external communication interfaces (R4). Compared to the required aspects of modularity, extensibility, flexibility and configurability (R1), the DIS can be regarded as an Adaptive System, which must run robust and reliable in the car (R2). Consequently, the defined requirements can be summarized as the claim for a modular, extensible, flexible and configurable HMI, whereby especially the aspect of extensibility accounts for the modularity and flexibility of the software architecture. The denotation of the DIS as a HMI makes the importance of a structured human-machine interaction obvious, so finally the Model-View-Controller architecture was chosen for the development of the DIS as an Interactive System [BMR98]. 4.2.1 Model-View-Controller (MVC) architecture The component concept of the DIS is build on the basis of the Model-ViewController (MVC) pattern introduced before. In some cases, the functionality of the software components is slightly different from the ones in the MVC literature. The architecture – following the MVC architecture pattern – is based on three core components, a Controller-, a View- and a Model-Component [Bud02]. The Model-component serves as a collection of abstract data structures which administrates the data. Unlike the MVC pattern, where the Model-component is responsible for manipulating the dates, the Model-component in the adapted MVC pattern has solely administrative tasks. These tasks are primarily the access control and thread backup. The other components (Controller and View) are unknown to the Model-component. Along the lines of the general MVC pattern, the View-component displays the information provided by the Model-component. Data manipulation or other alterations by user interaction are communicated to the View-component by the Controllercomponent. The View-component knows the Model- as well as the Controllercomponent in order to readout data about user interaction. Simultaneously, it administrates the various GUI-components. These comprise graphical elements, which visualize selected data from the Model-component for the user. The logic and functionality of the software is located in the Controllercomponent. This component evaluates user interactions and manipulates data. In addition, the Controller informs the View-component about data manipulation or special requests of the user leading to a new or modified notation of

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a GUI-component (e. g. change of notation, deactivation of functionality). The Controller-component also administrates Logic- and Communication-components. The Controller extends the program logic on the one hand, and on the other hand enables the possibility of external communication (e. g. CAN, 3G).

4.3 Implementation of the Software-Architecture Figure 5 shows a simplified UML class diagram of the DIS software architecture. The components Model, View, Controller, Logic, GUI, Comm and ModelData are realized through several classes. To avoid complexity, a well arranged overview is given in the figure, by excluding the attributes, methods and multiplicities of the classes. Basically, the software architecture is divided into core components, abstract extension-components, concrete extension-components and auxiliary components. This concept enables - next to the chosen software architecture - a high flexibility concerning the extensibility with program logics, data models and design elements. In addition, dynamic libraries are used to uncouple the core source code of the concrete extension-components from the main program of the DIS. Also, a static library for the DIS is used, where all necessary definitions (e. g. classes, auxiliary classes) for the implementation of the software system are included. In the following, the realization of the different software components will be explained. Core Components The core components inherit from interface definitions (IModel, IView and IController), so that some functionalities are concealed to the extension- and auxiliary

Fig. 5 UML class diagram of the DIS software architecture [Fri08]

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components and access is only allowed to designated functionalities. The overall functionality (according to the visibility of the methods of the classes) is only known to the core components among themselves and can only be used by them. The internal communication between the Controller- and the View-components are done with an interprocess communication. Asynchrony, messages are saved into message queues until the recipient retrieves them. Both core components have their own message queue. The DIS has to handle different threads during the runtime. In such a multithreadapplication, thread safety is very important. A piece of software code is thread-safe if it functions correctly during simultaneous execution by multiple threads [Bud02]. In the software architecture, the message queues as well as the modelcomponents are thread-safe implemented. For this purpose the synchronization mechanism CSingleLock and CMultiLock from the Microsoft Foundation Classes (MFC) of Microsoft was used. A lock is used to ensure that only one resource respectively one critical section in a software component can be used by a thread. The other threads have to wait – due to the closed locks – until the critical sections are opened for the next thread. Abstract Extension-Components An abstract extension-component is an abstract class, i. e. a class not completely implemented concerning the method definitions. In an abstract class some methods are defined, other methods – so called “pure virtual functions” – are not declared. More precisely this means that from an abstract class no object can be derived. In the DIS software architecture the Model-component is extended with ModelDatacomponents, to add, remove or read out data. The View is extended with the abstract class CGui. The Controller is extended with two abstract extension-components: The class CComm for the external communication (e. g. UMTS, CAN) and the class CLogic for the core functionality of the software system. The class CComm also has a message queue, which was described in the previous section. All abstract classes have to be extended with concrete classes. Concrete Extension-Components Concrete extension-components are concrete classes which extend the software system through logic functionalities (Logic-components: e. g. the functionality to organize and operate truck platoons), data (ModelData-components: e. g. to manage the convoy state) and views (GUI-components: the different elements for the graphical user interface, for instance pictures, buttons, labels etc.). To reach this goal, the concrete extension-components inherit from the abstract extensions components and complete the non-defined methods of the abstract classes. The abstract extension-components provide a quantity of code for the internal communication and processing within the software system, so that during the development of a concrete extension component, the relevant part of the component can be focused. Moreover, this procedure secures that every concrete extension component makes

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the required interfaces available. Most of the concrete extension-components are implemented in Dynamic Linked Libraries. Auxiliary Components The DIS software architecture provides a set of auxiliary components in a static library. Static libraries, unlike dynamic ones, are not linked with the program during runtime of the application, but already during compilation. As shown in figure 3, the static library includes the interfaces of the core components (IModel, IView, IController), the abstract extension components (CLogic, CComm, CGui, CModelData) and some auxiliary classes, for instance to support Double-Buffering (CMemDC, CDC), thread safety (CMessageQueue), manipulating text strings (CString) and timer functions (CTimer). Configurability of the Software System with XML-Files The design of the software architecture intends the configuration of the software system with a XML configuration file. In this XML-file the configuration of the extension-components, the behavior of the software systems by user interaction, the functionality of the core components and the design of the graphical user interface is specified.

4.4 Trial Implementation The V-Model has been subject of the development process of the KONVOI-System. The KONVOI-System had been developed according to final specification. Internal and external reviews have been implemented during the development to evaluate parts of the KONVOI-System, such as the software-architecture of the DIS. In the very beginning of the development process a preliminary hazard analysis had been taken place. A variety of systems test were carried out during the project to prove the robustness and reliability of the system. Additionally thread safety had been implemented. Finally, the KONVOI-system had to meet the IEC 61508 standard. The IEC 61508 “Functional safety of electrical/electronic/programmable electronic safety-related systems” is an international standard, which include a Failure Mode and Effects Analysis (FMEA) and a Fault Tree Analysis (FTA). The development of the KONVOI-System is accompanied by a trial implementation in four steps. First, the whole platoon system and all of its components are completely implemented into a truck driving simulator at the RWTH Aachen University. An integrative part of the simulator is a software- (sil) and hardware-in-the-loop (hil) development environment. All test procedures (unit, integration, system and acceptance tests) as well as the optimization of the different system components were carried out in the simulator. This helps to increase the speed and quality assurance during the development. In addition to the technical development and testing the second step includes another work package: the examination of both the acceptance

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of the ADAS and the arising stress of the truck drivers. In a third step, the trial implementation on test tracks has taken place and the trial implementation on motorways has taken place in the second half of the project. After this, an evaluation phase on motorways in real traffic with all four experimental trucks followed to confirm the effects determined by simulation and test drives. For the system tests the DIS was first implemented into a truck driving simulator which was used as a test environment for the module, integration and system tests. The tests with 30 truck drivers from the freight forwarding companies of the project consortium showed a consistently positive assessment and proved the functionality as well as the reliability of the software system. After a sufficient testing of the ADAS in the driving simulator, the platoon system was tested with experimental vehicles on test tracks. Already thousands of miles were driven with the platoon system on test tracks during the trial runs. The development team worked for more than 60 days on test tracks and proved successfully that the platoon system runs absolutely safe and free from errors. After the trial runs on test tracks were successfully finished in December 2008 the test runs on German motorways started in March 2009 (Figure 3). The test runs were completely realized on public motorways to measure the effects of the platoon system on the traffic flow, the economic efficiency and the acceptance of the truck drivers.

5 Conclusion In this paper, an introduction into electronically coupled truck platoons with Advanced Driver Assistance Systems was given. Furthermore, the requirements for the software architecture of the Driver Information System as the HMI and information manager of the platoon system were derived and transferred into a software design. Finally, the implementation of the architecture was described in detail. The presented software architecture fulfills all the fundamental demands for the development of interactive software systems in the automotive sector. Hereby, the architecture ensures the user interaction between the driver and the technical systems as well as the data processing between the different system components in the vehicle. This architecture guarantees a modern, flexible, extensible and easily configurable system, especially for HMI of driver information and assistance systems. Due to its interactive and adaptive characteristics, the presented architecture could be moreover seen as a generic software architecture framework for Driver Information System of platoon systems.

References [Bal05] [BMR98]

H. Balzert. Grundlagen der Informatik. Spektrum Akademischer Verlag, 2005. F. Buschmann, R. Meunier, and H. Rohnert. Pattern-Oriented Software Architecture, A System of Patterns. John Wiley & Sons, Inc., 1998.

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439 F. Budszuhn. Visual C++-Programmierung mit den MFC. Addison-Wesley, 2002. United Nations, Economic, Social Commission for Asia, and the Pacific. Statistical Yearbook for Asia and the Pacific, 2008. A. Friedrichs, P. Meisen, and K. Henning. A Generic Software Architecture for a Driver Information System to Organize and Operate Truck Platoons. In Vortragsveröffentlichung, International Conference on Heavy Vehicles (HHVT2008), Paris, 2008. A. Friedrichs. A Driver Information System for Truck Platoons. Doctoral thesis, ZLW/IMA, RWTH Aachen University, Düsseldorf, 2008. VDI, Reihe 12, Nr. 673. K. Henning and E. Preuschoff (Ed.). Einsatzszenarien für Fahrerassistenzsysteme im Strassengüterverkehr und deren Bewertung, volume 531 of VDI Fortschrittsberichte. VDI Verlag, Düsseldorf, 2003. K. Henning, H. Wallentowitz, and K. Abel. Das Lkw-Konvoisystem aus den Perspektiven Informations-, Fahrzeug- und Automatisierungstechnik. In VDI/VDEGesellschaft Mess und Automatisierungstechnik, editor, Mechatronik 2007 - Innovative Produktentwicklung, pages 133–147. VDI, Düsseldorf, 2007. P. Meisen, K. Henning, and T. Seidl. A Data-Mining Technique for the Planning and Organization of Truck Platoons. In Proceedings of the International Conference on Heavy Vehicles, Paris, 2008. Commision of the European Communities. Europe at a crossroad - The need for sustainable transport, 2003. Manuscript of the European commission. Commission of the European Communities. Keep Europe moving - Sustainable mobility for our continent, 2006. T. Posch, K. Birken, and M. Gerdom. Basiswissen Softwarearchitektur. dPunkt, Heidelberg, 2007. T. Reenskaug. Thing-Model-View-Editor, An example from a planning system, May 1979. E. Savelsberg, editor. Lastenheft für elektronisch gekoppelte Lkw-Konvois, volume 21 of VDI Fortschrittsberichte. VDI Verlag, Düsseldorf, 2005. J. Wietzke and M. Tran. Automotive Embedded Systems. Springer Verlag, Berlin, 2005.

Electronically Coupled Truck Platoons on German Highways Richard Ramakers, Klaus Henning, Stefan Gies, Dirk Abel, Max Haberstroh

Abstract In this paper, a brief introduction of Automated Truck Platoons on Motorways is given. It includes a description of the scenario “platoons organized by the driver”, the system architecture of the platoon system and a description of the Software architecture for a driver information system. The results of the accomplished system and acceptance tests of the platoon system in the truck driving simulator are summarized in this paper. Furthermore it contains an overview about the trial implementations on test tracks and on German motorways. Keywords Truck Platoons · Advanced Driver Assistance Systems · System Tests · Acceptance Tests · Driver Information System

1 Introduction 1.1 Problem Definition Due to the continuous increase of freight transportation in the last years, the maximum road capacity in many European countries is nearly reached. In the year 2003 the European Commision published a manuscript stating that every day 7500 kilometers of the European road system are being blocked by traffic jams.[otEC03] Particularly for Germany, with its centricity within Europe, the continuing traffic increase poses a huge challenge. The integration of the new European member countries is another challenging component for Germany’s national traffic planning in the near future. Environmental pollution, safety risks and a loss in efficiency for the economy are only some of the effects that result from these factors. The concept of building truck platoons with the aid of Advanced Driver Assistance

R. Ramakers (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected] © [2009] IEEE. Reprinted, with permission, from “Tagungsband zur IEEE-Tagung “Systems, Man and Cybernetics”, IEEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_40

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Systems (ADAS) is one possibility to manage this permanent increase of freight transportation [HE03]. Without an efficient traffic system today’s already bad traffic situation is preassigned to collapse. The importance of this fact was emphasized by studies of the European Commision in 2006. Between 1995 and 2005 a growth rate of 28 % in road freight transport was detected. Furthermore, an increase of 41 % in road transportation is expected until the year 2020 [otEC06].

1.2 Objective The development and evaluation of the practical use of truck platoons is the objective of the project KONVOI. With the assistance of virtual and practical driving tests, by using experimental vehicles and a truck driving simulator, the consequences and effects on the human, the organization and the technology will be analysed [HWA07].

1.3 Proceeding Within the project KONVOI, four experimental vehicles were equipped with the required automation-, information- and automotive-technology to build truck platoons. After sufficient testing of the Advanced Driver Assistance System (ADAS) for the proof of the system security as well as clarifying insurance-legal aspects, the experimental vehicles were subsequently tested on motorways with traffic. During the test runs on motorways, the data was collected to analyse the traffic flow, road safety, economic efficiency and environmental effects as well as the acceptance and stress of the truck drivers.

2 The Scenario “Platoons Organized by the Driver” The Project KONVOI uses the scenario “platoons organized by the driver” (Figure 1) which was evaluated in the Project “Operation-Scenarios for advanced driving assistance systems in freight transportation and their validation” (EFAS). Within the Project EFAS other scenarios were “centrally organised platoons” and “platoons on a special truck lane”. These three scenarios were evaluated in consideration of the categories human (stress, acceptance), environment (fuel consumption, noxious emission) and traffic (temporal distance, velocity, acceleration, collision time, journey time, traffic flow and volume). Additionally, legal aspects were considered. During the evaluation of the scenarios it became obvious that the first scenario with possible necessary modifications offers the best possibilities for a medium-term implementation [HE03]. A detailed description of the first scenario will be given below. This is the basis for the intended research and development processes.

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Fig. 1 Scenario 1 – “Driver Organized Truck Platoons”[HE03]

In the scenario “platoons organized by the driver”, the driver has the permanent control of the autonomous driving procedures. The creation of a platoon depends on the initiating driver who delivers the necessary data about time and place of meeting, the destination, as well as the required truck telemetric data (loading weight, engine power etc.) with the help of a Driver Information System (DIS). Because no schedules have to be generated like they have to be in rail traffic, the high flexibility of truck transportation is not lost. After activating the ADAS, it automatically shows a selection of the best matching platoons, informs the driver and prepares the participation to the selected platoon. It then helps the truck driver to plan the route and guides the driver to the meeting point. The driver has to initialise and respectively confirm all of the platoon manoeuvres in order to build and to dissolve the platoon. Accordingly, the DIS is the human machine interface (HMI) of the platoon system [FMH08]. As soon as the final position in the platoon is reached, an automated longitudinal guidance with a target distance of 10 meters between the trucks and a lateral guidance is possible. The target distance of 10 meters between the trucks was chosen because of several reasons. On one hand, the short distance prevents most drivers from driving between the platoons. On the other hand, the short distance causes slipstream effects, which can lead to a reduced fuel consumption of about 10 %. The truck platoons can operate on today’s existing motorways without extending the infrastructure [HE03]. Since road markings are needed for the lateral guidance,

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the platoon system is exclusively developed for the use on motorways. Because of a limitation for most trucks at 50 mph the speed of the trucks on motorways differs only slightly, Therefore the truck platoons are operated at a speed between 37 and 50 mph. This speed can be managed safely at 10 meters distance by the KONVOI-System.

3 The Platoon System In order to realize different platoon sizes, four experimental vehicles are equipped with the required automation-, information- and automotive-technology. The main work packages for the implementation of the system architecture in the experimental vehicles are the actuators (steering and power train), the sensors (object registration in close-up and far range, recognition of lane), the vehicle-vehicle-communication (WLAN), the automation unit (coordination of the different vehicle states), the control unit (adaptive cruise control and automatic guidance) and the driver information system (human-machine interface, organization assistant, GPS and 3G) [HWA07]. In general, the KONVOI system consists of two main components: the Advanced Driver Assistance System and the Driver Information System (Figure 2). The longitudinal guidance of the ADAS is based on a LIDAR distance sensor, a CMOS-Camera and a RADAR-sensor. The distance sensors are used to determine

Fig. 2 The Platoon System[Fri08]


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the distance in longitudinal direction and the lateral offset to the leading vehicle. The vehicle-vehicle-communication transfers necessary vehicle data from all platoon members, which are required for the ACC to realise the target distance of 10 meters. In all trucks a target acceleration interface is implemented, which automatically calculates the drive-train and the management of the different brakes in the vehicles. The acceleration is either calculated autonomously for each vehicle or deduced from the data which is transferred via the vehicle-to-vehicle-communication. The lateral guidance is exclusively geared to the road marking. Every experimental vehicle was attached with cameras which are able to identify the traffic lane. Therefore they can determine the position of every truck within the traffic lane. An electronically accessable steering system was integrated additionally. The adjustment of the postion is being carried out by an electronic intervention into the steering system. A steering actuator on the base of an electric motor delivers the necessary steering moment for the automated guidance of the trucks [FMH08].

