Keywords

1 Introduction

Industry-academia collaboration in software engineering is fundamental for successful research, fostering win-win relationships [4]. These collaborations grant academic researchers access to real-world problems and data for empirical validation and align with universities’ mission to drive regional economic and social development [9]. Moreover, such a hands-on approach enhances academic programs with practical insights [29]. For businesses, this collaboration connects research outcomes tailored to their challenges, facilitates upskilling and reskilling, and provides a gateway to recruit students [5]. Collaboration can push regional development and economic growth [2, 9].

Research on industry-academia collaboration in software engineering has mainly been centered around large companies [12, 16, 27, 35], with the collaboration involving small and medium-sized enterprises (SMEs) receiving considerably less attention. Particularly in northern Nordic regions such as Finland, Norway, and Sweden, SMEs form a substantial part of the software landscape, with a pronounced tilt towards consulting and services rather than in-house development [30]. Unlike their larger counterparts, SMEs face challenges like limited resources [23] and cognitive barriers [8]. With the rapid pace of digitalization and AI advancements, the pressure on SMEs to stay at the forefront is high. In this rapidly changing landscape, institutions like ours, providing software engineering and information systems programs, recognize the importance of collaborating with regional SMEs. Engaging in these partnerships confirms our academic endeavors align with these enterprises’ real-world challenges.

Our study reinterprets existing literature to address the practical challenges of initiating collaborations between researchers and SMEs. Utilizing a qualitative meta-synthesis approach [18], we delve into two notable Systematic Literature Reviews (SLRs) [2, 12]. From this analysis, we synthesize a Collaborative Model Canvas as a tool designed to foster collaboration between researchers and SMEs in software engineering. While primarily targeting researchers, the canvas offers insights for SMEs, local governments, and universities, highlighting the challenges and potentials of these collaborative partnerships. The following questions drive our study:

RQ1: What distinguishes collaborations with SMEs from those with large companies, and what challenges are unique to SME collaborations?

RQ2: Which insights from previous research on industry-academia collaborations can be adapted for collaborations between researchers and SMEs?

2 Background and Related Work

SMEs are crucial to the global economy. For instance, 99% of all EU businesses are SMEs, providing two-thirds of private sector jobs [31]. Innovation and research play a vital role in the growth and competitiveness of these SMEs. Research in software engineering has explored best practices for SMEs [1] and examined challenges and best practices of software startups [14]. While software startups focus on scalable software-based products or services, their challenges upon scaling are similar to those encountered by SMEs [20].

Collaborating with SMEs offers unique opportunities compared to larger organizations [23], but it also implies challenges. Within the regional innovation ecosystem, which encompasses SMEs, startups, regional authorities, and third parties like incubators and science parks, several factors influence these collaborations. Specifically, SMEs often face resource limitations, preventing them from engaging in sustained research collaborations [23]. The absence of pre-existing research connections complicates initiating collaborative projects for SMEs, which often lack established networks with research institutions [8]. Moreover, limited exposure to research and innovation may hinder SMEs’ recognition of the value of collaborations, affecting strategic planning for partnerships with researchers [6].

Although industry-academia collaboration in software engineering has received attention in the literature [12], most research targets large companies, such as the technology transfer model [13] and the agile collaborative approach [28]. However, some frameworks, including the Certus [16] and Continuous Collaborative [17] models, incorporate SMEs, though not as a central part of the collaboration. Our study contributes to filling this gap by adapting and applying literature-derived insights to the unique context of SMEs.

3 Research Methodology: Meta-Synthesis of SLRs

To address our research questions, we adopted a meta-synthesis approach [18], focusing on an interpretative paradigm. This synthesis sought to derive actionable insights for SMEs using data from two chosen SLRs [2, 12].

  1. 1.

    Source Selection: We analyzed two comprehensive SLRs. Ankrah et al.’s SLR provides a holistic view of university-industry collaborations, detailing motivations, challenges, and practices [2]. Conversely, Garousi et al.’s SLR focuses on software engineering collaboration challenges and practices [12].

  2. 2.

    Interpretative and Comparative Analysis: Drawing from our experiences with SME collaborations, we extracted and systematically analyzed data from the selected SLRs. Our focus centered on Organizational Forms [2], Motivations [2], Challenges [12] and Best Practices [12].

  3. 3.

