Digital Transformation of Transfer in Universities

Claudia Doering

, Finn Reiche

and Holger Timinger

Institute of Data and Process Science, University of Applied Sciences, Landshut, Germany

Keywords: Transfer, Innovation, Business Process Management, Digital Transformation, Digitalization,

Inter-organizational Workflows, University.

Abstract: The digital transformation encounters not only industry and society, but also universities. Universities have

to address the digital transformation in several ways: Digital transformation must be integrated into the

curricula of their study programs. Additionally, they might want to establish own research programs in this

area. Finally, universities have to digitally transform their own organization and administration.

Universities are nowadays increasingly confronted with transfer or the so-called third mission, which

manifests itself in growing social interest and the transfer of knowledge and technology. To be able to

successfully withstand this transformation, a structured model was created. In order to pass through this

process and to apply digital transformation as a university, internal conditions like the digital infrastructure

as well as external conditions, such as higher education acts play a major role.

1 INTRODUCTION

Alongside teaching and research, transfer embodies

the so-called Third Mission of universities. So far, the

two other missions of universities, research and

teaching, have been the main focus of public attention

for many years (Roessler et al. 2015). Nowadays,

knowledge and technology transfer is gaining

increasing attention and for example, in Germany, the

new amendment of the Bavarian University and

College Act emphasises the need for transfer, in

particular the responsibility for technical progress to

the economy as well as ecology and society as a

whole (Bavarian Ministry of Science and Art 2021).

In the area of teaching, MOOCs (Massive Open

Online Courses) have been a cornerstone for many

years and although a conversion from face-to-face

lectures to online lectures requires some effort, a

basic structure is already in place in most universities.

Despite ongoing digitization and increased activities

in the area of research and transfer within universities,

a progressive digital development is still far away.

Furthermore, it is surprising that although many

universities are active in research on issues of

digitalization, they have only partially or not at all

https://orcid.org/0000-0002-3727-8773

https://orcid.org/0000-0003-2066-7323

https://orcid.org/0000-0001-7992-0392

digitized own processes, documents and procedures

within their respective university administration

(Doering and Timinger 2020).

The transfer of analogous to digital content, to

maintain or convert it electronically, can be

characterized as digitization (Loebbecke 2006). The

term digitalization describes the usage of electronic

or digital technologies, which can be used to transfer

to a digital business (Bloomberg 2018). Digitalization

can have effects on economy and society, which are

described by the concept of digital transformation

(Schallmo et al. 2018).

The advantages of a digitized research and

transfer departments are obvious: a target group-

specific and resource-efficient publication of

technology and knowledge gained in research is

possible. Also a digital transformation can enable a

faster and customer-oriented transfer (Doering and

Timinger 2020). Especially, due to the ongoing

Covid-19 pandemic, it is necessary to publish

research findings regarding this topic to society and

industry. Accordingly, digitalization is an enabler for

subject-specific knowledge and technology transfer

to society via digital channels in a target group-

oriented manner. As trade fairs and conferences are

Doering, C., Reiche, F. and Timinger, H.

Digital Transformation of Transfer in Universities.

DOI: 10.5220/0010571801090115

In Proceedings of the 18th International Conference on e-Business (ICE-B 2021), pages 109-115

ISBN: 978-989-758-527-2

109

not possible during the pandemic, digital concepts

and alternatives must be used. The information needs

of society and companies have not changed due to the

pandemic. There is a high demand for information

from society and industry, especially from SMEs

(small and medium enterprises), as they often hesitate

to contact universities or even pursue collaborative

research projects. Studies have shown that the

frequency of cooperation between companies and

universities is also related to the physical proximity

of the locations (Blume and Fromm 2000). These

cooperations are therefore dependent on collaboration

through workshops and therefore physical proximity,

which is currently and in the near future not possible.

However, these obstacles of cooperation, research

and transfer can be achieved by means of

digitalization. Digitalized processes are necessary to

enable the continuous dissemination of knowledge

and technology transfer in a target group-oriented

manner. Transfer can be divided not only in terms of

the type of object, such as knowledge transfer and

technology transfer, but also according to the way in

which the transfer of knowledge and technology is

carried out. A distinction can be made between

transfer “via heads” and the specific transfer process

(Roessler 2015). Transfer via heads means that, for

example, the knowledge of a university is carried into

the economy through a thesis or graduates.

Conversely, knowledge from companies can also find

its way into a university through practical

cooperation, as well as through industrial semesters

by academic staff. The specific transfer processes, on

the other hand, is not person-related; it manifests

itself through patents, the founding of spin-offs, or

science communication (Roessler 2015).