3.1 Driver Information System (DIS) 3.1.1 Overview – The DIS as the Information Manager In this section the data processing concept of the DIS will be explained. The DIS is not only the HMI of the platoon system, but it is also the information manager between the truck driver and the ADAS as well as the central server. Via touch screen and/or buttons the user’s input of the truck driver is processed by the DIS. In dependency of the user’s input, the data is given to the technical systems. Vice versa the DIS processes the data of the technical systems and informs the driver in all platoon phases about the current platoon situation. During the platoon organization, the driver has to enter the DIS settings, has to plan his route and time schedule and has to choose a suitable platoon from an offer list. This data is preprocessed by the DIS and sent via 3G to the central server. The most important data for the central server are the route information of each truck as well as the platoons chosen by the driver. The DIS also gets a list with suitable platoons sorted by economic criteria from the central server. Furthermore, the central server immediately informs the DIS about any alterations within the planned platoons. Two further tasks of the DIS are the navigation to the planned meeting points/ destinations and the information of areas where the platoons have to be dissolved such as road constructions, bridges, motorway junctions and tunnels. During the platoon drive, the drivers have to initiate and respectively confirm all platoon maneuvers (connecting, dissolving and lane change). The control signals are sent through CAN-Bus from the driver to the ADAS. The DIS permanently informs the driver about the actual state of the platoon. This applies to the manual as well as to the automated platoon drive.

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4 Trial Implementation in Four Steps 4.1 Process of the Trial Implementation The development of the KONVOI-System is accompanied by a trial implementation in four steps. First, the whole platoon system and all of its components are completely implemented into a truck driving simulator at the RWTH Aachen University. All test procedures (unit, integration, system and acceptance tests) as well as the optimization of the different system components were carried out in the simulator. In addition to the technical development and testing the second step includes another work package: the examination of both the acceptance of the ADAS and the arising stress of the truck drivers. In a third step, the trial implementation on test tracks has taken place and the trial implementation on motorways has taken place in the second half of the project. After this, an evaluation phase on motorways in real traffic with all four experimental trucks followed to confirm the effects determined by simulation and test drives.

4.2 Results of the System Tests (Step 1) For the system tests the DIS was first implemented into a truck driving simulator which was used as a test environment for the module, integration and system tests. The tests with 30 truck drivers from the freight forwarding companies of the project consortium showed a consistently positive assessment and proved the functionality as well as the reliability of the software system. This showed that the system was ready to be integrated in the test vehicles [Fri08]. The first test drives with two electronically coupled trucks on a closed motorway in the Netherlands took place in November 2007. These test drives were the first of a range of system tests to ensure the successful operation of the electronic system. Until today in the project KONVOI thousands of miles were driven on test runs.

4.3 Results of the Acceptance Tests (step 2) 4.3.1 Process of the acceptance investigation The acceptance of the truck drivers, freight forwarders and all other traffic participants plays an important role for the platoon system’s success. Therefore their attitude towards the platoon system is surveyed throughout the whole system development. These surveys allow a forecast of the success or failure of a possible market introduction of the system. Furthermore they allow adopting the platoon system to the specific needs of its possible users. The acceptance surveys are divided into three phases, the pre-acceptance, acceptance and post-acceptance phase (Figure 3). Through all three phases the acceptance of the three different groups (truck drivers, freight forwarders and other traffic


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Fig. 3 Process of the acceptance investigation [HGI08]

participants) is surveyed with a variety of socio-scientific methods. All three phases need to be evaluated positively for the platoon system to be accepted. In case this is not possible, only a part-acceptance can be assessed [Kol96]. In the pre-acceptance phase the results of the acceptance investigations in the project “preliminaries for the practical operation of driver assistance systems for freight transport” (MFG), a precedent project of KONVOI, were analysed. In addition, group discussions between truck drivers and freight forwarders were held and the opinions of all three groups were captured by using questionnaires. In the acceptance phase, the truck drivers and other traffic participants had the chance to experience the platoon system in the driving simulator before they were interviewed. Afterwards these interviews were transcribed and analysed with the method of the qualitative content analysis [May00]. Furthermore, a valency analysis was carried out. The acceptance of the freight forwarders was surveyed by expert interviews via telephone. In the post-acceptance phase the acceptance of the truck drivers, freight forwarders and other traffic participants was collected after they had been given the chance to experience the platoon system on a motorway. In the following section the results of the acceptance investigations of the preacceptance phase, the acceptance phase and the post-acceptance will be described. 4.3.2 Results of the pre-acceptance phase In the pre-acceptance phase the acceptance of the truck drivers, freight forwarders and other traffic participants was surveyed by the usage of group discussions and questionnaires. The group discussions were recorded on videotape and transcribed afterwards. The collected data were analysed then using a qualitative content analysis and a valency analysis. In addition, the test persons were asked to fill in a

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questionnaire. The questionnaire included questions about the socio-demographic background of the subjects as well as a number of statements about the KONVOI system. The subjects were asked to give their opinion about the statement by ticking one of five possible answers (completely applicable, applicable, partially applicable, less applicable and not applicable). The results of the group discussions showed that the truck drivers were very sceptic about the benefit of the platoon system. Especially the additional stress caused by the platoon system and the organisational feasibility were important points of critique from the truck drivers. The questionnaire showed similar results, however it was slightly less negative. The results of the group discussions with the freight forwarders showed a much higher acceptance. The platoon system is a desirable innovation for the freight forwarders, providing the predicted saving of fuel is correct, the freight forwarders can hope to reduce their fuel costs up to 10 %. This and the possibility that the truck drivers in the automatic following trucks might do additional work, such as completing freight documents etc. are the most important benefits for the freight forwarders. The results of the questionnaire show a higher acceptance of the platoon system by the freight forwarders than by the truck drivers. Again, the reduction of the costs for fuel, the possibility to use a part of the driving time as break time and the higher safety through the platoon system are the most important arguments for the freight forwarders. The third group, the other traffic participants, did not take part in the group discussions. Thus only results from the questionnaire are available for this group. The results show that the other traffic participants are rather undecided about the platoon system, similar to the truck drivers. However there are slightly positive tendencies. Especially the predicted higher safety and the relief of the motorways are strong arguments for the group of other traffic participants. 4.3.3 Results of the acceptance phase Till this day the acceptance of the truck drivers, other traffic participants and the freight forwarders has been tested. The attitude of the truck drivers towards the platoon system in the acceptance phase was collected by the means of a standardised interview, following a test in the driving simulator. In this test run the truck drivers had the chance to try all possible convoy maneuvers and to experience the platoon system as the driver of the leading or a following truck. The standardised interview was transcribed and analysed with the method of qualitative content analysis. Similar to the pre-acceptance phase the collected data were also analysed with a valency analysis. The results show that the attitude towards the platoon system in the acceptance phase was much more positive than it was in the pre-acceptance phase. In the pre-acceptance phase only 15.98 % of all answers showed a positive attitude towards the platoon system. In the acceptance phase there were 54.04 % positive answers. Accordingly, the positive attitude of the truck drivers has been rising during the acceptance process.


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The attitude of the freight forwarders in the acceptance phase was evaluated through expert interviews. Executive employees of forwarding companies with many years of professional experience were questioned as experts. The interviews were held and recorded via telephone, afterwards they were analysed with the method of the qualitative content analysis. Again, the experts think the biggest benefits are the decreased fuel consumption, the increased traffic flow and the enhanced options for cooperations between different forwarding companies. So far it can be said, that the attitude of the freight forwarders was increased during the acceptance process. The attitude of the other motorway users has additionally been surveyed. The test design was similar to the one of the truck drivers. The other motorway users got the chance to experience the platoon system in a driving simulator and were interviewed afterwards. The reasons for the increase of the acceptance of the truck drivers and freight forwarders are the adaptation of the platoon system to the needs of the groups considered (truck drivers, freight forwarders and other motorway users) as well as the possibility for the subjects to get a deeper insight into the platoon system through the implementation of the system into the driving simulator. 4.3.4 Trial implementation on test tracks and motorways and the evaluation phase on motorways in real traffic (step 3 and 4) After a sufficient testing of the ADAS in the driving simulator, the platoon system was tested with experimental vehicles on test tracks. Therefore four experimental vehicles were equipped with the required automation-, information- and automotivetechnology. Already thousands of miles were driven with the platoon system on test tracks during the trial runs. The development team worked for more than 60 days on test tracks and proved successfully that the platoon system runs absolutely safe and free from errors. During the test runs a number of professional truck drivers were trained on the platoon system to enable them to drive the platoon system on German motorways later on. This was necessary to ensure a total safe and smooth operation on motorways. After the trial runs on test tracks were successfully finished in December 2008 the test runs on German motorways started in March 2009 (Figure 4). The test runs were completely realized on public motorways to measure the effects of the platoon system on the traffic flow, the economic efficiency and the acceptance of the truck drivers. The trial runs were realized in two phases. In the first phase a number of platoon drives were completed with the development engineers as drivers to show the German government that the platoon system even in its prototypical state is in no case a threat to the road safety. This first phase of test runs was accompanied by a police car and an escort vehicle. Due to these circumstances no data could have been collected to measure the effects of the platoon system on the traffic flow and on the acceptance of the truck drivers.

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Fig. 4 Test run on German motorways, March 2009

In a second phase the trial runs were continued without an accompanying escort vehicle only with a civil police car. In this phase it was possible to collect the needed data for the impact analysis of the platoon system. These trial runs took place from March to May 2009 and the current findings and results will be presented in the lecture within the IEEE International conference on Systems, Man and Cybernetics in October 2009. The final evaluation phase demonstrated that the determined effects in simulation and test drives (decreasing fuel consumption, increasing safety and traffic flow) can be realized.

5 Conclusion The concept of creating “trains on road” (truck platoons) supported by Advanced Driver Assistance Systems is one possibility to manage the permanent increase of freight transportation and the utilisation of its capacities. An electronic coupling of trucks will relieve the truck driver and therefore increase safety. Consequently, the capacity of the roads will be used more efficiently due to the short gaps between the trucks. An optimization of traffic flow and a reduction of fuel consumption caused by slip stream driving can be expected [Sav05]. In the project KONVOI a trial implementation in virtual and real test runs is realized which shows the benefits of the ADAS in freight transportation. Further-


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more, the project includes an impact analysis of vehicle platoons which considers all aspects with respect to the human, the organization and the technology [HE03]. The results show that the use of ADAS can contribute to the solution of a number of problems concerning road traffic. By using an automatic longitudinal and lateral guidance road safety and traffic flow can be increased, which leads to a more effective use of existing resources. However, a number of obstacles need to be overcome before an ADAS like the KONVOI-System can be introduced into the market. The current German and European law limits the use of fully automatic guidance systems and in the society there is no general agreement to allowing such systems or not. According to these factors„ the introduction of a platooning system on the market in Germany will probably take 10 to 20 years. At the end of the project KONVOI it became clear, that several additions such as fatigue detection systems, road sign detection systems or the ability to stop and start again without decoupling need to be implemented into the KONVOI System. In addition to that the vehicle-to-vehicle and vehicle-to-infrastructure communication needs further advancement to incorporate truck platoons in today’s road traffic and the highly sensible issue of data protection is not solved, yet.

References [FMH08] A. Friedrichs, P. Meisen, and K. Henning. A Generic Software Architec-ture for a Driver Information System to Organize and Operate Truck Platoons. In Vortragsveröffentlichung, International Conference on Heavy Vehicles (HHVT2008), Paris, May 2008. [Fri08] A. Friedrichs. A Driver Information System for Truck Platoons. PhD thesis, ZLW/IMA, RWTH Aachen University, 2008. [HE03] K. Henning and (Ed.) E. Preuschoff. Einsatzszenarien für Fahrerassistenzsysteme im Straßengüterverkehr und deren Bewertung. Number 531 in 12. VDI Verlag, Düsseldorf, 2003. [HGI08] M. Haberstroh, A. Gramatke, and I. Isenhardt. Introducing Automated Truck Platoons on Motorways. In Proceedings of the International Congress for Transport Research, Greece, Athen, 2008. [HWA07] K. Henning, H. Wallentowitz, and D. Abel. Das Lkw-Konvoisystem aus den Perspektiven Informations-, Fahrzeug- und Automatisierungstechnik. In Mechatronik 2007 Innovative Produktentwicklung, pages 133–147. VDI Verlag, VDI/VDE-Gesellschaft Mess- und Automatisierungstechnik, Düsseldorf, 2007. [Kol96] T. Kollmann. Die Akzeptanz technologischer Innovationen - eine absatztheoretische Fundierung am Beispiel von Multimedia-Systemen. Forschungsbericht zum Marketing Nr. 7, Universität Trier, Trier, 1996. [May00] Ph. Mayring. Qualitative Inhaltsanalyse. Grundlagen und Techniken. Deutscher Studien Verlag, Weinheim, 2000. [otEC03] Commision of the European Communities. Europe at a crossroad The need for sustainable transport. Manuscript of the European commission, 2003. [otEC06] Commission of the European Communities. Keep Europe moving - Sustainable mobility for our continent. Mid-term review of the euro-pean commission’s 2001 transport white paper, Brussels, 2006. [Sav05] E. Savelsberg, editor. Lastenheft für elektronisch gekoppelte Lkw-Konvois. Number 21 in 22. VDI Verlag, Düsseldorf, 2005.

Determination of the Order of Electronically Coupled Trucks on German Motorways Christian Tummel, Ralph Kunze, Klaus Henning

Abstract One opportunity to manage the increase of freight transportation and to optimize utilization of motorway capacities is the concept of truck platoons. With the aid of Advanced Driver Assistance Systems, trucks are electronically coupled keeping very short gaps (approx. 10 meters) to form truck platoons on motorways. This contributes to optimization of traffic flow and reduction of fuel consumption advantaged by slipstream driving. In this paper, a brief introduction into these truck platoons is given as well as a short overview about the elements of the automation-, information- and automotive-technology of the experimental trucks. The paper focuses on the determination of the order of the electronically coupled trucks, which is essential to organize and operate these platoons. The order is necessary for the communication between trucks in order to receive the correct information via vehiclevehicle-communication. An algorithm for the determination of the order of vehicles on motorways based on GPS-data is derived, which finally has been applied on test drives. Keywords Truck Platoons·Electronically Coupled Trucks·Determination of Order· Advanced Driver Assistance Systems · GPS · Vehicle-Vehicle-Communication

1 Introduction 1.1 Problem Definition The continuing traffic increase in Europe during the last years poses a huge challenge, especially for transit countries such as Germany. Due to the increase of freight transportation, the maximum road capacity in several countries worldwide is nearly reached. In some countries in Asia and the Pacific, the road density C. Tummel (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected]

© [2009] IEEE. Reprinted, with permission, from “2009 2nd International Conference on Power Electronics and Intelligent Transportation System (PEITS)”, IEEE, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_41

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increased up to 100% between 1990 and 2008. More than half of the Asian and Pacific countries had to face an increase of over 20% in that period of time [Nat08]. In Europe a growth rate of 35% in road freight transport was detected between 1995 and 2004. Furthermore, an increase of over 55% in road transportation is expected between the years 2000 and 2020 [otEC06]. In the year 2003, the European Commission stated that every day 7.500 kilometers of the European road system are being blocked by traffic jams [otEC03]. Additionally, the integration of the new European member countries in combination with German’s centricity within Europe provides another challenging component for Germany’s national traffic planning. Environmental pollution, safety risks and a loss in efficiency for the economy are only some of the effects that result from these factors. Similar problems are known and discussed worldwide.

1.2 The Approach One possibility to meet the rising transport volume on roads is the modal shift to other types of transportation (e.g. rail, shipping). Another opportunity lies in the optimization of the road-side traffic flow by driving assistance systems. Since the 90s, Advanced Driver Assistance Systems (ADAS) for trucks have been on offer, including pre-adjustment of speed and distance to the front vehicle. The combination of an Adaptive Cruise Control (ACC) together with an Automatic Guidance (AG) leads to autonomous driving. Here, a precondition is a computerized engineand brakes-management in connection with an automated transmission. The difference between platooning and autonomous driving makes the necessity of a leading vehicle. Following trucks can go far distances without any manual engagement by the driver as long as another ahead-driving vehicle exists. Nevertheless, each truck must be assigned with a truck driver at all times due to legal rules and regulations. Within platoons, smaller distances between the vehicles (up to 10 meters) can be realized. These truck platoons contribute to an optimization of traffic flow of up to 9% and a reduction of fuel consumption of up to 10% due to slipstream driving [Sav05].

