Talk given at the 9th International Symposium on Empirical Software Engineering and Measurement in Beijing, China.

1. Technische Universität München
An Exploratory Study on
Technology Transfer in Software Engineering
Joint work with
Philipp Diebold
AntonioVetrò
Daniel Méndez
Technical University of Munich
Germany
ESEM 2015
Beijing, China
@mendezfe

2. What is Technology Transfer?
Technology Transfer (TT) is formally defined as
“the process of sharing knowledge, machines, equipment, methods, techniques,
processes, and facilities with the aim of facilitating accessibility of scientific and
technological developments from primary discoverers or transferors to potential
users or transferees/recipients, who will exploit the technology into new
products, processes, applications, and business models”
Teece, D.J. 1997.Technology transfer by multinational firms:The resource cost of transferring technological know-how. In Economics
Journal, 242-261
Transferor Transferee
Transfer
object
Transfer Medium
A simple model for TT

3. Technology transfer in practice

4. Study design - goals & context
Goals
theTT of SE objectsCharacterise
With respect to
From the perspective of
In context of
(SG1) the current state of practice,
(SG2) the transfer mediums used, and
(SG3) improvements / future transfer trends
industry and academia
the project ARAMIS* and SPES_XT**
*
**
http://spes2020.informatik.tu-muenchen.de
http://www.projekt-aramis.de
Details on the studydesign

5. Study design - instrument
End
Start
Demographics
Current State of
Transfer
Mediums
Assessment
Transfer
Improvement
Exemplary questions
What are your motivations for TT?
What are your transfer objects?
How is the technology transfer process performed?
What are the transfer mediums you are using?
How many employees are working in your org.?
What is your organisation?
…
…
…
Are you interested in starting a TT project with
measurement goals?
Where do you get the trigger for TT?
Details on theinstrument in thepaper
Scope of the talk
What are your motivations for TT?
What are your transfer objects?
How is the technology transfer process performed?
What are the transfer mediums you are using?
Where do you get the trigger for TT?

6. 13#
2#
7#
Transferor#
Transferee#
Both#
TT Role
1"
1"
12"
<10"
10&49"
50&249"
250&500"
>500"
1"
4"
3"
<10"
10'49"
50'249"
250'500"
>500"
AcademiaIndustry
Distribution / Size: 37 respondents, 22 persons completed the survey
Domain
6
3
5
3
3
2
Automotive
Avionics
Automation
Railway
Tool
Other