This paper therefore proposes a model for digital

transformation of the initiation and execution of

transfer within and out of universities. Therefore, the

following research questions arise:

RQ1. How can the processes of knowledge and

technology transfer initiation and execution be

displayed in a structured framework?

RQ2. Does the model display the clear objective

of digital transformation in universities?

The goal is to propose a further development and

evaluation of the digital transformation of transfer in

order to enable faster and costumer-oriented services.

This article is divided into the following sections:

To achieve the research goal, the design science

methodology was applied, which is described in the

next chapter. Then, the created framework is

presented with pointing out the reasons for digital

transformation within universities. To illustrate the

practical relevance, an example of a specific transfer

tool is shown. Finally, the evaluation of the

framework is carried out by expert interviews. Their

findings form the outlook and future work of this

framework.

2 RESEARCH DESIGN

A comprehensive research method is needed to

ensure the quality of research. HEVNER describes two

general approaches (Hevner and Chatterjee 2010).

The “design science” approach focuses on the

creation and evaluation of IT artefacts, whereas the

“behavioral science” approach aims at the

construction of a hypothesis and its empirical

validation. In the context of this research the proposed

model for digital transformation in universities

represents the IT artefact. To follow the proposed

guidelines by H

EVNER, the relevance for the research

is given by the need to carry out a digital

transformation within universities to sustainably

support the transfer of knowledge and technology to

and from these institutions.

The context project TRIO (Transfer and

Innovation in Eastern Bavaria) serves as a means in

giving the necessary evaluation, as it focuses on the

transfer between six collaborating German

universities and external partners.

Expert interviews, with experts from different

departments of the collaborating universities were

conducted to provide feedback on the model for

digital transformation (Meuser and Nagel 2009). In

this context an expert is defined as a person who has

expert knowledge, which is special knowledge that is

socially classified as necessary. This special

knowledge is often related to the profession of the

expert. For expert interviews guidelines according to

EUSER AND NAGEL (Meuser and Nagel 2009) were

applied, as well as the quality criteria defined by

AYER (Mayer 2013). All interviews were carried

out as semi-structured interviews. Objectivity ensures

independence of the results from the researcher,

reliability guarantees same results when repeated

under same conditions and validity ensures a suitable

research design for the research questions.

Objectivity is the prerequisite for reliability and

reliability for validity. Objectivity ensures that the

results are independent of the researcher, reliability

ensures the same results under the same conditions in

the context of a repetition and validity assures a

suitable research method for the research question.

To spread information about this model, it will be

published in this conference as well as in an

accompanying doctoral thesis.

ICE-B 2021 - 18th International Conference on e-Business

110

A literature search based on the principles of VOM

BROCKE was conducted to ensure the scientific

rigorousness and to support the research as a search

process (Vom Brocke et al. 2015).

3 FRAMEWORK FOR DIGITAL

TRANSFORMATION IN

UNIVERSITIES

Universities rely on digital services for competing for

the best projects, students and employees in research

and administration (Gilch et al. 2019). Reasons for

the digital transformation of transfer within

universities may vary, but they mostly include the

following points:

 Improvements of the availability of services: The

provision of digital services can improve the

initiation and implementation of transfer projects

due to faster and more reliable services, processes

and procedures. This may also create an image of

digital competence of a university for all external

stakeholders.

 Speed of services: With the digital transformation

of the administrative efforts, which are needed to

pursue transfer projects, the whole process from

the initiation, implementation to the completion of

a transfer project could be supported digitally.

This could result in a faster process time for the

single administrative departments, as they could

have all necessary information always at one’s

disposal. This would eliminate time consuming

enquiries and coordination.

 Sustainability of processes and services: digital

transformation can enable the sustaining usage of

implemented processes and services.

 Security of data: with the digital capturing and

usage of processes and data it can be facilitated

that all necessary requirements for transfer are

always taken into consideration.

 External image of the university: the digital

transformation of transfer may create a positive

external image for potential stakeholders in

transfer projects as universities can show that

there are not only teaching those principles, but

also living them. This can enable a profile

building and radiance of a university towards a

greater focus on transfer.

 Social responsibility and transformation: an

internal digital transformation may enable a better

response on the ongoing digitalization of the

industry and society as needs and requirements

may be received addressed.

These reasons may vary according the size of

universities, their research and transfer focus and of

course their target in cooperation projects.

Therefore, the four-Phases Model of Digital

Transformation in Universities was created (Figure

1). This framework is an artefact of the Design

Science Research and represents a previous

development of a framework which was published

earlier (Doering and Timinger 2020). It acts as a

means in enabling the digital transformation in

universities and represents four main steps, which a

university can pass through. The axes of the model

are described by the timeline and the hierarch of

meanings.