1.3 Objective The development and evaluation of the practical use of truck platoons is the objective of the project KONVOI, which was funded by German’s Federal Ministry of Economics and Technology. The Project KONVOI is an interdisciplinary research project with partners of the RWTH Aachen University, industry and public institutions, which ended after a duration of 49 months at 05/31/09. With the assistance of virtual and practical driving tests, by using experimental vehicles and a truck driving simulator, the consequences and effects on the human, the organization and the technology have been analyzed [KH07].

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2 The Scenario “Driver Organized Truck Platoons” The Project KONVOI is based on the scenario “Driver Organized Truck Platoons” (Figure 1) which was developed in the Project “Operation-Scenarios for Advanced Driving Assistance Systems in Freight Transportation and Their Validation” (EFAS) [KH03]. In the scenario “Driver Organized Truck Platoons”, the platoons can operate on today’s existing motorways without extending the infrastructure and the driver has the permanent control of the autonomous driving procedures [KH03]. The creation of a platoon depends on the initiating driver who delivers the necessary data about time and place of meeting, the destination, as well as the required truck telemetric data (loading weight, engine power etc.) with the help of a Driver Information System (DIS). Because no schedules have to be generated like they have to be in rail traffic, the high flexibility of truck transportation is not lost. After activating the ADAS, it automatically shows a selection of the best matching platoons, informs the driver and prepares the participation to the selected platoon. The DIS acts as human machine interface (HMI) of the platoon system and helps the truck driver to plan the route and guides the driver to the meeting point [AF08]. The driver has to initialize and respectively confirm all of the platoon maneuvers in order to build and to dissolve the platoon. As soon as the final position in the platoon is reached, an automated longitudinal guidance with a target distance of 10 meters between the trucks and a lateral guidance is possible. On one hand, this target distance was chosen because the short distance prevents most drivers from driving between the

Fig. 1 Scenario 1 - “Driver Organized Truck Platoons” [KH03]

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platoons. On the other hand, the short distance causes slipstream effects, which can lead to a reduced fuel consumption of about 10%. Since road markings are needed for the lateral guidance, the platoon system is exclusively developed for the use on motorways. Because of a limitation for most trucks at approx. 50 mph, the speed of the trucks on motorways differs only slightly. Therefore, the truck platoons are operated at a speed between 37 and 50 mph. This speed can be managed safely at 10 meters distance by the KONVOI-System.

3 The Platoon System In order to realize different platoon sizes, four experimental vehicles have been equipped with the required automation-, information- and automotive-technology (Figure 2). The main components for the implementation of the system architecture in the experimental vehicles are the actuators (steering and power train), the sensors (object registration in close-up and far range, recognition of lane), the vehiclevehicle-communication (WLAN), the automation unit (coordination of the different vehicle states), the control unit (adaptive cruise control and automatic guidance) and the driver information system (human-machine interface, organization assistant, GPS and 3G) [KH07]. The longitudinal guidance of the ADAS is based on a LIDAR distance sensor, a CMOS-Camera and a RADAR-sensor. The distance sensors are used to determine the distance in longitudinal direction and the lateral offset to the leading vehicle. The vehicle-vehicle-communication transfers necessary vehicle data from all platoon members, which are required for the ACC to realize the target distance of 10 meters. In all trucks, a target acceleration interface is implemented, which automatically calculates the drive-train and the management of the different brakes in the vehicles. The acceleration is either calculated autonomously for each



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Fig. 3 The Platoon System [Fri08]

vehicle or deduced from the data which is transferred via the vehicle-to-vehiclecommunication. Every experimental vehicle is attached with cameras which are able to identify the traffic lane, thus determining the position of every truck within the traffic lane. An electronically accessible steering system has been integrated additionally. A steering actuator on the base of an electric motor delivers the necessary steering moment for the automated guidance of the trucks [AF08]. With the help of the Driver Information System, the truck driver plans his route, selects economic platoon participants as well as initializes and respectively confirms the platoon manoeuvres in order to build and to dissolve the platoon. The platoon organization is realized on a central server with a data-mining-algorithm under consideration of economic aspects [Sei08]. For this task, the DIS has to send the time schedule, route plan and GPS position of the truck with a vehicle-infrastructure-communication via G3 to the central server.

4 Algorithm for the Determination of the Order of Electronically coupled Trucks 4.1 Purpose for the Determination of an Order of Electronically Coupled Trucks As mentioned above, a driver initializes and respectively confirms all platoon maneuvers in order to build and to dissolve the platoon. Within the project KONVOI

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a truck platoon consists of up to four vehicles. Hence the order of these trucks has to be determined before the initialization of a coupling maneuver. To initiate a coupling maneuver, a truck driver, who is driving behind a potential platoon member, has to send a coupling request to the truck in front of him. Therefore the driver of the chasing truck has to activate a request via DIS, which will be sent via vehicle-vehicle-communication to the truck in front of him. Vice versa the conformation or rejection of the coupling request will be sent via vehicle-vehiclecommunication from a leading vehicle to the truck behind, where it is displaced on the DIS. During the coupling procedure a permanent G3-connection between the experimental trucks and the central server is available to transmit the GPS-information of each vehicle to the server. The calculation of the order runs on the central server, which receives its updates of all GPS-data via G3 frequently. Based on these data the current order of the vehicles on the road is being identified. With the help of the calculated order each coupling request can be transmitted to the correct vehicles. Thus, one essential part for the organization of truck platoons is the determination of the order of the trucks. The development of a method for the identification of the current order of vehicles will be shown below.

4.2 Statement of the Problem Figure 4 sketches the current position of four vehicles marked as black and white dots and rectangles. Each vehicle sends its GPS-data frequently to the central server whilst driving. The vehicle presented by black dots approaches the motorway junction from the north and leaves the junction in east direction. The vehicle marked by white dots changes the motorway twice and drives back in the direction it came from. Based on the GPS-data the server should calculate the following order of the vehicles: white rectangle, white dot, black dot and black rectangle. Figure 5 shows the same scenario as Figure 4. Here however, only the GPS-positions are shown based on the data such as date, time, and geographical position.

Fig. 4 A motorway junction with GPS-coordinates of four vehicles


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Fig. 5 GPS-coordinates of several vehicles without the road network

4.3 Definitions & Formalisms Definition 41.1 Space-time-coordinates Be K ∈ 3 a three-dimensional vector for the position and t a timestamp (e. g. 12:34:31-12/24/2008). Furthermore be R ∈ 3 a three-dimensional vector for the direction and v a speed specification (e. g. 50 mph). Than the quadruple pt = K t , t, Rt , vt is called space-time-coordinate. Thus a space-time-coordinate is a description of the condition of a vehicle relating to a three-dimensional Cartesian coordinate system at a specific point in time. The GPS-coordinates of a vehicle can easily be converted into such a system with simple mathematical methods. Definition 41.2 GPS-signatures Be P i a set of space-time-coordinates of the vehicle i. Be pt = K t , t, Rt , vt ∈ P i the space-time-coordinate of the vehicle i at the point in time t. Additionally applies for P i : pt1 ∈ P i , pt2 ∈ P i ∧ pt1 = pt2 ⇒ t1 = t2 . Be further Sti j ,tk = { pt j , . . . , ptk |t j < · · · < tk } the set of tuple of chronologically sorted space-time-coordinates of the vehicle i in the period t j till tk , then s ∈ Sti j ,tk is called GPS-signature of the vehicle i in the period t j till tk . A GPS-signature s ∈ Sti j ,tk with |s| = |P i | < ∞ is called complete, discrete GPS-signature of the vehicle i in the period t j till tk . Be P i a infinite set of space-time-coordinates of the vehicle i in the period t j till tk , so s ∈ Sti j ,tk with |s| = |P i | is called dense GPS-signature of the vehicle i in the period t j till tk . Consequently, a complete discrete GPS-signature of a vehicle for a given period of time sketches a chronology of descriptions of the condition of the vehicle within this period. Thus, a dense GPS-signature of a vehicle sketches the complete route of

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the vehicle within the period of time. So the position of the vehicle to any point in time within the defined period of time is stated by a dense GPS-signature. In practice, the set of available space-time-coordinates is discrete. Nevertheless, for the theoretical approach for the determination of the order of vehicles, the consideration of dense amounts of coordinates is helpful. Based on the definition of the GPS-signatures the definition of the order of vehicles is given. The order of the vehicles is determined on the basis of these signatures only. No further information such as map information or milestones are given. However, before finally defining the order of vehicles the relation “< f ollows ” is introduced. Definition 41.3 Pursuer-relation Be F a set of vehicles and are a, b ∈ F with a = b two different vehicles. Further are sa ∈ Staa ,tk and sb ∈ Stbb ,tk the dense GPS-signatures of the vehicles a and b in the interval ta till tk or rather tb till tk . Furthermore are ptak ∈ P a , ptbk ∈ P b the newest space-time-coordinates in the signature and Rtak , Rtbk the direction vectors of these space-time-coordinates, then applies a < f ollows b if and only if: / sa ∧ Rtak = Rtbk . ptak ∈ sb ∧ ptbk ∈ So vehicle a is following vehicle b, if both vehicles are driving exactly the same direction, and if at the last known point in time tk the position of vehicle a matches with a position of vehicle b, where it had been before, and if at the same time vehicle b has a position, in which vehicle a had never been before. Figure 6 shows the dense GPS-signatures of two vehicles from ta to tk respectively from tb to tk . At tk vehicle A has a position, which vehicle B had before. At the same point in time vehicle B is in a position, in which vehicle A never had / sa , passing of vehicles is explicitly been before. Based on the condition ptbk ∈ excluded. However, ptak ∈ sb ∧ ptbk ∈ sa is feasible. This would mean that the vehicles are driving on a circular route. For the definition of the order of vehicles this scenario is problematic, because the order of vehicles can be named, but not the leading vehicle. For this reason the circular order will be excluded. The relation “< f ollows ” is irreflexive, not transitive and not symmetric, which is very easy to show. The formal definition of the condition < f ollows proved to be not applicable in practice. In practice, no pair of vehicles will be found, which satisfies the condition a < f ollows b. The exact comparison of the dense GPS-signatures of the vehicles require space-time-coordinates for every possible point in time. Because of physical constraints this requirements cannot be met in practice. The vehicles would have to drive exactly the same route. This leads to an idealized definition of “pursuit”. But on the one hand, this circumstance allows no deviation beyond the tolerance of the

Fig. 6 One-dimensional illustration of the dense GPS-signatures of two vehicles


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route of vehicles. And on the other hand an ever existing deviation of the GPS or even interruption of the GPS-signal must be taken in consideration. Hence, at this point the condition “< f ollows ” is loosened: Definition 41.4 Parameterized pursuer-relation Be F a set of vehicles and are a, b ∈ F two different vehicles. Further are sa ∈ Staa ,tk and sb ∈ Stbb ,tk the complete, discrete GPS-signatures of their vehicles in the interval ta till tk or rather tb till tk . Furthermore are ptak = K tak , tk , Rtak , vtak ∈ P a , ptbk ∈ P b the newest space-time-coordinates in the signature and be w a tolerance value for the spatial derivation, α a angular tolerance for the direction vectors and β a limitation of the search circuit to a conical area. Further are E(x, y) the Euclidean distance between x and y and W (R x , R y ) the shortest angle between two direction w,α,β vectors. Then applies α < f ollows b if and only if: 1. ∃ ptbm ∈ sb with E( ptak ,

ptbm )

≤w∧

W (Rtak , K tbm

≤w∧

W (Rtak , K tbm

−

K tak )

β ≤ 2

−

K tak )

β ≤ 2

2. ∧ ¬∃ ptam ∈ sa with E( ptbk ,

ptam )

3. ∧ W (Rtbk , Rtam ) ≤ α w,α,β

This parametrized version of the pursuer relation a < f ollows b applies for two vehicles, if and only if vehicle a is in a region, in which vehicle b had been before (1) and if vehicle b is in a region at the same time, in which vehicle a had not been before (2). Additionally the angle between the direction vectors of both space-timecoordinates may not be higher than α (3). Figure 7 shows the GPS-signatures of two different vehicles. At t5 it is being verified, if space-time-coordinates of the respectively other vehicle can be found in a radius w and a search cone β, which are chronologically older. t5 is the last point in time at which the space-time-coordinates of both vehicles are known. Since the vehicle presented by a rectangle finds a chronologically older coordinate (t4 ) of the vehicle presented by a dot and the vehicle presented by a dot does not find

Fig. 7 Discrete GPS-signatures of two vehicles

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a coordinate of the other vehicle within the search cone, the condition of the rew,α,β stricted pursuer relation a < f ollows b applies, if the pre-condition is met, that the direction vectors of the vehicle presented by a dot at t4 and the vehicle presented by a rectangle at t5 do not exceed an angle α. Finally, the order of electronically coupled vehicles on motorways can be defined based on the formalized parameterized pursuer relation. The fundamental idea for this definition is the intuitive assumption, several vehicles are driving behind each other, if a chain of pair wise driving vehicles can be found. This idea is in accordance with the pursuer relation mentioned above. Definition 41.5 Sequence of vehicles Be F = {a1 , . . . , an } a set of vehicles with |F| = n. Further are w, β two parameters for the spatial tolerance of a conical area, as well as α a tolerance for the comparison of the direction vectors. Then there are vehicles in the set F in the sequence an , an−1 , . . . , a1 , if and only if: w,α,β

w,α,β

w,α,β

a1 < f ollows a2 ∧ a2 < f ollows a3 ∧ · · · ∧ an−1 < f ollows an w,α,β

w,α,β

∧an < f ollows a1 ∧ · · · ∧ an < f ollows an−2 w,α,β

w,α,β

∧an−1 < f ollows a1 ∧ · · · ∧ an−1 < f ollows an−3 ... w,α,β

∧a3 < f ollows a1 Figure 8 shows the GPS-signatures of five different vehicles. The vehicles are driving in the order A, B, C, D, E on the street. The hatched areas are marking the part their drive, where the vehicles have not had to drive necessarily close to each other, to get this order. For example vehicle A could have driven on a different street, than vehicle B. Crucial for the determination of the order of the vehicles is the shared position and the same direction vector of both vehicles at the point in time tk (within the given tolerances). To find way points of leading vehicles within in the tolerance area, hence the definition of the GPS-signature has to be adjusted. Definition 41.6 w-dense GPS-signatures Be sa ∈ Staa ,tk a GPS-signature of the vehicle a. The GPS-signature sa is called w-dense GPS-signature of vehicle a, if pta ∈ sa with pta = ptak applies for all vehicles: ∃ pm ∈ sa with E( pta , pm ) ≤ w, t < m.

Fig. 8 Sequence identification of five vehicles


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Fig. 9 GPS-signatures of two vehicles with irregular dot pitches

So, the spatial distance for chronological sorted space-time-coordinated in the signature is w at the utmost. A w-dense, discrete set of coordinates is “dense” enough to conduct the determination of the order, if the search area is at least w. Figure 9 shows the same scenario as described in Figure 7. However, some space-time-coordinates are missing within the set of coordinates for both vehicles. A determination of the order for these vehicles is not possible anymore, even with the restricted pursuer relation and the same w. In this case the Euclidean distances of the chronological, successive space-time-coordinates of the vehicles are too large. Nevertheless, the way points of both vehicles describe an almost identical route. To w,α,β find a relation a < f ollows b either the range of tolerance w has to be increased or the GPS-signatures “artificially” condensed to obtain w-dense discrete GPS-signatures. An extension of the tolerance interval is not desired, because the opportunity to distinguish between vehicles would decrease. Vehicles which are widely spread over the road net, even driving on different roads, could be taken in consideration. The basic idea of the algorithm to determine the sequence of vehicles, which will be introduced below, is exactly condensing the set of coordinates. w,α,β Furthermore it has to be noted, that the pursuer relations < f ollows and < f ollows are based on GPS-signatures, which are defined by the identical ending time tk . In practice vehicles send their GPS-positions asynchronous to the server. Consequently there will be always a space-time-coordinate of one vehicle, which is chronologically younger than the coordinates of all the other vehicles. Again, there are two ways to apply a pursuer relation. The last shared point in time could be chosen, which is available for all vehicles. However the information about the potential order of the vehicle would be older than the last known point in time. Another opportunity would be a compensation of the time deviation through an estimation of all vehicle positions for the last known points in time. The increase of the density of the GPS-signatures as well as the estimation of future space-time-coordinates can be accomplished with interpolation and extrapolation methods. The consequences of the enrichment of GPS-Signatures with additional inter- or extrapolated spacetime-coordinates will be discussed in chapter 4 part E.

4.4 Determination of the Order After having created a w-dense discrete data basis (GPS-signatures) from the known space-time-coordinates of all vehicles the order of the vehicles has to be determined

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Fig. 10 Two-dimensional determination of the order of four vehicles

on the basis of this data. First of all the algorithm generates a “seeker” or rather reference point R f with the estimated position of the vehicle at the requested point in time for all vehicle a ∈ F. Then for all reference points and every vehicle in w-dense, discrete GPSsignatures of the other vehicles neighboring points will be searched, whose timestamps are older than the timestamps of the reference points and whose Euclidean distance to the reference point is less than the parameterized tolerance w. This is done for every basing point and every vehicle. Additionally no points are issued, which are not in the cone β of the reference point and for which the angle of the direction vector with the direction vector of the reference point exceeds a parameterized angle α (Figure 10). The set Va of vehicles will be extracted out of set Ma , which contains the found neighboring points of the vehicle a ∈ F. Va is the set of vehicles, which are following vehicle a. Algorithm 1 Determining the order of vehicles 1. Be R = an empty order-vector. 2. As long as F = ∅: a. Define the set M for which applies: M = {Vx |x ∈ F ∧ Vx = ∅}. b. If: |M| = 1, abort with R = . c. Else: M = {Va = ∅}. d. Delete from all sets Vx with a = x ∈ F vehicle a: Vx = Vx \a. e. Delete from the vehicle set F the vehicle a: F = F\a. f. Write a at the end of the order: R = R + a. 3. If F = ∅: issue R.