7. Transferor Transferee
Transfer
object
Transfer Medium
MediumsObjects
Motivations
11"
3"
7"
8"
2"
6"
3"
4"
3"
4"
2"
6"
0"
2"
4"
6"
8"
10"
12"
14"
Economic"
factors"
Social"factors" Opera:onal"
factors"
Strategic"
factors"
Global"
factors"
Personal"
factors"
Academia" Industry"
5"
1" 1" 1"
3"
2"
1"
2"
3"
0"
1"
2"
3"
4"
5"
6"
7"
8"
Own"company" Compe6tors" Consul6ng"
companies"
Other"
companies"
Research"
Academia" Industry"
9" 10"
5"
2" 1"
6"
6"
7"
3"
0"
2"
4"
6"
8"
10"
12"
14"
16"
18"
Knowledge" Machines" Equipment" Methods" Techniques" Processes" FaciliDes"
Academia" Industry"
Knowledge
Modeling)Paradigms
Specific)models,)as)e.g.ar5fact)models
E/E:architectures)in)other)industry)
domains
from)former)projects,)lessons)learned)
Concepts)and)prototypes,)demonstrators))
Model)based)System)Engineering)
Methods
Methods)for)safety)and)security)cer5fica5on)
Formal)methods)
Give)guidance)
Concepts)and)prototypes,)demonstrators)
Modular)Safety)Analysis)
Methods)necessary)for)ISO26262:)compliance
Techniques
Tool)realiza5ons
SysML)
Use)of)virtualiza5on
Model:based)development
Processes
Improvement)of)technical)
development)process
Processes)necessary)for)
compliance)with)ISO)
26262
TriggersTECHNOLOGY TRANSFER
33%#
17%#
17%#
14%#
14%#
50%#
67%#
67%#
29%#
17%#
50%#
14%#
29%#
14%#
14%#
17%#
33%#
17%#
14%#
57%#
50%#
17%#
43%#
29%#
14%#
14%#
29%#
57%#
43%#
33%#
29%#
14%#
57%#
57%#
57%#
17%#
14%#
14%#
14%#
14%#
50%#
18%#
11%#
09%#
18%#
09%#
10%#
09%#
20%#
27%#
45%#
09%#
20%#
09%#
09%#
09%#
10%#
20%#
45%#
44%#
18%#
45%#
27%#
20%#
45%#
36%#
45%#
30%#
09%#
10%#
09%#
22%#
18%#
27%#
30%#
45%#
55%#
18%#
30%#
64%#
22%#
09%#
20%#
18%#
30%#
27%#
44%#
12%#
13%#
06%#
11%#
12%#
06%#
06%#
06%#
06%#
31%#
41%#
27%#
39%#
06%#
12%#
31%#
11%#
17%#
11%#
12%#
19%#
41%#
33%#
17%#
50%#
35%#
19%#
44%#
33%#
33%#
24%#
17%#
06%#
06%#
13%#
33%#
33%#
35%#
31%#
39%#
39%#
33%#
41%#
61%#
13%#
06%#
06%#
13%#
06%#
17%#
24%#
22%#
0%# 25%# 50%# 75%# 100%#
Licensing#and#standards#
Educa:onal#programs#
Guidelines#
Conferences#
Research#coopera:on#
Consultancy#
Internet#resources#
CoFworking#
SoJware,#systems,#and#
tools#
Publica:ons#
Personnel#exchange#
Workshops#and#mePngs#
Never# Rarely# Some:mes# OJen# Always#
Never#(1)# Rarely#(2)# Some:mes#(3)# OJen#(4)# Always#(5)#
Results (selected)

8. Motivations
11"
3"
7"
8"
2"
6"
3"
4"
3"
4"
2"
6"
0"
2"
4"
6"
8"
10"
12"
14"
Economic"
factors"
Social"factors" Opera:onal"
factors"
Strategic"
factors"
Global"
factors"
Personal"
factors"
Academia" Industry"
What are your motivations for TT?
H: The motivations that drive the transfer in industry and academia are heterogenous.

9. 5"
1" 1" 1"
3"
2"
1"
2"
3"
0"
1"
2"
3"
4"
5"
6"
7"
8"
Own"company" Compe6tors" Consul6ng"
companies"
Other"
companies"
Research"
Academia" Industry"
Triggers
Where do you get the trigger for TT?
H: Industrial organisations gain new knowledge mainly within their own confines.

10. Objects
9" 10"
5"
2" 1"
6"
6"
7"
3"
0"
2"
4"
6"
8"
10"
12"
14"
16"
18"
Knowledge" Machines" Equipment" Methods" Techniques" Processes" FaciliDes"
Academia" Industry"
Knowledge
Modeling)Paradigms
Specific)models,)as)e.g.ar5fact)models
E/E:architectures)in)other)industry)
domains
from)former)projects,)lessons)learned)
Concepts)and)prototypes,)demonstrators))
Model)based)System)Engineering)
Methods
Methods)for)safety)and)security)cer5fica5on)
Formal)methods)
Give)guidance)
Concepts)and)prototypes,)demonstrators)
Modular)Safety)Analysis)
Methods)necessary)for)ISO26262:)compliance
Techniques
Tool)realiza5ons
SysML)
Use)of)virtualiza5on
Model:based)development
Processes
Improvement)of)technical)
development)process
Processes)necessary)for)
compliance)with)ISO)
26262
What are your transfer objects?
“This new thing might be a good
solution. However, in most cases
the solution has to be adapted to
the specific needs of the customer.”