The model consists of three main phases for digital

transformation. The first phase, the “Enabling Phase”,

acts as a starting point, in which digital structures and

data exits within universities, which are not captured

and modelled yet. The initiation or rather the purpose

for the digital transformation of this data and

structures derives from the top of the model. Here the

strategy of university, the higher educational act and

the social mission of a university are displayed. These

factors do not only contribute immensely to the

transfer of a university, but also shape and direct

them. The second phase of the model consists of the

“Development and Implementation Phase”, which

contains the definition of processes and their owners,

as a necessary prerequisite for process automation.

Only with a digital process management it is possible

to roll out automatized work flows to support transfer.

Process Automation may lead to new business

models, which can derive in the last phase of the

model, in the so-called “Sustaining and Systematic

Change” Phase. Here, a change in the university

system can take place as through the digital

transformation new possibilities and ideas for the

transfer and the university itself may arise. These

results and ideas can have longer-term consequences

and scaling as for example, the framework for digital

transformation is taken up by others and is widely

disseminated.

Within the phases and their processes three setbacks

(arrows) were integrated to illustrate the recursive

influence, which digital transfer processes could have

on digital transformation. Thus, the phases can be

passed in chronological order from left to right, if the

corresponding requirements are fulfilled. However, if

changes to previous process steps are necessary,

preceding phases have to be repeated. For example,

when automatizing processes, it may be necessary to

return to an earlier phase in order to adapt process

descriptions in order to facilitate optimal process

automation.

Digital Transformation of Transfer in Universities

111

Figure 1: Framework for Digital Transformation in Universities (cf. RQ1).

A digital support system may act as a foundation and

support system of the digital transformation (Figure

1). Depending on the used system, it allows different

functionalities, which can be seen as enablers for

further research activities and possibilities for

shaping the processes of digital transformation,

presented as successive stages. The first phase of the

framework is characterized by unstructured and non-

digitised data exiting within several places of

university administrations. Basic functionalities of

many digital support systems, like for example a

research information system, create a common

baseline, so that all data is available in a digital form,

regardless of department, location and time.

Activities of a single research institution, as well as

activities of other research institutions can be

published through a digital support system and thus

be made available cross-organizational. Furthermore,

automation can be enabled by a Digital Support

System. As many research institutions are

accountable to the government or other grant

providers, reports on research projects, publications,

staff numbers or similar, must be published periodic.

Through automated collection and processing of data,

such reports can be generated automatically.

Processes can thus be controlled and evaluated. With

automation and automated processes, universities can

grant that all information are up to date, such as

official gazettes or current research projects.

The digital support system acts therefore as a baseline

and enabling factor of the “Development and

Implementation” and “Sustaining and Systematic

Change” phases of the framework.

To support and enable the digital handling of

transfer, a digital transfer platform, as a form of a

digital support system, could be beneficial. The

proposed platform is a result of the transfer project

TRIO and is used to initiate and execute transfer

projects between universities, industry and society

(Figure 2). The transfer platform aims to drive

forward the expansion and further professionalization

of knowledge and technology transfer between the

universities and their external partners to initiate and

further develop regional innovation processes.

The scientific competencies and transfer potentials

of the universities are systematically recorded in

order to bundle these together in the transfer platform

and to compare them with the needs of business and

society. Companies and social institutions are given

the opportunity to contact researchers through the

transfer platform. Concrete cooperation requests from

companies do not have to be addressed to a university

individually, as was previously the case, but can be

requested via the transfer platform to multiple

universities. If one university cannot offer a scientific

cooperation partner for the specific request, for

example because it does not conduct research in this

area or lacks capacities, this requirement is recorded

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112

Figure 2: Work Space of Transfer Platform from Project TRIO.

via the transfer platform and thus passed on to all

universities, institutes and research facilities in the

network. The likelihood that one of the universities in

the transfer platform will be able to provide support

is therefore many times higher. Furthermore, the

platform is able to support companies in their search

for cooperation partners in the simplest form, that of

providing information and disseminating the

conditions of research cooperation. This ensures that

potential partners are fundamentally informed about

cooperation possibilities. Studies on this topic have

shown that SMEs in particular have a lack of

information about the possibilities of cooperation

with universities (Blume and Fromm 2000).

The transfer platform can be used as a platform for

interdisciplinary and cross-university networking for

scientists at the universities in the network and thus

also serve to identify potential cooperation partners

from science, industry and society. The transfer

offices act as intermediaries and support interested

parties in establishing contacts.