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If the algorithm returns an empty order (2b), no sequence could have been established. Otherwise the returned order vector fulfills all criteria for the order of vehicles defined above because it applies for all vi , vi+1 ∈ R: w,α,β

w,α,β

vi+1 < f ollows vi ∧ ¬∃v j with vi < f ollows v j ∧ j < i. Figure 10 shows the GPS-signatures of four vehicles in a two-dimensional spatial design without the chronological aspect. However, the data points are to sketch a chronological process of the route and thus, in the figure, they are in ascending order from the left to the right. Vehicle A finds way points from the vehicles B and C in its neighborhood w around its current position R A . The direction vectors of vehicles B and C create an angle less than α with the direction vector of the current position of vehicle A. Vehicle A therefore found the “tracks” of the leading vehicles B and C and this results in the set V A = {B, C}. The reference point R B of vehicle B finds the signature of vehicle D in its neighborhood. Analogically the sets V B = {D} and VC = {B, D} will be developed, because the reference point of C found the signatures of the vehicles B and D. The vehicle D itself cannot find signatures of a leading vehicle in its neighborhood, so VD = ∅. For this example the introduced algorithm is structured as mentioned below: V A = {B, C}, V B = {D}, VC = {B, D}, VD = ∅ F = { A, B, C, D}, R = V A = {B, C}, V B = ∅, VC = {B}, VD = ∅ F = { A, B, C}, R = D V A = {C}, VB = ∅, VC = ∅, VD = ∅ F = { A, C}, R = D, B V A = ∅, V B = ∅, VC = ∅, V D = ∅ F = { A}, R = D, B, C V A = ∅, V B = ∅, VC = ∅, V D = ∅ F = ∅, R = D, B, C, A Based on definition 5 (sequence of vehicles) the order R = D, B, C, A is the order of the vehicles A, B, C and D.

4.5 Correctness and Reliability of the Determinated Order For a correct and reliable determination of the order of vehicles on motorways several sources of errors have to be identified and have to be taken in consideration for the calculation of the order. One source of error is the uncertainty of the GPS-signal. Here the occurring deviations have a crucial impact of the quality and correctness of the calculated order. Other sources of errors are calculations for the interpolation

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and extrapolation. Deviations will be intensified because of the calculations of additional way points for the inter- and extrapolation. Based on limited parameters of the driving physics, for these three sources of errors upper tolerances can be calculated, which will be used for the evaluation of the determination of the order. For the usability of the algorithm in the practice it is necessary to search for interfering factors, such as weak G3-connections, to obtain a robust appliance of the algorithm. In the project KONVOI calculations for the evaluation of the determination have been implemented to verify the order of vehicles. So within the project KONVOI we gained a reliable determination of the order of the experimental trucks, to initialize the coupling maneuvers.

5 Conclusions In this paper a procedure and an algorithm for the determination of the order of vehicles is presented, which merely uses the information of the GPS-signatures of vehicles. Further information such as map information or sensor data are not needed. Formal relations have been defined, on which the issue of a “follower” could be described and be applied in the practice. Based on these relations an algorithm has been developed, which determines the order of several vehicles. Finally the algorithm for the determination of the order of vehicles has been implemented in the project KONVOI and has been applied on test drives.

References [AF08]

K. Henning A. Friedrichs, P. Meisen. A Generic Software Architecture for a Driver Information System to Organize and Operate Truck Platoons. International Conference on Heavy Vehicles (HHVT2008), Paris, France, 19.-22.05.2008. [Fri08] A. Friedrichs. A Driver Information System for Truck Platoons. VDI, Duesseldorf, Germany, 2008. [KH03] E. Preuschoff [Ed.] K. Henning. Einsatzszenarien fuer Fahrerassistenzsysteme im Strassengueterverkehr und deren Bewertung. VDI, Duesseldorf, Germany, 2003. [KH07] D. Abel K. Henning, H. Wallentowitz. Das Lkw-Konvoisystem aus den Perspektiven Informations-, Fahrzeug- und Automatisierungstechnik. Mechatronik 2007 - Innovative Produktentwicklung, pages 133–147, 2007. [Nat08] United Nations. Economic and Social Commission for Asia and the Pacific: Statistical Yearbook for Asia and the Pacific. United Nations Publication, Bangkok, Thailand, 2008. [otEC03] Commision of the European Communities. Europe at a crossroad - The need for sustainable transport. Brussels, Belgium, 2003. [otEC06] Commission of the European Communities. Keep Europe moving - Sustainable mobility for our continent. Brussels, Belgium, 2006. [Sav05] E. Savelsberg[Ed.]. Lastenheft fuer elektronisch gekoppelte Lkw-Konvois. VDI, Duesseldorf, Germany, 2005. [Sei08] P. Meisen; K. Henning; T. Seidl. A Data-Mining Technique for the Planning and Organization of Truck Platoons. Proceedings of the International Conference on Heavy Vehicles, Paris, France, 2008.

RENS – Enabling A Robot to Identify A Person Xin Yan, Sabina Jeschke, Hinrich Schütze, Amit Dubey, Marc Wilke

Abstract We delineate a web personal information mining system that enables robots or devices (like mobile phones) possessing a visual perception system to discover a person’s identity and his personal information (such as phone number, email, etc.) based on visual perception through NLP methods. At the core of the system lies a rule based personal information extraction algorithm that does not require any supervision or manual annotation, and can be easily applied to other domains such as travel or books. This first implementation was used as a proof of concept and experimental results showed that our annotation-free method is promising and compares favorably to supervised approaches. Keywords Semantic Retrieval · Computer Linguistics · Information Mining · Information Extraction

1 Introduction This paper delineates our RENS personal information mining system whose concept has been originally inspired by the scenario of a receptionist robot to determine the identity of a person with a facial recognition process and a web search process. To enable us to focus on the problem of personal information mining, we assume the existence of a functioning facial recognition system capable of collecting pairs of URL (whose retrieved page contains at least one image containing the target person’s face. We refer to these images as “identifying images”) and its corresponding identifying image’s name. Such a pair is defined as an “URL-image pair”, indicating the mapping between a web page and its containing identifying image, and therefore, enabling the combination of the facial recognition and the web mining technologies. After analyzing these URL-image pairs and their retrieved web pages, X. Yan (B) Institute of Information Technology Services, University of Stuttgart, Allmandring 30A, 70569 Stuttgart, Germany e-mail: [email protected] Originally published in “Lecture Notes In Artificial Intelligence: Proceedings of the 2nd International Conference on Intelligent Robotics and Applications”, Vol. 5928, © Springer-Verlag Berlin Heidelberg, 2009. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_42

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the system searches through the web for the person’s information and generates a business card for him as output. The main issues the RENS system attempts to address are the following three: 1. How to ascertain an unknown person’s identity by using given URL-image pairs? 2. How to extract personal information from an HTML page? 3. How to select the right personal information for a particular person? For the purposes of our system, the identity of a person is defined to include his name and information of the organization(s) he is associated with. The personal information of a person is defined by the typical information shown on a business card, including address, email, telephone, fax number, title and position. We define a personal information record (or simply, record) as an area of high density of personal information about a particular person on a web page. The RENS system has three main components: Personal Identity Ascertainment (henceforth referred to as PIA), Records Extraction (RE), and Records Selection (RS). Each of the three components addresses one of the problems listed above. The PIA component ascertains a person’s name and organization by applying a named entity recognizer to the relevant text contents of web pages that contain identifying images. The RE component moves through the DOM tree of a web page and extracts records by applying a rule-based algorithm. The RS component selects the best records matching a particular person by calculating and sorting the records’ confidence scores based on the cosine similarity. Empirical evaluations were conducted on web pages related to people working in academia as their personal information is often available online. Experimental results show that the methods proposed in this thesis are promising. The two main contributions of this paper are: (1) an investigation of the concept of personal identity ascertainment with given URL-image pairs and (2) the development of a simple but powerful rule based records extraction algorithm. This paper is organized as follows: Sec. 2 reviews the related work. A description of the RENS system will be given in Sec. 3. The evaluation results will be discussed in Sec. 4. Sec. 5 will provide conclusions and an outlook on future research.

2 Related Work Prominent work in personal information mining includes the work of Tang et al. [TZY+ 08] and [THZ+ 06]. Their system ARNETMINER aims at extracting and mining academic social networks. The ARNETMINER system focus on extracting researcher profiles from the Web automatically, integrating the publication data from existing digital libraries, modeling the entire academic network and providing search services on this academic network. Although extracting researcher profile is only a component of the ARNETMINER, it does similar tasks as the RENS system using a different approach. It first collects and identifies a person’s homepage from the Web, then uses a unified approach to extract the profile properties from

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the identified document. [TZY+ 08] As it supports expertise search that is similar to personal information mining defined in the context of our project, it is taken as the baseline system in the evaluation of our RENS system. Yu et al. [YGZ05] discussed extracting personal information from resumes in a two step process: first, segmenting a resume into different types of blocks and, second, extracting the detailed information such as address and email from the identified blocks. In addition to work directly concerning personal information mining, it is worth discussing research related to the underlying techniques used by RENS. RENS extracts information by walking through the nodes of a DOM tree. Such a DOM tree based extraction approach was first introduced by Gupta et al. [GKG+ 05]. Their basic idea was to use the links-to-text ratio and remove nodes with a high ratio in order to extract general web content from different domains. Prasad et al. [PP08] used a similar DOM-based heuristic applied to news stories. Kim et al. [KPKC07] suggested extracting information from DOM trees using tree edit distance. Another aspect of the RENS system is its use of wrappers. A wrapper extracts data (including unstructured, semi-structured and structured data) from web pages and turns the data into a self-described structured representation for further processing. Liu et al. [LGZ04] proposed a novel algorithm that is able to discover non continuous data records and uses partial tree alignment algorithm to integrate data records. In another paper, Liu et al. [LGZ03] also proposed a two-step extraction approach by first identifying data records without extracting data and then aligning data items to a schema.

3 System Description Figure 1 shows an overview of RENS. In addition to the PIA, RE and RS components mentioned in Section 1, there are 3 smaller components: Preprocessing, the Information Source Builder (ISB) and Card Generation. Let us look at each of these six components in turn.

3.1 Preprocessing The preprocessing step takes a file containing several URL-image pairs as input, and retrieves the corresponding web pages. We call these pages “seed pages”, which we use as a starting point to discover the identity and relevant personal information of a person.

3.2 Personal Identity Ascertainment (PIA) The PIA component determines a person’s name and information related to his organization by applying the STANFORD NAMED ENTITY RECOGNIZER to the relevant text contents on each seed page respectively. The texts of a seed page are

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Fig. 1 RENS System Architecture

relevant when they describe the page’s identifying image, like the image name, the text around the image, the image’s alt text, the page meta information, title and so on. The named entity recognizer tags proper nouns as PERSON, ORGANIZATION or LOCATION. Anything tagged as a PERSON could possibly be the person name we are interested in. We found that simply taking the most frequently occurring


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PERSON name resulted in poor results. Instead, we picked the entity with the highest score according to the formula: 0.99 × d f + 0.01 × c f where d f refers to the document frequency (Here a document is defined as the text content of a seed page), or number of documents in which a name occurred, and c f refers to collection frequency, or the number of times a name occurs among all the documents. Having attained the person name, one can use pointwise mutual information to find the best matching organization phrase corresponding to the person name. Organization-type named entities are indexed as bigram and trigram phrases, because if one indexes organization named entities only in unigram, some stop words like “of” and “for” which are semantic irrelevant to the organization information may attain a high weight according to the above scoring formula, and also because the key words of organizatioal information are often 2 or 3 words phrases. The mutual information between the person name and each organization phrases is calculated in the following manner: M I ( p, o) = log

P( p, o) P( p)P(o)

(1)

where p stands for a person name, o stands for an organization phrases. P( p) is the normalized document frequency of the person name p and P(o) is the normalized document frequency of the organization phrase o. Hence P( p, o) is normalized document frequency of occurrence of the person name p and the organization phrase o.

3.3 Information Source Builder (ISB) This component has two purposes. First, it uses two search queries (One is the person’s name, where possible the full name, another is the combination of the person’s name and the organizational association which was also found in the PIA component) and the Google AJAX search API to get the top 10 ranked pages respectively for each query. The seed pages and new pages found during the search represent the information source collection. Second, the ISB removes repetitive or useless (not containing the person name found in the PIA) web pages from the collection.

3.4 Records Extraction (RE) This component uses the information source collection, namely the output of the ISB, as input. For each page in the collection, it traverses the corresponding DOM tree, annotating all nodes with the above-mentioned personal information features and uses a local extraction strategy to extract personal information records. The output of this component is a collection of all possible records that are detected from the pages in the information source collection. A recursive bottom-up extraction algorithm we developed in this project is given in Figure 2. The extraction process

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Fig. 2 The Algorithm of Personal Information Records Extractor

starts from the node which is the root of an HTML DOM tree, checks every nodes inside the DOM tree for the relative proportion of the node’s personal information compared to its entire information(we define this proportion as the weight of the node) and extracts the nodes whose weights exceed a given threshold (0.13 in this project according to our empirical experimental results). These nodes are hence the personal information records that we are interested in. As mentioned before, personal information is the typical information shown on a business card. This kind of information often has a few obvious attributes and indicating words (also known as indicators) in a particular language, like the ones shown in Table 1 for US English.

Table 1 Personal information features: Attributes and Indicators of US. English Attributes

Indicators

Email:

email, netmail e-mail, mailto · · · telephone, tel, call, mobile, phone, cellphone · · · fax, telexfax, facsimile · · · department, avenue, Ave., building, room, office · · · homepage, website, url · · · professor, Ph.d · · · CEO, CFO, dean, chief, coach · · ·

Telephone: Fax: Address: Website: Title: Position:


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Indicators are not merely words, but also include regular expressions to encode patterns for email, zip codes, telephones, fax number etc. These attributes and indicators are the predefined features we use to annotate a node. If an indicator occurs in a node(including its children), the node is annotated with this indicator and the indicator’s corresponding attribute. The weight of a node is thus formalized to eq. 2. t is a node inside a DOM tree. ||indicators in t || || words in t ||

weight (t) =

(2)

In order to prevent a node with very high weight but only one attribute from being taken as a record, we require that a record should have at least 2 attributes. However, not all attributes strongly indicate a personal information record. Attributes like position or title can occur within any node in a DOM tree, because their indicators like “Professor” or “CEO” could be mentioned anywhere on a page with a person name. Contrarily, particular email, fax, telephone or address (especially Zip pattern) patterns are very suggestive, so they are good attributes to a record. Thus, besides the weight, another precondition to be a record is that a node should have at least 2 good attributes. In addition, we count the attributes and indicators in a boolean model which means no attribute gains any additional weight beyond its first occurrence. We do this to damp the weight of large nodes like which may have more than one records as children nodes. If nodes that have 2 good attributes and exceed a predefined threshold are all chosen for records, we would have much redundancy, due to the nested structure of HTML pages. By eliminating the nested records, we finally attain the mutually exclusive personal information records of that page.

3.5 Records Selection (RS) The records selection component calculates and sorts the confidence scores of the records, and outputs them in sorted order. Scoring uses cosine similarity: SIM(R,

P) =

r · p | r || p|

(3)

In eq. 3, the vector r is a TF-IDF representation of a specific record R, and likewise the vector p is a TF-IDF encoding of the relevant text content found in a particular seed pageP. The cosine distance measures the similarity between r and p, and therefore shows how likely the record R relates to the person described on the seed pageP. As there are multiple seed pages (P1 , P2 , P3 , . . . , Pn ), the confidence score of the record R is the overall similarity, which is calculated using the following formula: scor e(R) =

n i=1

SIM(R, Pi )

(4)

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3.6 Business Card Generation (BCG) The card generation component is a small component in the system, which takes a record as input and generates a business card in XML format as output. We predefined a business card template that is composed of 5 slots: person name, fax, telephone, address, academic title or position. The person name slot is filled with the name we have found in personal identity ascertainment component. For the other slots, we use pattern matching and heuristic methods as annotating a DOM tree node mentioned in Section 3.4. In the end, the business cards are generated in XML format with JDOM.

3.7 Assumptions and Preconsiderations As the system does not include an actual facial recognition system, we have to set certain limitations on the test sets used as input. Existing facial recognition techniques are not perfect. To account for this deficiency and to simulate a real world scenario, we assume there are a few misleading URLs, containing identifying images of the “wrong” persons. Thus, our first, arbitrary assumption is that the error rate of the input URL-image pairs is 30 %. The experiments are performed on web pages related to academics, which is a useful limitation as their personal information can be easily found online. To reduce complexity, we experimented only on web pages, not including files of other formats like pdf or MS Word. In future, there will be more investigations on these types of files. Finally, we assume that the person we are searching for has only one, unique social identity. It is still unclear how to deal with people who have multiple social identities (a mathematician can also be a musician), and who have different personal information during different periods of time. We left further discussions of this problem to future work.