11. Objects
9" 10"
5"
2" 1"
6"
6"
7"
3"
0"
2"
4"
6"
8"
10"
12"
14"
16"
18"
Knowledge" Machines" Equipment" Methods" Techniques" Processes" FaciliDes"
Academia" Industry"
Knowledge
Modeling)Paradigms
Specific)models,)as)e.g.ar5fact)models
E/E:architectures)in)other)industry)
domains
from)former)projects,)lessons)learned)
Concepts)and)prototypes,)demonstrators))
Model)based)System)Engineering)
Methods
Methods)for)safety)and)security)cer5fica5on)
Formal)methods)
Give)guidance)
Concepts)and)prototypes,)demonstrators)
Modular)Safety)Analysis)
Methods)necessary)for)ISO26262:)compliance
Techniques
Tool)realiza5ons
SysML)
Use)of)virtualiza5on
Model:based)development
Processes
Improvement)of)technical)
development)process
Processes)necessary)for)
compliance)with)ISO)
26262
What are your transfer objects?
H: The technologies developed in SE
research projects are not mature
enough for direct application, but
need strong customisation to fit the
industrial context.

12. 0"
2"
4"
6"
8"
10"
12"
14"
16"
18"
K
Knowl
Modelin
Specific
E/E:arc
doma
from)fo
Concep
Model)b
Metho
Method
Formal)
Give)gu
Concep
Modula
Method
What are your transfer objects?
We are somewhere here…
Source: http://www.innovationseeds.eu/Virtual_Library/Knowledge/TLR_Scale.kl (European Commission)
Technology readiness level
See also the talk
On the Benefits and Barriers
when adopting Software Modelling
and Model Driven Techniques
H: The technologies developed in SE
research projects are not mature
enough for direct application, but
need strong customisation to fit the
industrial context.

13. What are the transfer mediums you are using?
H: Most used transfer mediums
are human-intensive.
Mediums
33%#
17%#
17%#
14%#
14%#
50%#
67%#
67%#
29%#
17%#
50%#
14%#
29%#
14%#
14%#
17%#
33%#
17%#
14%#
57%#
50%#
17%#
43%#
29%#
14%#
14%#
29%#
57%#
43%#
33%#
29%#
14%#
57%#
57%#
57%#
17%#
14%#
14%#
14%#
14%#
50%#
18%#
11%#
09%#
18%#
09%#
10%#
09%#
20%#
27%#
45%#
09%#
20%#
09%#
09%#
09%#
10%#
20%#
45%#
44%#
18%#
45%#
27%#
20%#
45%#
36%#
45%#
30%#
09%#
10%#
09%#
22%#
18%#
27%#
30%#
45%#
55%#
18%#
30%#
64%#
22%#
09%#
20%#
18%#
30%#
27%#
44%#
12%#
13%#
06%#
11%#
12%#
06%#
06%#
06%#
06%#
31%#
41%#
27%#
39%#
06%#
12%#
31%#
11%#
17%#
11%#
12%#
19%#
41%#
33%#
17%#
50%#
35%#
19%#
44%#
33%#
33%#
24%#
17%#
06%#
06%#
13%#
33%#
33%#
35%#
31%#
39%#
39%#
33%#
41%#
61%#
13%#
06%#
06%#
13%#
06%#
17%#
24%#
22%#
0%# 25%# 50%# 75%# 100%#
Licensing#and#standards#
Educa:onal#programs#
Guidelines#
Conferences#
Research#coopera:on#
Consultancy#
Internet#resources#
CoFworking#
SoJware,#systems,#and#
tools#
Publica:ons#
Personnel#exchange#
Workshops#and#mePngs#
Never# Rarely# Some:mes# OJen# Always#
Never#(1)# Rarely#(2)# Some:mes#(3)# OJen#(4)# Always#(5)#
– Knowledge: Personal exchange,
workshops and meetings,
publications
– Methods: Personal exchange,
workshops and meetings,
guidelines, consultancy, software,
systems and tools
– Processes: Workshops and meetings
– Tools: Workshops and meetings
… independent of object
See also the talk
In Quest for proper Mediums for
Technology Transfer in
Software Engineering

14. Transferor Transferee
Transfer
object
Transfer Medium
MediumsObjects
8"
2"
6"
4"
2"
6"
Strategic"
factors"
Global"
factors"
Personal"
factors"
Industry"
5"
1" 1"
2"
1"
0"
1"
2"
3"
4"
5"
6"
7"
8"
Own"company" Compe6tors" Consul6ng"
companies"
Academia" Industr
TriggersTECHNOLOGY TRANSFER
Never#(1)# Rarely#(2)# Some:mes#(3)# OJen#(4)#
How is the technology transfer process performed?