4 EVALUATION

The digital transformation of transfer in universities

addresses mainly internal processes and structures

within the universities. To adequately assess this

situation, expert interviews were conducted. The

experts were chosen due to their experience and

responsibility in transfer projects and their possession

of advantaged data (Meuser and Nagel 2009). In total

seven expert interviews were conducted, with an

average length of 30 minutes each. All chosen experts

are employees of universities and work in the field of

research and transfer. The interviews were conducted

within March 2021 using the online platform Zoom

and recorded for evaluation reasons with the

permission of the expert. To gather meaningful

information the interviews were conducted in a partly

structured manner, so that the experts were asked five

main questions but also new questions were possible

to arise during the interview. This approach was

chosen to allow for the generation of interpretive

knowledge (Przyborski and Wohlrab-Sahr 2014). The

analysis of the interviews was conducted according to

the qualitative content analysis by Mayring with a

transcription of all interviews (Mayring and Fenzl

2014).

The first questions of the interview dealt with the

background and experience of the experts in transfer

in universities. All of them had strong experiences

within their different roles in transfer. Five experts are

employed in the administration (technology and

knowledge transfer offices and research funding

departments) of both technical and generalist-

oriented and public-funded universities. One expert is

a researcher, who works in a research institute in

different transfer projects and one expert is a vice

president for research and transfer of a university

(Figure 3). Most of them never had any experiences

or were involved in the digital transformation within

a higher education institution.

Then, deeper questions concerning the

applicability of the proposed framework were asked.

It was found that all of the experts assessed the

applicability of the model positively (RQ2), with

making compromises in the effective realization of

new business models in universities. Business models

often come along with the preconception of a

Digital Transformation of Transfer in Universities

113

Figure 3: Role of Experts in Universities.

commercial usage, which is not intended with the

framework. Nevertheless, all proposed phases and

processes were seen as feasibly by the experts.

The role of the digital support system was

described rather as an enabler, which offers new

opportunities, than a simple software for the

administration of research and transfer. The opinions

concerning the point, at which a digital support

system can or should be applied were not consistent,

but the majority of the experts voted for starting with

the “Development and Implementation” phase,

because in previous phases the data is only available

in an unstructured and unconnected form. Some of the

experts postulated a digital support system as one of

the main prerequisites for the digital transformation

of universities.

Further development of the framework named on

request by the experts, were additional phases or

different points of view like corporate cultural aspects.

The iterative approach, including the three

setbacks between the different processes, was

described as very intuitive and highly relevant in

practice. The question of further jumps back was

negated due to the generic character of the model.

The influence of University Strategy Processes or

the Higher Education Act were assessed differently,

but the experts were united in their assessment of the

influence as a framework condition. Furthermore, the

Social Mission and Social Responsibility were

described as important and can be seen as a main part

of the purpose of universities and their digital

transformation.

5 CONCLUSION AND OUTLOOK

In this paper a structured approach on the digital

transformation of transfer within universities is

presented. The target of the research was to design a

model, which can be applied to different scenarios in

the execution of transfer of universities. For this,

relevant processes and connections within

universities were identified, modelled and associated

with the necessary surroundings of transfer.

A major benefit of this approach is, that it not only

supports the digital transformation of transfer but it

also enables the creation of new business models and

ideas which can derive from this process.

In this paper two research questions have been

answered. The proposed framework acts as a means

in displaying the processes of transfer initiation and

execution in universities (RQ1). To elevate whether

the framework displays the reality of digital

transformation, in depth expert interviews have been

conducted, which also provided additional ideas for a

further development of the framework (RQ2).

A possible further development of the model

includes the creation of different scenarios of the

process. This could open up new possibilities in the

achievement of new business models, as the different

statuses of the universities could be taken into

consideration.

The integration of an exploration/ideation phase

as a first step of the model also seems to be relevant

for most universities, as often it is simply not clear

which data is available and relevant in the process of

digital transformation.

Moreover, the issue of cyber security needs to be

taken further into consideration as recent cyber-

attacks on universities have shown (Chapman et al.

2018). These kind of security issues could be of great

harm to the core activities of a university.

Furthermore, another dimension, that of culture,

could be integrated within the framework. The culture

in a university, like the corporate culture in business,

plays a major role in processes and internal structures,

especially in change management and digital

transformation. As transfer is only possible with

integration and acceptance of the involved

employees, this new dimension will be included in a

further development of the framework.

As the creation evaluation took only part within the

dimensions of German universities, a more inter-

national approach should be taken into consideration to

allow for a more generalist view of the model.

Furthermore, limitations and challenges for the

implementation of the proposed framework need to

be taken into consideration (such as political, legal,

bureaucratic factors).

ACKNOWLEDGEMENTS

The transfer project "Transfer and Innovation East-

Bavaria" is funded by the "Innovative University of

Researcher

in an

University

Employee in

Transfer

Administration

Vice President for

Research and Transfer

ICE-B 2021 - 18th International Conference on e-Business

114

Applied Sciences" East-Bavaria 2018 – 2022

(03IHS078D).

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