4 Empirical Evaluations The evaluation consists of 3 tests: 1. Records Extraction Test Given a web page, RENS decides whether the page contains records. If the page contains at least one record, it extracts all detected records from the page. 2. Personal Identity Ascertainment Test Given a set of URL-image pairs, RENS ascertains the name of the person whom the set points to. If no full name exists, it finds the first or last name. 3. Evaluation of the RENS System Given a set of URL-image pairs, RENS finds the records best matching the target person.


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The evaluation was designed to measure the accuracy of the RENS system in the framework of the tests defined above. The records extraction test was performed on 815 web pages. 15 of them do not contain any records directly but have links to contact pages containing records. If RENS detects the records from the contact page of such a test page, we score this instance 1, else 0. In the other 800 web pages that do not have a linked contact page, 500 of them contained at least one record (most of them containing only one record). If records of a page are returned, we assign a score of 1 else 0. The rest 300 test pages do not contain records. By this case, when the RENS system (correctly) returns no records, we score the instance with 1, else with 0. For the personal identity ascertainment test and the RENS test, we used 100 test sets. Each set is composed of 9 URL-image pairs, 3 of which are related to a wrong person, according to the 30 % input error rate. In the personal identity ascertainment test, we checked manually whether the output person’s name corresponds correctly to the target person. If correct, accuracy is 1, else 0. In the last test, the RENS system test, we check how accurately RENS could find personal information on that particular person. The evaluation metric for this test is given below.

4.1 Metrics The metrics used to evaluate our system are fine-grained accuracy and coarsegrained accuracy, both of which take a value between [0.0 - 1.0]. The fine-grained accuracy is computed as follows: Case 1 there are information records available for a particular person. If the best record is returned at the first place, the fine-grained accuracy is 1.0, second place 0.8, third 0.6, fourth 0.4, fifth 0.2. After 5th place, the fine-grained accuracy is scored 0.0. Case 2 there is no information record provided for a particular person. If no cards are returned by the RENS system, fine-grained accuracy is 1.0, else 0.0. The coarse-grained accuracy is computed by taking the ceiling of the fine-grained accuracy.

4.2 Baseline As a personal information mining system, the RENS system was compared with the ARNETMINER system’s expertise search component. The ARNETMINER implements the process in three steps: relevant page identification, preprocessing, and extraction. Given a researcher name, they get a list of web pages by a search engine (we use the Google API) and then identify the homepage/introducing page of the researcher and in the end they extract profiling information by using machine learning methods [TZY+ 08].

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4.3 Results Records Extraction Test For the 500 pages containing records, RENS has an accuracy of 91.2 %, for the 300 pages without records 93.33 % and for the 15 embedded contact pages 80 %. It reaches an average accuracy of 91.4 % on the 815 test pages. Personal Identity Ascertainment Test The test result showed an accuracy of 96 % for the PIA component. RENS System Test If the best record could be found in one of the seed pages, the result of the RENS system is exceptional with a fine-grained accuracy of 89.6 % and a coarse-grained accuracy of 92 %. As a comparison, the result of ARNETMINER is 81.6 % and 92.0 % respectively. If no right record of the person is given in the seed pages, the performance of RENS system drops down to a fine-grained accuracy of 72.0 % and coarse-grained accuracy of 80.0 %. The STANFORD NAMED ENTITY RECOGNIZER has 93.6 % fine-grained accuracy and 96.0 % coarse-accuracy. The average performance of RENS is 80.8 % of fine-grained accuracy and 86.0 % of coarse-grained accuracy, while ARNETMINER has 87.6 % and 94 % respectively.

4.4 Discussion Records Extraction 8.8 % the 500 pages which contain records failed the extraction test, mainly because the shortcoming of the local extraction strategy can lead to false negatives. If a node contains many other text elements besides all the right personal information we need, its weight becomes too small to pass the threshold’s test. As a result, this node will not be classified as a record. A possible remedy for this weakness is to take the change rate of personal information into account. Inside a node, by entering the area of the personal information, the number of indicators increases very fast, while by leaving, the increase rate slows down and eventually approaches 0. In the 300 pages which did not contain any records, 7.67 % were classified incorrectly. These errors were often some numbers with the same pattern as the one for phone and fax numbers. This is a direct result of the use of regular expression in the annotation of personal information. Additionally, some people have a contact information page that is linked from the main page and contains most of one’s personal information, like telephone, email, address etc. To address this problem, RENS uses Google search to acquire additional information beyond the seed pages. The pages found in this manner usually contain the required information or, at worst, link directly to them. In the second case we could use simple regular expression to extract the contact links. The test result was 12 out of 15 contact pages detected and extracted correctly with an accuracy of 80 %. Our approach of records extraction needs many improvements to get a better performance. In many cases, it can not extract all the personal information at one time but requires post processing steps. However, the test result still indicates it is a simple but reasonable way to extract personal information. Personal Identity Ascertainment The error rate of 4 % proves the high performance of the Stanford named entity recognizer and also the efficiency of our method. The two exceptions that were not found by our method are both Italian names. For the Asian names within our test set, the Stanford


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named entity recognizer shows a very high accuracy of 100 % in recognition. Rens System If the seed pages contained the best record already, RENS had a slightly better result in fine-grained accuracy. In some cases, ARNETMINER does not find any right personal information, mainly because its strategy is based on finding a person’s homepage or profiling first and then extracting his information. On those people who do not have a valid homepage or never published their personal information right on their homepage or whose personal information is in an embedded contact page, ARNETMINER does not perform all that well. RENS, in contrast, does not select the homepages as its only source for extraction, thus performing better in the same situation. However, the RENS system attained a lower performance when the right personal information record was not included in the seed pages. This is probably because the search term is not good enough, or in many cases, false positive. If a person does not have his personal information available online, but a related person does, the personal information of this related person will be returned as result. We have not found a satisfying solution to this problem yet. ARNETMINER performed very well in this case. As a mature academic search engine project for years, it receives its search term by user input, providing an advantage at the search term’s level and its machine learning extraction approach is often more accurate in large scaled corpus. In the future, we can also apply our automatic annotation methods to prepare a corpus for machine learning approach. Although ARNETMINER has much advantage in search term correctness, in difference to RENS, it requires name disambiguation. Thus the comparison was still considered fair.

5 Conclusion We present a methodology to combine facial recognition and web mining technologies enabling a robot to determine a person’s identity and his personal information based on visual perception. We have also implemented a simple, yet modular algorithm to extract data records like personal information from web pages. We tested and compared the resulting, fully automatic system based on heuristics against ARNETMINER that uses a machine learning approach and needs large training and labeling work. Our simple rule based approach has shortcomings in accuracy, but delivers a good approximation and shows that our proof of concept is successful. There are a lot of potential future directions of this work. Name disambiguation is crucial to the system performance for large scaled mining. Further interesting avenues for research are the discovery and interaction of different social contexts, like a person’s information as a mathematician and as a musician and ensureing the information mined is up to date.

References [GKG+ 05] Suhit Gupta, Gail E. Kaiser, Peter Grimm, Michael F. Chiang, and Justin Starren. Automating Content Extraction of HTML Documents. World Wide Web, 8(2):179– 224, 2005. Kluwer Academic Publishers.

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[KPKC07] Yeonjung Kim, Jeahyun Park, Taehwan Kim, and Joongmin Choi. ArnetMiner: Web Information Extraction by HTML Tree Edit Distance Matching. In Proceedings of the 2007 International Conference on Convergence Information Technology, pages 2455–2460. IEEE Computer Society, 2007. [LGZ03] Bing Liu, Robert Grossman, and Yanhong Zhai. Mining data records in Web pages. In Proceedings of the ninth ACM SIGKDD international conference on Knowledge discovery and data mining (KDD), pages 601–606, Washington, D.C., 2003. ACM. [LGZ04] Bing Liu, Robert Grossman, and Yanhong Zhai. Mining Web Pages for Data Records. IEEE Intelligent Systems, 19(6):49–55, December 2004. [PP08] Jyotika Prasad and Andreas Paepcke. Coreex: content extraction from online news articles. In CIKM ’08: Proceeding of the 17th ACM conference on Information and knowledge management, pages 1391–1392, Napa Valley, California, USA, 2008. ACM. [THZ+ 06] Jie Tang, Mingcai Hong, Jing Zhang, Bangyong Liang, and Juanzi Li. A New Approach to Personal Network Search based on Information Extraction. Demo paper. In In Proceedings of ASWC’2006, 2006. [TZY+ 08] Jie Tang, Jing Zhang, Limin Yao, Juanzi Li, Li Zhang, and Zhong Su. ArnetMiner: extraction and mining of academic social networks. In Proceedings of the Fourteenth ACM SIGKDD International Conference on Knowledge Discovery and Data Mining (SIGKDD 2008), pages 990–998, Las Vegas, Nevada, USA, 2008. ACM. [YGZ05] Kun Yu, Gang Guan, and Ming Zhou. Resume information extraction with cascaded hybrid model. In IACL ’05: Proceedings of the 43rd Annual Meeting on Association for Computational Linguistics, pages 499–506, 2005.

Part IV

Target group-adapted user models for innovation and technology development processes

Open Innovation - Strategie der offenen Unternehmensgrenzen für KMU Sabine Bischoff, Gergana Aleksandrova, Paul Flachskampf

Zusammenfassung Als bedeutende Entwicklung im Innovationsmanagement ist seit einigen Jahren die verstärkte Einbeziehung externer Akteure in den gesamten Produktentstehungsprozess zu beobachten. Diese offene Form der Innovation wird in der Forschung unter dem Begriff Open Innovation zusammengefasst. Besonders schwer fällt es KMU, solche Open Innovation-Strategien zu implementieren. Daher gilt es für KMU am Standort Deutschland, geeignete Organisationsformen zu entwickeln, die den Einsatz von Open Innovation-Strategien zunächst ermöglichen und darüber hinaus erlauben, diese Strategien gewinnbringend für sich einsetzen zu können. Ziel ist somit, innerhalb des Beitrags folgende Fragen zu beantworten: Welche Auswirkungen auf den drei Ebenen Mensch, Organisation, Technik hat eine Implementierung von Open Innovation-Strategien innerhalb von KMU? Mit welchen Strategien können KMU diesen geänderten Anforderungen begegnen? Wie sieht eine geeignete Organisationsform aus, die den oben genannten Veränderungen gerecht wird? The inclusion of external players in the product development process forms a significant development in the context of innovation management. This open form of innovation is summarized as Open Innovation. Especially small and mediumsized enterprises (SME) struggle with the implementation of these open innovation strategies. Therefore, it is necessary to develop suitable organisational forms for these SME. The first aim is to enable them for the use of open innovation strategies. Secondly, they have to learn how to use these strategies in a profitable way. Consequently, the objective of this article is to respond following questions: Which changes can be observed on the three levels human, organisation, technics (H-O-T) in conjunction with the implementation of open innovation strategies within SME? How can SME encounter changes mentioned above? What does an organisational form look like suitable to these changes? Schlüsselwörter Open Innovation · KMU · M-O-T-Ansatz · Homo Zappiens S. Bischoff (B) Institut für Unternehmenskybernetik e.V. & Schurzelter Str. 25, 52074 Aachen, Germany E-Mail: [email protected] Originally published in Strategien von kleinen und mittleren Unternehmen. Jahrbuch der KMU-Forschung und -Praxis 2010, Edition “Kleine und mittlere Unternehmen”, © JOSEF EUL VERLAG, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_43

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1 Einleitung Die erfolgreiche Generierung von Innovation ist eine stetige Aufgabe von Unternehmen, gerade für die in Deutschland zahlreichen technologieorientierten KMU. Dies begründet sich vor allem durch den rapiden technischen Wandel, der sich in den letzten Jahren in immer kürzeren Produktlebenszyklen manifestiert hat, sowie durch die zunehmende Heterogenisierung des Nachfrageverhaltens und den verschärften globalen Wettbewerb. Hohe Innovationsfähigkeit gilt daher grundsätzlich als Schlüssel für den nachhaltigen Unternehmenserfolg und sicheres Wachstum [BEB05]. Darüber hinaus schaffen es viele Neuproduktentwicklungen gar nicht zur Markteinführung [Fra07]. Als bedeutende Entwicklung im Innovationsmanagement ist seit einigen Jahren die verstärkte Einbeziehung extern Beitragender wie Kunden, Nutzern, Lieferanten, Forscher, Universitäten etc. in den unternehmerischen Innovationsprozess zu nennen. Der Innovationsprozess - von der ersten Ideengenerierung, über die Konzept- bzw. Produktentwicklung bis hin zum Produkt- und Prototypentest und schließlich der Markteinführung - wird somit zur Integration externer Akteure über alle Phasen hinweg geöffnet. Diese offene Form der Innovation wird in der Forschung unter dem Begriff Open Innovation zusammengefasst. Ein Praxisbeispiel für einen solchen Open Innovation-Ansatz ist die für Aufgabenstellungen aus der chemischen Industrie konzipierte Open Innovation-Plattform InnoCentive, ein amerikanischer Intermediär, der gegen Gebühr z. B. Fragestellungen von Unternehmen mit externen Problemlösern zusammenbringt. Ein Unternehmen sucht dabei nach einer Lösung für ein Problem, das die Entwicklungsabteilung allein nicht lösen kann. Dieses stellt daher eine Frage mit einer Beschreibung, Formeln oder Grafiken auf die Plattform (Website) und lobt ein Preisgeld in der Regel zwischen 10.000–100.000 Dollar aus. Das Preisgeld bekommt der Problemlöser, der sog. Solver, der die Aufgabe innerhalb eines vorgegebenen Zeitrahmens von einigen Wochen am besten löst. Mehr als 150.000 Solver haben sich derzeit in der Community registriert und lesen regelmäßig die neuen Aufgaben. Einmal bei InnoCentive gepostet, werden ca. 35 % aller offenen Probleme erfolgreich durch die Community gelöst. Beitragende bei InnoCentive, die einen Innovationswettbewerb gewinnen, haben häufig eine ihnen wohlbekannte Lösung aus ihrer wissenschaftlichen Domäne entnommen und ohne Vorbehalte auf eine andere Fragestellung übertragen [Lak05]. Offen bleibt die Frage nach der Möglichkeit der Implementierung. Denn ob die Unternehmensstruktur die Implementierung erlaubt, ist den Solvern der Fragestellung nicht bekannt. So ergeben sich für traditionell eher mit kleinem F&E Budget ausgestattete KMU durch Open Innovation-Strategien zwar Möglichkeiten, die knappen F&E Budgets effektiver und effizienter zu nutzen, vielen KMU bleibt jedoch diese Möglichkeiten verwehrt, da sie weder wissen, wie sie diese Potenziale für sich nutzbar machen können, noch wie sie ihre internen Strukturen und Prozesse anpassen müssen, um Open Innovation-Strategien zu nutzen. Wie groß darf der Spagat zwischen Öffnung der Unternehmensgrenzen und Schutz der Privat Property werden, ist nur eine Frage, die sich KMU in diesem Zusammenhang stellen müssen. Während innovative Begriffe wie Prosumer, Leaduser, und Homo Zappiens das neue Menschenbild des 21. Jahrhunderts prägen und die Technik durch offene

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Anwendungen wie Web 2.0, Wikis, Blogs, etc. charakterisiert ist, lässt sich in der Literatur für den Bereich der Unternehmensorganisation nicht viel auffinden. Dabei setzt eine erfolgreiche Umsetzung der Open Innovation-Strategien doch vor allem die Gestaltung von geeigneten internen Prozessstrukturen im ganzen Unternehmen voraus. Die im zweiten Kapitel vorgestellten Methoden stellen entsprechend den drei Restriktionsebenen Mensch, Organisation und Technik (M-O-T) zunächst die Faktoren Mensch und Technik in den Vordergrund. Kapitel 3 beschäftigt sich anschließend mit der Frage: Wie sieht ein Ansatz zur Implementierung von Open Innovation für KMU aus, der die nötigen Änderungen auf der dritten Restriktionsebenen, der Organisation, entsprechend den Unternehmensanforderungen berücksichtigt?