15. Transferor Transferee
Transfer
object
Transfer Medium
MediumsObjects
8"
2"
6"
4"
2"
6"
Strategic"
factors"
Global"
factors"
Personal"
factors"
Industry"
5"
1" 1"
2"
1"
0"
1"
2"
3"
4"
5"
6"
7"
8"
Own"company" Compe6tors" Consul6ng"
companies"
Academia" Industr
TriggersTECHNOLOGY TRANSFER
Never#(1)# Rarely#(2)# Some:mes#(3)# OJen#(4)#
How is the technology transfer process performed?
“I’m not sure whether there is
an explicit process.[…]”

16. Transferor Transferee
Transfer
object
Transfer Medium
MediumsObjects
8"
2"
6"
4"
2"
6"
Strategic"
factors"
Global"
factors"
Personal"
factors"
Industry"
5"
1" 1"
2"
1"
0"
1"
2"
3"
4"
5"
6"
7"
8"
Own"company" Compe6tors" Consul6ng"
companies"
Academia" Industr
TriggersTECHNOLOGY TRANSFER
Never#(1)# Rarely#(2)# Some:mes#(3)# OJen#(4)#
How is the technology transfer process performed?
H: Technology transfer takes place without an explicit process.

17. Transferor Transferee
Transfer
object
Transfer Medium
MediumsObjects
8"
2"
6"
4"
2"
6"
Strategic"
factors"
Global"
factors"
Personal"
factors"
Industry"
5"
1" 1"
2"
1"
0"
1"
2"
3"
4"
5"
6"
7"
8"
Own"company" Compe6tors" Consul6ng"
companies"
Academia" Industr
TriggersTECHNOLOGY TRANSFER
Never#(1)# Rarely#(2)# Some:mes#(3)# OJen#(4)#
How is the technology transfer process performed?
H: Technology transfer takes place without an explicit process.
“Needs for action are identified. Possible transfer
objects are identified.Transfer objects are modified,
so that they fit the to our internal processes. Objects
are applied in pilot projects. Objects are integrated
in internal work instructions.”

18. Transferor Transferee
Transfer
object
Transfer Medium
MediumsObjects
8"
2"
6"
4"
2"
6"
Strategic"
factors"
Global"
factors"
Personal"
factors"
Industry"
5"
1" 1"
2"
1"
0"
1"
2"
3"
4"
5"
6"
7"
8"
Own"company" Compe6tors" Consul6ng"
companies"
Academia" Industr
TriggersTECHNOLOGY TRANSFER
Never#(1)# Rarely#(2)# Some:mes#(3)# OJen#(4)#
How is the technology transfer process performed?
H:The standard model of representingTT as a transaction of an object that occurs from
a transferor to a transferee does not fit reality.
H: Technology transfer takes place without an explicit process.

19. Transferor Transferee
Transfer
object
Transfer Medium
MediumsObjects
8"
2"
6"
4"
2"
6"
Strategic"
factors"
Global"
factors"
Personal"
factors"
Industry"
5"
1" 1"
2"
1"
0"
1"
2"
3"
4"
5"
6"
7"
8"
Own"company" Compe6tors" Consul6ng"
companies"
Academia" Industr
TriggersTECHNOLOGY TRANSFER
Never#(1)# Rarely#(2)# Some:mes#(3)# OJen#(4)#
How is the technology transfer process performed?
H:The standard model of representingTT as a transaction of an object that occurs from
a transferor to a transferee does not fit reality.
H: Technology transfer takes place without an explicit process.
We need to consider:
– TT needs careful choice of mediums in response to the objects.
– TT is a bidirectional process of sharing and developing an object rather than transferring one.
– TT needs a concept of sustainable adaptation of an object.