2 Stand der Forschung Open Innovation steht als Oberbegriff für ein Verständnis des Innovationsprozesses als interaktives, verteiltes und offenes Innovationssystem. Er steht im Kontrast zum in Abbildung 1 dargestellten klassisch-geschlossenen Prozess, der closed innovation, in dem Unternehmen nur die Ideen und technischen Kompetenzen nutzen, die in ihrer eigenen Domäne oder durch einen im Netzwerk eng integrierten und bekannten Partner vorhanden sind [Che03]. Ziel von Open Innovation ist es, durch den Einbezug externer Akteure den Zugang zu Bedürfnis- und Lösungsinformation zu erhalten und so die Spannbreite der Ideen- und Lösungsfindung zu erweitern [Pil03]. Nachstehende Abbildung 2 verdeutlicht dieses Vorgehen. Zentraler Gedanke von Open Innovation ist, dass zum einen durch die aktive Integration von Kunden und Nutzern in alle Phasen des Innovationsprozesses Bedürfnisinformation besser erhoben werden kann, als durch klassische Maßnahmen der Marktforschung oder eines Trendscoutings. Bedürfnisinformation ist die Information über die Kunden- und Marktbedürfnisse. Es handelt

Abb. 1 Closed Innovation (In Anlehnung an [Che03])

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Abb. 2 Open Innovation (In Anlehnung an [Che03])

sich um die sog. need information, d.h. Information über die Präferenzen, Wünsche, Zufriedenheitsfaktoren und Kaufmotive der aktuellen und potentiellen Kunden bzw. Nutzer einer Leistung. Zum anderen soll durch die Nutzung eines großen heterogenen Netwerks an externen Experten die Lösungssuche verbessert werden. Lösungsinformation ist die Grundlage für die Aktivitäten von Produktentwicklern im Innovationsprozess. Diese Einbeziehung geschieht dabei nicht in Form klassischer Forschungs- und Entwicklungskooperationen, sondern durch einen offenen Aufruf an ein großes, undefiniertes Netzwerk an Akteuren, an einer Entwicklungsaufgabe mit zu wirken. Bekannt geworden ist dieses auch unter den Stichworten Interaktive Wertschöpfung oder Crowdsourcing [RP09, How06, vH05]. Open Innovation zielt somit auf die Fähigkeiten eines Unternehmens ab, die marktbezogenen und technologischen Unsicherheiten besonders in den frühen Phasen des Innovationsprozesses möglichst weitgehend zu reduzieren und Wissen außerhalb der unternehmerischen Grenzen zu identifizieren und zu integrieren. Als Strategie stellt Open Innovation neue Methoden und Ansätze zur Verfügung, um besseren Zugang zur Bedürfnis- und Lösungsinformation zu erhalten und somit die Effizienz und Effektivität im Innovationsprozess zu steigern. Die Forschung in diesen Bereich hat bereits einige Methoden der Implementierung von Open Innovation-Strategien generiert, die exemplarisch aufzeigen sollen, wie konkret Open Innovation in Unternehmen umgesetzt werden kann. Die vorgestellten Methoden stellen jedoch im Wesentlichen die Faktoren Mensch und Technik in den Mittelpunkt. Was bislang völlig fehlt sind Strategien für die Organisation, d.h. für die Unternehmensstrukturen und -prozesse. Die existierenden Methoden werden im Folgenden zunächst kurz skizziert: Die Lead-User-Methode ist eine qualitative Vorgehensweise und zielt auf die Identifikation und aktive Einbindung ausgewählter Anwender ab, um mit diesen Ideen und Konzepte für neue Produkt- oder Prozessinnovationen zu generieren [vH05]. Den Kern der Methode bilden sog. Lead-User-Workshops, die das kreative Kunden- und Anwender-Potenzial durch Nutzung gruppendynamischer Effekte zu Tage fördern [LHvH05]. Dabei können Unternehmen die Existenz von Lead-Usern

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nutzen, indem existierende Lead-User-Innovationen in der Domäne der Anwender in die Domäne/Branche des Unternehmens übertragen werden. Die generierten Ideen und Problemlösungsvorschläge werden, wenn möglich, noch während des Workshops durch Experten aus der Firma gespiegelt und ggf. direkt durch Bau eines Prototypen umgesetzt, um auch die Teilnehmer in die Evaluierung einzubinden. Viele Open-Innovation Ansätze beruhen außerdem auf dem Einsatz einheitlicher Toolkits for User-Innovation and Co-Design [FP04]. Diese Toolkits ähneln auf den ersten Blick Produktkonfiguratoren, um im Rahmen einer hohen Variantenvielfalt, der Mass Customization, eine fertigungsfähige, kundenindividuelle Produktspezifikation zu ermitteln. Ziel von Innovation-Toolkits ist hingegen, aktuelle und potenzielle Kunden kreativ neue Produkte oder Produktvariationen schaffen zu lassen. Der Einsatz von Toolkits hat vor allem das Ziel, in einem gewissen Maße die Entwicklungs- und Innovationsaktivitäten an die Anwender auszulagern. Das geschieht dadurch, dass den Nutzern ein Werkzeug an die Hand gegeben wird, mit dessen Hilfe eigene, bedarfsgerechte Lösungen gefunden werden und durch das Nutzer, die sich häufig ihrer Wünsche nicht bewusst sind, diese nun explizit formulieren können. Der Einsatz von Innovation-Toolkits lässt damit Wissen direkt dort nutzen, wo es sich bereits befindet: beim Nutzer. Communities für Open Innovation tragen der Tatsache Rechnung, dass Innovation jedoch meist das Ergebnis eines kollaborativen Zusammenarbeitens mehrer Akteure ist. Sie zielen auf die Bewertung, aber auch die Generierung neuer Ideen in einer virtuellen Gemeinschaft ab. Im Sinne einer common-based-peer-Production [Ben06] sind Online-Communities im Bereich der Open-Source Software besonders erfolgreich, bei der eine räumlich verteilte Gruppe freiwilliger Software User bzw. Entwickler ohne Weisungsbefugnisse zusammenarbeiten. Es handelt sich hierbei um das Prinzip der Selbstselektion, Selbstmotivation und Selbstintegration. Auch im Innovationsprozess können existierende virtuelle Gemeinschaften beobachtet werden und Beiträge der einzelnen Mitglieder auf innovative Ideen hin ausgewertet werden. Zum anderen können Unternehmen selbst eine virtuelle Gemeinschaft etablieren, die explizit darauf fokussiert ist, Innovationen hervorzubringen. Im Sinne eines Ideenwettbewerbs soll die Kreativität und Qualität der Beiträge der Teilnehmer angeregt und diesen im Sinne einer Preisauslobung ein zusätzlicher Anreiz zur Teilnahme vermittelt werden. Das Einsatzspektrum eines Ideenwettbewerbs ist sehr breit und reicht von einem kontinuierlichen Einsatz als offene Plattform bis hin zu konzentrierten Aufgabenstellungen zur Lösung spezifischer technischer Problemstellungen im Sinne von Innovationswettbewerben [Ern04]. Ziel ist es, den Prozess der Suche nach technischen Lösungen zu öffnen und Informationen über das Problem so breit zu streuen, dass auch unbekannte Außenseiter einen Beitrag zur Lösung leisten können, wie am Beispiel der Firma InnoCentive aufgezeigt (Prinzip des Broadcast Search, vgl. [RP09]). Dieses Phänomen der Nichtbeachtung von bereits bekanntem Wissen eines anderen Entstehungsortes wird in der Forschung unter dem Not-invented-here-Syndrom (NIH) zusammengefasst [AK82]. Oftmals tritt dies auf, weil viele Unternehmen keine Nachforschungen betreiben, ob dieses Problem vielleicht bereits woanders gelöst wurde, bzw. sich Ergebnisse aus anderen Bereichen übertragen lassen.

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Falls Unternehmen jedoch nach bereits bekannten Lösungen suchen, suchen sie zumeist nur in dem Forschungsfeld, in dem sie auch selber agieren. Dieses Problem der lediglich lokalen Suche wird in der Forschung als Local Search Bias (LSB) bezeichnet [KA02]. Sowohl NIH als auch LSB können durch Open Innovation überwunden werden. Die Identifikation und Integration externen Wissens in den Innovationsprozess besitzen auch für KMU großes Potenzial und sind im Sinne der hohen strategischen Bedeutung der Innovationsfähigkeit ein wichtiger wettbewerbsstrategischer Faktor. Von besonderer Bedeutung sind hierbei vor allem die Reduzierung von Time-to-Market und Cost-to-Market, sowie die Steigerung der Fit-to-Market und New-to-Market [RP09]. Unter der Reduzierung der Time-to-Market wird die Verkürzung des Zeitraums von Beginn der Entwicklungsphase bis zur Markteinführung verstanden. Ursache hierfür ist die Arbeitsteilung zwischen Unternehmen und Kunden, da traditionelle Feedback-Schleifen zwischen Herstellern und Kunden (beispielsweise durch Marktforschung oder Interviews) wegfallen [Bre08]. Die Reduzierung der Cost-to-Market bezieht sich auf die Kosten des Produkts von der Entwicklung bis zur Markteinführung, hauptsächlich in Bezug auf Reduzierung der Aufwendungen für F&E durch die Auslagerung speziell definierter Innovationsaktivitäten. Die Steigerung des Fit-to-Market beschreibt die Steigerung der Marktakzeptanz eines neuen Produkts im Sinne einer positiven Kaufeinstellung der Nachfrager. Durch eine hohe Marktakzeptanz wird impliziert, dass eine Innovation gut geeignet ist, um existierende Marktbedürfnisse zu befriedigen und somit eine Steigerung der Zahlungsbereitschaft hervorruft [FP04]. Ursächlich hierfür ist die exaktere Erfüllung der Kundenbedürfnisse, durch detailiertere Bedürfnisinformationen (engl. need information). Die Erhöhung des New-to-Market beschreibt die Steigerung des von den Nutzern wahrgenommenen Neuheitsgrad der Innovation. Nutzerinnovationen sind typischerweise eher funktional neue Innovationen, da sie eben an den unbefriedigten Bedürfnissen der Nutzer ansetzen. Zusammenfassend lässt sich sagen, dass der Fokus der Arbeiten zum Themenbereich Open Innovation bisher eher im konzeptionellen und anwendungsbezogenen Bereich lag. Zu den Anwendungspotenzialen und -gebieten von Open Innovation existieren ausführliche Studien, die empirisch bestätigt sind und die Vorteile von Open Innovation eindeutig belegen. Auch der Methodenkatalog ist in der Forschung gut dargestellt, jedoch existieren keine Ausführungen, die für KMU spezifisch untersuchen, was Open Innovation mit den Menschen bzw. der gesamten Organisationsstruktur macht. Generell zielt ein Großteil der Arbeiten in diesem Forschungsfeld bis zum jetzigen Zeitpunkt auf Großunternehmen ab, wobei KMU verhältnismäßig wenig Beachtung gefunden haben. Daher gilt es, für KMU am Standort Deutschland geeignete Organisationsformen zu entwickeln, die den Einsatz von Open Innovation-Strategien zunächst ermöglichen und darüber hinaus erlauben, diese Strategien gewinnbringend für sich einsetzten zu können. Die Gestaltung von passenden Unternehmensstrukturen kann jedoch nur durch eine ganzheitliche Betrachtung der drei Ebenen Mensch, Organisation und Technik erfolgen, welche im weiteren Verlauf näher erläutert wird.

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3 Auswirkungen von Open Innovation auf den Ebenen M-O-T In der Vergangenheit sind Innovationen oft in Folge einer einseitigen Technikorientierung mit geringfügiger Integration der Menschen als Wissensträger und geringer Betrachtung der organisatorischen Rahmenbedingungen fehlgeschlagen. Die Dynamik und die Komplexität auch im Alltag von KMU erfordern jedoch eine ganzheitliche Betrachtung der drei Ebenen Mensch, Organisation und Technik [IH05]. Der Mensch-Organisation-Technik (M-O-T)-Ansatz betont die Wechselwirkungen zwischen den wesentlichen Bereichen eines Unternehmens: den Menschen, der Organisation, in der sie tätig sind, und der Technik, die sie umgibt. Neue Produktionssysteme bzw. Arbeitsweisen versprechen nur dann Erfolg, wenn sie den Einsatz der Technik, die Gestaltung der Organisation und auch die Qualifikation der Mitarbeiter und Mitarbeiterinnen zu optimieren versuchen. Diese Interdependenz von sozialen, technischen und organisatorischen Faktoren ist in Abbildung 3 dargestellt. Dauerhafter Erfolg und damit verbundene Effektivität- und Effizienzsteigerung ist nur durch Einbezug von allen drei Ebenen möglich, insbesondere dann, wenn es um Innovation geht, die von außen in das Unternehmen hinein getragen wurde. Das MOT-Konzept stellt zunächst den Menschen in den Vordergrund der Betrachtung, da dieser sowohl die Organisationen als auch die Technik durch sein Handeln beeinflusst und steuert. Zwar beziehen sich die offenen Fragestellungen im Rahmen dieses Artikels eher auf den Bereich der Organisation, jedoch soll der Vollständigkeit halber auch auf die Ebenen Mensch und Technik eingegangen werden. Menschliche Aktivitäten, Qualifikation, Kommunikation und Wissen sind die Treiber jeder erfolgreichen Erneuerung. Dennoch, obwohl der Mensch bei Open Innovation Maßnahmen oftmals den Treiber der Maßnahme darstellt (market pull im Gegensatz zum technology push), gilt es ebenso, die Organisation auf diesen neuen Menschentypus anzupassen. Im Folgenden wird daher das Beziehungsgefüge des Open Innovation generierenden Menschen zu den beiden Ebenen Technik und Organisation beschrieben. In der Beziehung des Menschen zu der Technik ist es an erster Stelle wichtig, die Technik nicht als Sachzwang, sondern als Gestaltungsaufgabe zu verstehen. In diesem Sinne ist die Technik als Werkzeug der menschlichen Handlungen immer

Abb. 3 Die ganzheitlichen Sichtweise: Mensch, Organisation, Technik

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Mittel und niemals Zweck der Gestaltung [Har05]. Extrem formuliert wird die Maschine als verlängerter Arm des Menschen betrachtet, als Werkzeug zur Unterstützung der menschlichen Fähigkeiten und Kompetenzen. Heutzutage sind die Mitarbeiter und Unternehmen schnellen und turbulenten Veränderungen ausgesetzt. Arbeiten und Leben in weltweit verteilten virtuellen Arbeits- und Lebensumgebungen wird zur Normalität. Immer schnellerer Technikentwicklung und Technikintegration in Unternehmen auf der einen Seite stehen immer weniger junge Mitarbeiter, die mit den neuen Techniken gut umgehen können (Homo Zappiens) sowie viele ältere Mitarbeiter bzw. eine wachsende Anzahl älterer Menschen, die sich häufig mit neuen Technologien schwer tun auf der anderen Seite gegenüber. Dieser Homo Zappiens, die neue Generation junger Menschen, die sich in der digitalen Welt ohne jede Scheu bewegt und für die die Kommunikationstechniken den Alltag bestimmt, ist gefordert. Dies wird bei Open Innovation nicht nur ausgenutzt, sondern gilt als Voraussetzung für ein Gelingen der neuen, innovativen Strategien. Der Homo Zappiens lernt durch die Nutzung neuer Technologien neue Fähigkeiten und Kompetenzen zu entwickeln, die KMU für sich nutzen können. Somit ist ein Zustand erreicht, dass der Mensch ohne die Maschine nicht auf einem hohen Effizienzniveau arbeiten kann und wiederum die Maschine ohne den Menschen laufen kann. Demzufolge beginnen die uns bekannten Arbeitsprozesse und Organisationsformen sich langsam aufzulösen: zum einen wird eine rasant schnelle Entwicklung und Integration von neuen Technologien in den Unternehmen beobachtet, zum anderen wächst die Anzahl der älteren Mitarbeiter, die sich häufig mit ganz neuen Techniken schwer tun. Neue Kernkompetenzen der digitalen Generation bestimmen bereits die Anforderungen zur Neugestaltung der Arbeits-, Lern- und Kompetenzentwicklungsprozesse und somit auch der Produktentwicklungs- und Entstehungsprozesse durch Open Innovation-Strategien [VV06]. Letztlich lässt sich konstatieren, dass jeder Technikeinsatz immer auf die optimale und bestmögliche Unterstützung organisatorischer Strukturen und Prozesse innerhalb der KMU abzielt [Har05]. Die Beziehung Mensch – Organisation kennzeichnet sich daher im Gegensatz zu den ersten zwei Gestaltungsfeldern durch die Besonderheit, dass hier zwei Arten lebender, autopoetischer und wertsetzender Systeme aufeinander treffen. Wechselseitige, strukturell vernetzte Entwicklungsprozesse stehen im Mittelpunkt dieses Gestaltungsfeldes. Im MOT-Ansatz wird unter Organisation ein lebendes soziales System verstanden. In sozialen Systemen werden durch Kommunikation die Handlungen von Individuen aufeinander bezogen. Von Organisationen als Form sozialer Systeme spricht man dann, wenn die Entscheidungen einzelner für die Handlungen vieler verbindlich sind. Somit sind die Menschen für den Erfolg der Umsetzung neuer Systeme ein sehr wichtiger Faktor. In der Art und Weise, wie sie auf Veränderungen reagieren, können sie eine Innovation fördern oder verweigern. Oder eben selbst durch die Verwirklichung von Open Innovation-Maßnahmen dazu beitragen [MTM08]. Letztlich bleibt die Frage nach der Gestaltung der Organisationsebene offen. Daher widmet sich der folgende Abschnitt dieser Fragestellung und stellt Strategien für KMU vor, wie sie die Mitarbeiter auf die Open Innovation Maßnahmen vorbereiten können und wie sie ihre internen ablauf- und aufbauorganisatorischen Strukturen diesbezüglich anpassen müssen.