20. Transferor Transferee
Transfer
object
Transfer Medium
MediumsObjects
Motivations
11"
3"
7"
8"
2"
6"
3"
4"
3"
4"
2"
6"
0"
2"
4"
6"
8"
10"
12"
14"
Economic"
factors"
Social"factors" Opera:onal"
factors"
Strategic"
factors"
Global"
factors"
Personal"
factors"
Academia" Industry"
5"
1" 1" 1"
3"
2"
1"
2"
3"
0"
1"
2"
3"
4"
5"
6"
7"
8"
Own"company" Compe6tors" Consul6ng"
companies"
Other"
companies"
Research"
Academia" Industry"
9" 10"
5"
2" 1"
6"
6"
7"
3"
0"
2"
4"
6"
8"
10"
12"
14"
16"
18"
Knowledge" Machines" Equipment" Methods" Techniques" Processes" FaciliDes"
Academia" Industry"
Knowledge
Modeling)Paradigms
Specific)models,)as)e.g.ar5fact)models
E/E:architectures)in)other)industry)
domains
from)former)projects,)lessons)learned)
Concepts)and)prototypes,)demonstrators))
Model)based)System)Engineering)
Methods
Methods)for)safety)and)security)cer5fica5on)
Formal)methods)
Give)guidance)
Concepts)and)prototypes,)demonstrators)
Modular)Safety)Analysis)
Methods)necessary)for)ISO26262:)compliance
Techniques
Tool)realiza5ons
SysML)
Use)of)virtualiza5on
Model:based)development
Processes
Improvement)of)technical)
development)process
Processes)necessary)for)
compliance)with)ISO)
26262
TriggersTECHNOLOGY TRANSFER
33%#
17%#
17%#
14%#
14%#
50%#
67%#
67%#
29%#
17%#
50%#
14%#
29%#
14%#
14%#
17%#
33%#
17%#
14%#
57%#
50%#
17%#
43%#
29%#
14%#
14%#
29%#
57%#
43%#
33%#
29%#
14%#
57%#
57%#
57%#
17%#
14%#
14%#
14%#
14%#
50%#
18%#
11%#
09%#
18%#
09%#
10%#
09%#
20%#
27%#
45%#
09%#
20%#
09%#
09%#
09%#
10%#
20%#
45%#
44%#
18%#
45%#
27%#
20%#
45%#
36%#
45%#
30%#
09%#
10%#
09%#
22%#
18%#
27%#
30%#
45%#
55%#
18%#
30%#
64%#
22%#
09%#
20%#
18%#
30%#
27%#
44%#
12%#
13%#
06%#
11%#
12%#
06%#
06%#
06%#
06%#
31%#
41%#
27%#
39%#
06%#
12%#
31%#
11%#
17%#
11%#
12%#
19%#
41%#
33%#
17%#
50%#
35%#
19%#
44%#
33%#
33%#
24%#
17%#
06%#
06%#
13%#
33%#
33%#
35%#
31%#
39%#
39%#
33%#
41%#
61%#
13%#
06%#
06%#
13%#
06%#
17%#
24%#
22%#
0%# 25%# 50%# 75%# 100%#
Licensing#and#standards#
Educa:onal#programs#
Guidelines#
Conferences#
Research#coopera:on#
Consultancy#
Internet#resources#
CoFworking#
SoJware,#systems,#and#
tools#
Publica:ons#
Personnel#exchange#
Workshops#and#mePngs#
Never# Rarely# Some:mes# OJen# Always#
Never#(1)# Rarely#(2)# Some:mes#(3)# OJen#(4)# Always#(5)#
Daniel Méndez
Daniel.Mendez@tum.de
@mendezfe
XIÉ XIE
The standard model of representingTT as a transaction of an object that occurs from a transferor to
a transferee does not fit reality.
Technology transfer takes place without an explicit process.
The motivations that drive the transfer in industry and academia are heterogenous.
Industrial organisations gain new knowledge mainly within their own confines.
The technologies developed in SE research projects are not mature enough for direct application, but need
strong customisation to fit the industrial context.
Most used transfer mediums are human intensive.
Hypotheses