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4 Veränderte Organisationsstrukturen für KMU Veränderung der Struktur bzw. der Organisation eines Unternehmens auf der Basis des MOT-Ansatzes, die zwingend notwendig ist, wenn Open Innovation betrieben wird, geht davon aus, dass zunächst zusammen mit den Mitarbeitern der Sinn der Open Innovation Maßnahme diskutiert werden muss. Somit werden durch die gleichzeitige Berücksichtigung sowohl von menschlichen als auch von materiellen Ressourcen sowie Umweltgegebenheiten, Erwartungen und Erfahrungen die besten Voraussetzungen für eine optimale Einführung neuer Techniken aufgebaut. Gerade innerhalb von KMU gilt: Vorleben statt anordnen, um glaubwürdig zu sein [MO09]. Heutzutage muss die Geschäftsführung die gesamte Ausrichtung, Steuerung, Handlungs- und Lernfähigkeit des Unternehmens in einem Umfeld gestalten, das sich durch stetig steigende Komplexität und Dynamik auszeichnet (vgl. Abbildung 4). Die Funktions- und Überlebensfähigkeit von KMU sind besonders dann gewährleistet, wenn sie der Außenkomplexität eine entsprechende Innenkomplexität entgegensetzen können, d.h. wenn sie flexibel genug sind, um die zu bewältigenden Aufgaben meistern zu können [HM00]. Diese Flexibilität fehlt KMU jedoch oftmals. Open Innovation bietet den KMU durch das Nutzen von externem Wissen die erforderliche Flexibilität, mit geringen Kosten eine höhere Erfolgsquote der angestrebten Innovationen zu erzielen. In Bezug auf die Entwicklung neuer Organisationsebenen muss insbesondere den neuartigen (digitalen) Kompetenzen des in Kapitel 3 beschriebenen Homo Zappiens, dem Vertreter der Generation, die „mit der Maus in der Hand“ geboren wurde, Rechnung getragen werden.

Abb. 4 Außen-/Innenomplexität und -dynamik, [HH95]

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„. . . the first generation born with a mouse in their hands and a computer screen as their window on the world. They had access to a computer at age 5 and a mobile phone before they turned 10 years old. Technology is no stranger to them, and they do not fear pushing buttons on a (. . . ) computer at the age of four “ [VV08], S.3. Nachstehende Abbildung 5 verdeutlicht im Rahmen einer Gegenüberstellung die wesentlichen Unterschiede des Homo Sapiens und des Homo Zappiens. KMU müssen sich auf eine Generation junger Menschen einstellen, für die Traditionsbewusstsein und Einhaltung von Normen nicht mehr die zentralen Werte darstellen, wie es früher in traditionell geführten Unternehmen der Fall war oder noch heute der Fall ist. Sie erhalten stattdessen einen anpassungsfähigen, hoch multitasking fähigen, colloborativ arbeitenden Menschentyp, der mit viel Fantasie KMU in Richtung Zukunftsfähigkeit vorbereitet. Der Arbeitsplatz der Zukunft in KMU wird demnach an die Bedürfnisse der digital denkenden und arbeitenden Arbeitnehmer angepasst werden müssen. Im Idealfall sollte der Arbeitsplatz so aussehen wie ihr Zuhause: ein Internetanschluss mit großer Bandbreite ist ebenso unersetzlich wie eine Reihe von Tools und Anwendungen, die der Unterstützung der sozialen Netzwerk-Kommunikation dienen. Ob Headsets, eine Spielekonsole für die Pausen oder freie Arbeitszeit und Arbeitsortwahl (home office). Die Nachfrage nach dieser Art Technologien und Organisationsformen am Arbeitsplatz ist primär durch ein neues Verständnis der Organisation von Information, Wissen, Wissensaustausch und Zusammenarbeit motiviert. Welche weiteren gestaltbaren, organisationsbetreffenden Ausgangspunkte außer dem Arbeitsplatz sind denkbar? In der Regel beschreibt ein Organisationssystem die Aufbau- und die Ablauforganisation, also Funktionen, Hierarchien, Unterstellungsverhältnisse sowie die Regelung der Ablaufprozesse in zeitlicher, räumlicher und sachlicher Hinsicht. Sagt ein Unternehmen, dass es sich neu aufstellt, ist genau dies gemeint [Hen09]. Inwieweit hat Open Innovation also Einfluss auf die Aufbau- und Ablauforganisation, die hierarchische Struktur, die Entscheidungsfindungen und Informationskanäle?

Abb. 5 Homo Zappiens vs. Homo Sapiens [VV06]

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Algesheimer und Leitl beschreiben im Harvard Business Manager 2007 die Folgen zunehmender Kooperation, wie sie auch durch Open Innovation erreicht wird, auf der Ebene der Organisation. Demnach sind die Reduktion von Hierarchien und das Verschwimmen von Abteilungs- und Unternehmensgrenzen unumgängliche Konsequenzen, wenn es darum geht, die Grenzen zu öffnen. Die damit einhergehende Stärkung der Rolle des Managers ist weiteres Charakteristikum der offenen, innovativen Organisationssituation [AL10]. Es ist also notwendig, auch in KMU die Balance zwischen Vorgesetzten und Angestellten, Vorschriften und Freiheiten zu finden. Der Manager muss Chef und Freund gleichzeitig sein können. Diese soziale Kompetenz müssen viele Geschäftsführer erst noch erlernen. Damit die KMU die externe Kompetenz produktiv nutzen können, soll darüber hinaus der erfolgreiche Transfer externer Inputs in interne Wertschöpfungsprozesse gewährleistet werden. Daher braucht es nicht nur ein Umdenken im Management, sondern auch eine gelungene Gestaltung von Wissensflüssen, d.h. die Schaffung von internen Arbeits- und Organisationsstrukturen und die zielbewusste Steuerung von Wissenserwerb, -verteilung und -nutzung und somit die Vorbereitung der Mitarbeiter auf die Veränderungen. Dabei sind Vergütungsmodelle und die Überwindung des not-invented-here-Syndroms weitere Schritte für die effiziente Integration eines offenen Netzwerkes und die Schaffung von Beteiligungsanreize. [GL08]. Als ein Vergütungsmodell, das mit Open Innovation vereinbar ist, hat sich in den letzten Jahren das Cafeteria-System herausgebildet. Je nachdem, wie viel ein Mitarbeiter selbst leistet oder dazu beiträgt, externe Lösungen aufzutun, kann er sich wie bei der Wahl von Speisen in einer Cafeteria bedienen. Das Cafeteria-System ist ein aktuelles, zukunftsweisendes Konzept flexibler Vergütungsbausteine, bei dem die Mitarbeiter unter Berücksichtigung betrieblicher Erfordernisse die Möglichkeit erhalten, Sozial- und/oder übertarifliche Leistungen aus vorgegebenen Alternativen auszuwählen. Dies bedeutet, Mitarbeiter eines Unternehmens nicht mehr allein durch Entgeltzahlung zu entlohnen, sondern ihnen auch alternative Leistungen zu gewähren. Es gibt finanzielle und nicht finanzielle Bestandteile des CafeteriaSystems, z.B. Arbeitszeitvarianten, betriebliche Altersversorgung, Sonderzahlungen, variable Vergütung [Met09]. Die Arbeits- und Organisationsbedingungen stellen die entscheidende Kraft für die Innovationsfähigkeit eines Unternehmens und seinen Erfolg dar. Zum Einen erfolgt durch die Innovationstätigkeit eine Orientierung sowohl an den Kunden als auch an den Mitarbeitern, an ihren Interessen, Kompetenzen und Entwicklungswünschen. Neben einem umfassenden Kundenmanagement sind daher motivierende Führung, Einbeziehung der Mitarbeiter, Innovationsstrategien und Finanzkraft für den Organisationsaufbau wichtig. Zum anderen ist die Innovation nicht nur ein Ergebnis, sondern ein Prozess von der Ideenfindung, Planung, Entwicklung bis hin zur Erzeugung, Realisierung und Durchsetzung. Innovationen sind also Prozesse, in denen der Mensch kreativ sein kann und neue Technologien entwickelt. Hierbei ist es wichtig, eine entsprechend effiziente Aufbau- und Ablauforganisation zu bereiten, die diese Prozesse ermöglicht [BEB05]. Beispiele hierfür können so genannte Kreativräume, flache Hierarchien, gemeinsame Events, Teamtage und –fahrten, Feiern, Gleitzeiten zu flexibler Gestaltung des Arbeits- und Lebensraums sein.

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5 Fazit Unter den Globalisierungsbedingungen ist der Druck innovativ zu sein deutlich gestiegen. Insbesondere KMU müssen innovationsfähig sein, um ihre Zukunft sichern zu können. Als Strategie stellt Open Innovation neue Methoden und Ansätze zur Verfügung, um besseren Zugang zur Bedürfnis- und Lösungsinformation zu erhalten und somit die Effizienz und Effektivität im Innovationsprozess zu steigern. Die Forschung in diesen Bereich hat bereits einige Methoden der Implementierung von Open Innovation-Strategien generiert (Lead User Methode, Toolkits for User-Innovation, etc), die exemplarisch aufzeigen sollen, wie konkret Open Innovation in Unternehmen umgesetzt werden kann. Diese in Kapitel 2 vorgestellten Methoden stellen jedoch im Wesentlichen die Faktoren Mensch und Technik in den Mittelpunkt. Der Fokus der Arbeiten zum Themenbereich Open Innovation lag bisher eher im konzeptionellen und anwendungsbezogenen Bereich. Zu den Anwendungspotenzialen und Anwendungsgebieten von Open Innovation existieren ausführliche Studien, die empirisch bestätigt sind und die Vorteile von Open Innovation eindeutig belegen. Auch der Methodenkatalog ist in der Forschung gut dargestellt, jedoch existieren keine Ausführungen, die für KMU spezifisch untersuchen, was Open Innovation mit den Menschen bzw. der gesamten Organisationsstruktur macht. Generell zielt ein Großteil der Arbeiten in diesem Forschungsfeld bis zum jetzigen Zeitpunkt auf Großunternehmen ab, wobei KMU verhältnismäßig wenig Beachtung gefunden haben. Was bislang völlig fehlt, sind daher Strategien für die Organisation von KMU, d.h. für die Unternehmensstrukturen und -prozesse. Doch ohne eine ganzheitliche Betrachtung der Bereiche Mensch (in Hinsicht auf die Ansprüche des Homo Zappiens), Organisation, Technik sowie die Anpassung der Organisationsformen an die neuen Bedingungen ist die Integration des Open Innovation-Ansatzes zum Misserfolg verurteilt. Zukünftig gilt es daher, sich im Bereich der Organisationsforschung mit den im Artikel aufgeworfenen Fragestellungen eingehender zu befassen. Konkret bedeutet dies: Welche weiteren Gestaltungsansätze als die im Artikel aufgezeigten existieren, die die Implementierung von Open Innovation-Strategien begünstigen? Die Befassung mit der Thematik hat gezeigt, dass Strategien für die Organisation weiter entwickelt werden müssen, d. h. für die Unternehmensstrukturen und –prozesse, die eine Integration von Open Innovation-Strategien ermöglichen. Wie aufgezeigt wurde, sind starre Hierarchien und Strukturen nicht mit einer Open Innovation Strategie vereinbar. Zusammengefasst bedarf es für die erfolgreiche Umsetzung von Open Innovation in KMU des Zusammenspiels von Fachkompetenzen und Wissen, technischen und organisatorischer Entwicklung, Kreativität und Gestaltungsfähigkeiten.

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T. Allen and R. Katz. Inverstigating the Not Invented Here (NIH) syndrome: A look at the perfromance, tenure, and communikation patterns of 50 R&D projects. R&D Management, 12:7–19, 1982.

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R. Algesheimer and M. Leitl. Unternehmen 2.0. Harvard Business Manager, pages 89–98, June 2010. [BEB05] Frank Bsirske, Hans-L. Endl, and Karl H. Brandl. Menschen machen Innovationen. VSA Verlag Hamburg, 2005. [Ben06] Y. Benkler. The wealth of networks. New Haven, 2006. [Bre08] Alexander Brem. The Boundaries of Innovation and Entrepreneurship - Conceptual Background and Essays on Selected Theoretical and Empirical Aspects. Gabler, Wiesbaden, 2008. [Che03] H. Chesbrough. Open innovation: the new imperative for creating and profiting from technology. Boston, MA, 2003. [Ern04] H. Ernst. Virtual customer integration: Maximizing the impact of customer integration on new product performance. In Soenke Albers, editor, Crossfunctional Innovation Management, pages 191–208. Gabler, Wiesbaden, 2004. [FP04] N. Franke and F. Piller. Toolkits for user innovation & design: exploring user interaction and value creation in the watch market. Journal of Product Innovation Management, 21(6):401–415, November 2004. [Fra07] N. Franke. Open Innovation & Co. - eine Chance für den Mittelstand. In L. Späth, editor, TOP 100 2007: Die 100 innovativsten Unternehmen im Mittelstand, pages 6–13. 2007. [GL08] U. Gross and G. Lüttgens. Open Innovation trifft Innovationsmanagement. Wissenschaftsmanagement, 4:30–37, 2008. [Har05] Ernst-Andreas Hartmann. Arbeitssysteme und Arbeitsprozesse, volume 39. Vdf Hochschulverlag, Zürich, 2005. [Hen09] Renate Henning. Change Management oder Führen in Turbulenz lernen Gedanken zu lebenden Organisationssystemen (OSTO System-modell). Technical report, 2009. [HH95] K. Henning and R. Henning. Die Chaosfalle - in turbulenten Umwelten systemisch führen. Controller Magazin, Planung und Produktion, 3, 1995. [HM00] Klaus Henning and S. Marks. Kommunikations- und Organisationsentwicklung, volume 6. überarbeitete Auflage. Verlagsgruppe Mainz Aachen, Aachen, 2000. [How06] J. Howe. The Rise of Crowdsourcing. Wired, 14, June 2006. [IH05] Ingrid Isenhardt and Frank Hees, editors. Der Mensch in der Kommunikation mit der Technik, volume 53 of Aachener Reihe Mensch und Technik. Wissenschaftsverlag Mainz, Aachen, 2005. [KA02] R. Katila and G. Ahuja. Something old, something new: a longitudinal study of search behaviour and new product introduction. Academy of management journal, 45(6):1183–1194, 2002. [Lak05] K. R. Lakhani. The core and the periphery in self-organizing and distributed innovation systems. PhD thesis, MIT Sloan School of Management, Cambridge, 2005. [LHvH05] C. Lüthje, C. Herstatt, and C. von Hippel. User-innovators and local information: The case of mountain biking. Research Policy, 34(6):951–965, 2005. [Met09] Hessen Metall. URL: http://www.bezirksgruppe-rhein-main-taunus.de/sitemap.html, 2009. [MO09] Thilo Münstermann and Alexandra Ottong. Culture BasedChange - Qualitätsorientierte Absicherung und Durchführung von Change Prozessen unter Berücksichtigung kritischer Unternehmenskulturmerkmale, July 2009. [MTM08] C. Michulitz, Sven Trantow, and J. Meinhod. Qualitätsmanagement: Lektion 12. In Change Management, pages 37–38. Euroforum Verlag, 2008. [Pil03] Frank Piller. Von Open Source zu Open Innovation. Harvard Business Manager, 25:114, 2003. [RP09] R. Reichwald and F. Piller. Interaktive Wertschöpfung: Open Innovation, Individualisierung und neue Formen der Arbeitsteilung. Wiesbaden, 2 edition, 2009. [vH05] E. von Hippel. Democratizing Innovation. Cambridge, Cambridge, 2005.

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Sabine Bischoff et al. Wim Veen and Ben Vrakking. Homo Zappiens: Growing Up in a Digital Age. Network Educ Pr Ltd, 2006. W. Veen and B. Vrakking. Homo Zappiens and his consequences for learning, working and social life. Trend Study within the BMBF Project International Monitoring. Delft, 2008.

Criteria for Age Based Design of Active Vehicle Safety Systems Max Haberstroh, Max Klingender, Richard Ramakers, Klaus Henning

Abstract In Criteria for age based design of active vehicle safety systems the recent results of the research project Evaluation of active vehicle safety systems and components in regard to their safety impact on elderly car drivers are presented. The project is funded by the Federal Highway Research Institute (BASt). The project aims to answer the question whether Advanced Driver Assistance Systems (ADAS) are able to support elderly drivers to stay mobile and, if so, how they need to be designed to do so. The aim of the project is to retrospectively develop a list of criteria which shall help to develop future age-based designs of driver assistance systems. Therefore an extensive market analysis was carried out at first. The market analysis contained a literature research, a survey with 70 elderly people and expert interviews. In the second phase test drives combined with workload assessments were conducted. 30 elderly and 30 younger drivers participated in the test drives. Keywords Active Vehicle Safety Systems · Elderly drivers · socio-psychological survey · Driving tests

1 Introduction Today, the car is the most important vehicle for the maintenance of mobility for elderly people. Most elder drivers suffer age based constraints, light bad sight or hearing or decreasing flexibility and muscular strength. To compensate these age based constraints, elderly drivers develop strategies like reducing their driving speed or choosing light traffic routes [RS02]. However, not every constraint can be compensated this way and with a growing population of elderly drivers in most industrial societies, new solutions are needed to keep elderly people mobile and safe in their everyday life. The efficiency of drive support can be raised if criteria for age based design are considered in the development process of Advanced Driver Assistance Systems (ADAS). M. Haberstroh (B) ZLW/IMA & IfU, RWTH Aachen University, Dennewartstr. 27, 52068 Aachen, Germany e-mail: [email protected] © 2010 VTI. Reprinted, with permission, from: Swedish National Road and Transport Research Institute VTI (Ed.): Proceedings of the Road Safety on Four Continents Conference (RS4C 2010), VTI, 2010. Reprint by Springer-Verlag Berlin Heidelberg 2011, DOI 10.1007/978-3-642-16208-4_44

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The research project Evaluation of active vehicle safety systems and components in regard to their safety impact on elderly car drivers analyzes, whether driver assistance systems can support elderly drivers to stay mobile and therefore participate in everyday traffic safely. In this project several ADAS are tested, which shall help to compensate physical, sensorial and cognitive constraints of elderly drivers. The aim of the project is to retrospectively develop a list of criteria which should help to develop future age-based designs of driver assistance systems. Therefore the project focuses on serial ADAS and their impact on the road safety of elderly drivers. In contrast to other projects that investigate connections between elderly drivers and traffic (AGILE - Aged people integration, mobility, safety and quality of life enhancement through driving) or mobility impaired users and ambient intelligence systems (ASK-IT - Ambient Intelligence System of Agents for Knowledge-based and Integrated Services for Mobility Impaired users) the presented project focuses on a specific driver assistant oriented approach, while AGILE concentrates on how to classify illnesses of elderly associated with driving and how to help them to continue driving safely. ASK-IT on the other hand is more technically oriented than AGILE but focuses on mobile technical devices and not on ADAS. The project is funded by the Federal Highway Research Institute (BASt) and follows an interdisciplinary approach in cooperation of automotive engineers and social scientists of the RWTH Aachen University. In addition to an extensive market analysis, a requirements analysis was carried out. This contained a literature research, a survey with 70 elderly people (55 to 82 years old) and expert interviews. The requirements analysis’ aim was to collect data about the attitude of elderly people towards ADAS, their mobility behavior, their driving habits and the constraints and risks which elderly drivers face in everyday traffic. In the second phase of the research process test runs where being held on a test track to evaluate the effects of ADAS on the driving behavior and the road safety of elderly drivers. Therefore a group of 30 probands (older than 65 years) and a control group (30 to 55 years) were interviewed regarding their attitude towards the driver ADAS and their stress during the driving maneuvers. The gathered data will be compared with the performance data of the vehicles in order to identify generally valid criteria for age-based designs of active vehicle safety systems.

2 Screening Of Eligible Advanced Driver Assistance Systems And Elements 2.1 Market Analysis At the beginning of the project a comprehensive market analysis of existing active vehicle safety systems e.g. anti-lock braking system, anti-slip regulation, brake assistant, active steering, etc. was performed. The market analysis showed the potential of existing and newly developed driver assistance systems regarding their effects on road safety for elderly drivers.

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2.2 Requirement Analysis of Elderly People Regarding Advanced Driver Assistance Systems While in most industrial societies life expectancy increases, mortality and fertility rates decrease. In the long term that leads to two major changes in the social structure: First to a shrinking population, and secondly to a growing proportion of elderly in the population. In Germany, as in most OECD countries, one third of the population will be older than 60 years in 2030 and the percentage of the population aged 80 and older will triple until the year 2050 [ES08]. Investigations revealed that increasing participation in the traffic and the growth of the population of the elderly people since 1998 led to a growing total number of elderly casualties per year [Bun06]. In comparison with other age groups, elderly people have a lower accident rate [Bun07]. The Consideration of the risks of accidents in relation to the driving performance shows a clearly different result. It turns out that those elderly who still drive cars, have a higher accident risk than middle-aged groups [Bun07]. The car’s importance for elderly people is increasing, because the present group of elderly people is the first group to possess a driving license for almost their whole life. According to that, it can be assumed, that with increased mileage, the number of accidents will rise. Regarding the severity of the accident, it can be noted that accidents of elderly people are significantly more likely to have fatal consequences than those of younger people. [Vor07] The results of the requirements analysis demonstrate that elderly drivers account the car as the most desirable mean of transport [Cha94]. They also revealed that the risk to cause accidents in road traffic is higher for elderly people, the fewer kilometers they drive [KK02]. The survey we carried out within the requirement analysis showed that many of the elderly drivers are aware of this risk and their constraints and are willing to use driver assistance systems to increase road safety. Especially informational and warning systems were perceived as helpful and got little rejection by the interviewed persons.

3 Research Design and Realization In the second phase of the research process test runs were carried out on a test track to evaluate the effects of ADAS. Therefore a special research design was developed which will be presented in this chapter.

3.1 Advanced Driver Assistance Systems The market analysis showed that there is a variety of ADAS, that is different in its functioning, its interaction with the driver and in its objective (e.g. increase safety, comfort, etc.). The age-related changes suggest the conclusion that especially those ADAS are suitable for elderly people which support the drivers independently, without

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requiring the drivers attention, and contribute to the reduction of the complexity of the driving task. For the further course of the project, in consultation with the project funder (BASt), brake assistant, brake assistant plus and active steering were chosen for closer examination with elder probands on the test track. These are unexceptional intervening or autonomous systems. After the evaluation of the driving tests, it will be possible to set up a category system for the assessment of ADAS in terms of their added value for elderly drivers.

3.2 Experimental Vehicle Two Audi A5 were chosen as the experimental vehicles for the tests on active steering and a Volkswagen Passat CC for the tests on Brake Assistant and Brake Assistant Plus. For the testruns with the active steering, one car was equipped with an active steering system, so that it was possible to compare one car with active steering with another car without active steering. For the recording of data in the vehicle the CANalyzer software package was used, which was run by a laptop within the car. All necessary data were available on monitoring-network-CAN and could be read and saved from there.

3.3 Experimental Arrangement All tests took place at the test track of the ika (Institute of Automotive Engineering) of the RWTH Aachen University. The test track consists of an absolutely flat circuit with a diameter of 100 m, which is tangential connected to a 600 m long and 22.5 m wide straight line. The end forms a small turning circle with a diameter of 40 m (Figure 1).

Fig. 1 Test track at RWTH Aachen University (ika)


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3.4 Acceptance and Workload investigation The acceptance and workload investigation included a survey of the attitudes of the probands towards the systems/elements of ADAS before the test drive, an observation during the test drive as well as a workload assessment using the NASA-TLX immediately after the individual maneuver that were driven. To collect data about the attitude of the proband before the test drives, a standardized questionnaire was developed. In addition to demographic data, information on the driving experience and driving habits of the probands and their knowledge of the ADAS to be tested were queried. The questionnaire is intended to create a comprehensive profile of attitudes of the probands, which can be used as an explanatory background for the findings of the final workload assessment. Following each driving maneuver, the subjective workload of the probands was collected via another questionnaire. For this purpose the standardized NASA Task Load Index (NASA-TLX) was selected. The NASA-TLX quantifies subjective workload using a multidimensional scale. The six defined categories are: • Mental demands (How much mental and perceptual activity was required (e.g., thinking, deciding, calculation, remembering, looking, searching, etc.)? Was the task easy or demanding, simple or complex, exacting or forgiving?) • Physical demands (How much physical activity was required (e.g., pushing, pulling, turning, controlling, activating, etc.)? Was the task easy or demanding, slow or brisk, slack or strenuous, restful or laborious?) • Temporal demands (How much time pressure did you feel due to the rate or pace at which the task or task elements occurred? Was the pace slow and leisurely or rapid?) • Own performance (How successful do you think you were in accomplishing the goals of the task set by the experimenter (or yourself)? How satisfied were you with your performance in accomplishing these goals?) • Effort (How hard did you have to work (mentally and physically) to accomplish your level of performance?) • Frustration (How insecure, discouraged, irritated, stressed and annoyed versus secure, gratified, content, relaxed and complaced did you feel during the task?) These dimensions are weighted based on a paired comparison. At first 15 pairs are formed from the six dimensions. The probands then decided which of the dimension was perceived as the more strenuous category. The information how strenuous an activity in each dimension was, was multiplied by a factor determined by paired comparison. After each driven maneuver the probands had to fill a workload questionnaire in which they evaluated the above categories on a 12-cm-scale. The weighting of the dimensions was carried out at the end of all maneuvers. This way the probands were able to decide which dimensions were more strenuous than others, regarding all completed maneuvers.

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3.5 Sequence of the Experimental Rides During the tests drives for the investigation of active steering the probands drove a series of three maneuvers on the test track. Different data were recorded, by which the impact of the investigated ADAS were reviewed. All probands were asked before the driving tests about their knowledge about the function of different ADAS and about their attitudes towards the ADAS. After they had driven a maneuver, the probands workload was evaluated via the NASA-TLX questionnaire. To be able to make a statement about the effect of ADAS on elderly drivers, all driving tests were additionally done with a control group consisting of experienced drivers aged 30 to 55 years. To investigate the active steering three maneuvers were performed. First, the probands had to turn over the vehicle in several moves in a narrow track. Second, they had to drive through a marked out slalom course. The construction of the course forced the drivers to perform different steering movements. And third, the probands had to carry out a µ-split-full-brake-application with the left wheels on a wet rubber mat and the right wheels on asphalt. All maneuvers had to be completed with the car that was equipped with an active steering system and the one that was not. The order in which the cars and the maneuvers where selected was randomized. Only the µ-split-full-brake-maneuver was always driven last. During the test drives the steering angle, speed, acceleration and the angle of yaw were recorded. After each maneuver, the probands were asked to fill out the NASA-TLX workload assessment for the particular maneuver (Figure 2). To investigate Brake Assistant and enhanced Brake Assistant the probands had to follow a truck with a mattress that was attached to a pole, which was used as target vehicle for the braking maneuvers (Figure 3). The driver of the truck was instructed to brake suddenly at different unpredictable times and places of the test track so that the probands had to perform a full-brake-application behind the mattress. The probands conducted between two and four full-brake-applications with each system – ABS, Brake Assistant and enhanced Brake Assistant. After each maneuver they had to fill out the NASA-TLX workload assessment.

Fig. 2 Design of the test procedure


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Fig. 3 Target vehicle for braking maneuvers (ika)

4 General Data of Probands of Acceptance Investigation The experimental group of elder people consisted of 30 people. Seven female probands were in the experimental group and 23 men. The control group consisted of 32 people, five of them being female and 27 being male. The probands in the experimental group were between 64 and 74 years old, while the people in the control group were between 35 and 50 years old. The driven kilometers per year are balanced between the two groups. In both groups there are almost the same number of people who drive more than 15000 kilometres per year and people who drive between 0 and 15000 kilometres per year. 63,3 % of the experimental group and 62,5 % of the control group stated that they drive less than 15000 kilometers per year. These results strongly suggest that there is no huge difference between the experimental and the control group concerning the driven kilometres per year. There is a small difference between experimental and control group concerning probands driving less than 5000 kilometers per year: 20 % of the asked persons in the experimental group dive less than 5000 kilometers per year while only 12,1 % of the persons in the control group do. Most of probands in both groups use their car nearly every day. 63 % of the experimental group declared that they use their car daily and 30 % stated that they use their car every two to three days. 71,9 % of the control group use their car on a daily basis and 15,6 % drive their car every two to three days. The frequency of using the car seems to be not very different according to both groups. When being asked for an evaluation of their own driving performance in general 36,7 % of the experimental group think that their own driving performance is good and 59,4 % of the control group evaluate their own performance as good. A slight difference can be seen here: the younger drivers seem to be more confident about

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their own driving performance. 15,6 % of the control group strongly agree that they see their self as a very good driver while none of the older probands strongly agree with this.. This result is also intensified by the fact, that 16,7 % of the experimental group would estimate their own driving performance as rather bad. Only 3,1 % of the control group estimate their performance in driving as rather bad (Figure 4). When being asked which situations in traffic (e.g. turn left and right, overtaking, crossroads, etc.) are risky in their opinion, it turned out that elder people more often agree that situations like turning left, overtaking, etc. are risky than probands of the control group. On the other side, only 53,4 % of the experimental group are open-minded about ADAS while 71,9 % of the control group are. 16,7 % of the experimental group state that they are not open minded about ADAS, while only 3,1 % of the control group state this. In both groups, the majority of the probands have a high open mindedness concerning technology in general: 63,3 % of the experimental group and 87,6 % of the control group state that they are open minded. The difference between the experimental and the control group is also demonstrated by the result of the probands’ open mindedness concerning technology in the car. Although the majority of both groups is open minded about it (experimental group: 53,4 %, control group: 87,5 %) there still is a difference of nearly 25 % between the groups. This demonstrates that although the majoritiy of elder people seem to be open minded concerning technology in general, technology in the car and ADAS in the car, younger people are still more open minded about these factors (Figure 5). When asked about the functions of specific ADAS, there were no huge differences between the two groups. 76,7 % of the experimental group and 75 % of the control group think that a system that hints the driver at possible risks is helpful. A system that takes over individual driving tasks when there are dangerous situations is

Fig. 4 Evaluation of the own driving performance in general


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Fig. 5 Open mindedness concerning several technologies

rated as helpful by 60 % of the experimental group and 53,2 % of the control group. ADAS that take over individual driving tasks to support the driver are perceived as helpful by 50 % of the experimental group and 40,7 % of the control group. 73,4 % of the experimental group and 71,9 % of the control group think a ADAS that gives information about certain facts while driving is helpful for the driver. These results show an open mindedness concerning ADAS in the majority of both groups.

5 Results of the Workload Investigation As mentioned above, the subjective evaluation of the workload index was carried out by the probands via the NASA-TLX questionnaire after each maneuver they had driven. The results of the evaluation of Active Steering tests showed that there is no significant difference between the experimental group, aged older than 65 years, and the control group, aged between 35 and 50 years. The investigation showed that there are only minimal differences in the way the experimental and control group subjectively evaluated the workload indices for themselves for the tasks they were given. The evaluation of the individual workload indices referring to the dimensions Mental Demand, Physical Demand, Temporal Demand, Effort, Own Performance and Frustration Level also showed no significant distinctions in the subjective evaluations of both age groups.

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Another result the test drives showed was that the maneuvers according to their workload indices were not evaluated differently, regardless of being driven with a car that was equipped with Active Steering or a car that was not equipped with Active Steering. The answers of the NASA-TLX questionnaire showed that the maneuvers driven with the car equipped with Active Steering did not get better results according to the workload index that was subjectively indicated by the probands. Thus, probands driving the car with Active Steering were not less stressed during the maneuvers than they were during driving the maneuvers with the driver assistance systems turned off. The results of the evaluation of Brake Assistant and enhanced Brake Assistant shows a slight difference between experimental and control group. The control group was most stressed with ABS (Brake Assistant and Brake Assistant Plus switched off) and less stressed with Brake assistant and Brake Assistant Plus. That is what was expected. But the results of the experimental group show the opposite. Brake Assistant was perceived as most stressful followed by Brake Assistant Plus. The probands evaluated ABS as least stressful.

6 Results of Driving Data At the µ-split-full-brake-application without Active Steering it was noticeable that the control group had a stronger tendency to countersteer than the experimental group. In the test runs without Active Steering the steering wheel angle of the experimental group was between 5 and 50 degree, with one outlier at 80 degree. The steering wheel angle of the control group lies between 5 and 70 degree, with one value at 80–85 degree. In the test runs with Active Steering the range of the steering wheel angle was considerably smaller – between 15 and 50 degree within both groups, with one value at 55–60 degree (Figure 6). The test runs with ABS, Brake Assistant and Enhanced Brake Assistant provided remarkable differences in the stopping distance between the two groups. The average stopping distance in the experimental group with ABS was 18,28 meter, with Brake Assistant 17,01 meter and with Enhanced Brake Assistant Plus 17,38 meter. In the control group the average stopping distance with ABS was 16,77 meter, with Brake Assistant 16,58 meter and with Enhanced Brake Assistant 16,42 meter. Both Brake Assistant

Fig. 6 Results of the test drives with and without Active Steering


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systems provided a shorter stopping distance than ABS in the experimental group and the control group as well. The average stopping distance of the elderly drivers was still longer than the one of the control group. This applies to all three systems.

7 Conclusion In this paper a brief introduction about the project Criteria for age based design of active vehicle safety systems was given. It also described the individual steps of the project. First the requirement analysis and its results were demonstrated. This analysis strongly suggested that elderly people account the car as the most desirable mean of transportation and that cars support elderly people in remaining their mobility. Within the described market analysis specific ADAS systems were chosen for the test drives. As a next step the experimental design and the acceptance and workload investigation was presented. The acceptance investigation showed that there are some differences in their answers concerning the experimental and the control group. The questionnaire suggested that younger persons are more open minded about technologies in general, technologies in the car and ADAS. The results of the workload investigation showed that there is almost no difference between the stress level of the experimental and the control group. In addition to that no clear difference between the test runs with and without ADAS have been found, the results of the workload investigation indicated that the probands were not relieved by the analyzed ADAS when driving the individual maneuvers, but were not additionally stressed by them either. The comparison of the subjective data with the objective driving data recorded during the test drives shows, that while there might be no difference between the two groups regarding their stress level, there is a difference regarding stopping distance and steering angle. With Braking Assistant and Enhanced Braking Assistant, the stopping Distance of the control group was only slightly reduced (

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