    Synthesis and Model Development: We designed the Collaborative Model Canvas from our analyses, taking inspiration from the Business Model Canvas [19].

  4. 4.

    Feedback and Discussion: After drafting the Collaborative Model Canvas, we shared it online, refining it based on co-author discussions.

Our methodology has certain limitations. It relies on two SLRs that are few years old. To our knowledge, no recent secondary studies have examined either industry-academia collaboration or the role of SMEs, underlining the significance of our research. The broader industry-academia collaborations might not fully cover the unique dynamics of SMEs and startups. Potential biases from our perspectives and experiences underline the need for further empirical validations.

4 Collaborative Model Canvas

The Collaborative Model Canvas, detailed in Fig. 1, is a framework to guide the initiation of collaborations between researchers and SMEs. It outlines crucial considerations for collaboration yet remains adaptable, permitting customization, e.g., based on the expertise area of researchers. This canvas is not prescriptive. Instead, it offers a starting point to design and initiate collaborations.

4.1 Partners

Beyond researchers and SMEs, third parties can be essential in promoting and facilitating collaboration [22]. We identified various stakeholders: universities, local government, incubators, accelerators, technology transfer offices, company associations, and entrepreneurs. While researchers provide academic rigor, SMEs contribute with real-world challenges. Regional governments aim to enhance economic and technological development by fostering closer collaborations between researchers and SMEs [32, 33].

Fig. 1.
figure 1

Collaborative Model Canvas with key components. See Supplementary Material  for an expanded view and key practices for each component.

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Governmental offices and agencies are also potential partners, as the fields of software, digitalization, and AI are increasingly crucial to the operations of government offices and agencies [34]. Incubators and accelerators can play a role when academic researchers are involved in helping to develop or validate new products or services and in the founding of startups [7].

Individuals, especially researchers, play a crucial role in initiating and fostering partnerships between academia and SMEs [2, 23]. Entrepreneurs and SME leaders, deeply integrated into daily operations, influence decision-making significantly, making their active engagement essential for successful collaboration [12].

4.2 Value Proposition

The model’s value proposition focuses on achieving mutual benefits through a blend of academic rigor, business relevance, and practicality [10]. Collaborations should prioritize the immediate challenges of SMEs, given their low failure tolerance, while setting the stage for long-term partnerships. Emphasizing short-term gains and sustained collaboration is vital, as it aligns with the SMEs’ immediate needs and drives for adaptation and innovation [23].

4.3 Channels and Activities

The following channels were identified when initiating collaborative initiatives:

  • Personal Relationships: Initial touchpoints that foster trust between researchers and SMEs [21].

  • Research Projects: Structured settings for deep collaboration with specific focus areas.

  • Education and Training: Courses for SMEs, workshops, and informal hackathons promoting training and knowledge sharing. University courses incorporate real-world issues, with SME guest lectures enhancing practicality [11].

  • Local Business Ecosystem: Encompasses SMEs, startups, incubators, accelerators, and government entities [22].

  • Researchers’ Role in Business: Assisting in validating concepts and prototyping for startups [7].

Activities within the collaborative framework refer to the “what”, or the tasks and actions undertaken. These activities should be conducted iteratively and incrementally to minimize risks and deliver value in both the short and long term [27]. Key activities include co-formulating research questions that align with SME operational challenges, applying for joint research grants, and undertaking practical steps like testing and piloting [12, 13]. These activities aim to ensure the collaboration’s financial and practical sustainability and the research outcomes’ applicability. Furthermore, knowledge dissemination offers a chance to encourage dialogue. It involves not only publishing in academic journals but also engaging with wider audiences through blogs, webinars, and social media, enhancing visibility within and outside academic context [3].

Case studies, action research, and design science are methodologies to consider when collaborating with SMEs. Design science, in particular, allows researchers to address similar challenges and design interventions beneficial for similar contexts [25].

4.4 Collaborative Relationships

We have identified five key principles for establishing and maintaining collaborative relationships between researchers and SMEs. First, building and nurturing personal relationships are vital in the collaboration between researchers and SMEs. Beyond the organizational boundaries, personal relationships must be nurtured and maintained to ensure the active participation of all stakeholders and the longevity of the collaboration [26]. Second, the collaboration should aim to develop long-term relationships within the ecosystem [12, 26]. The time horizons of SMEs and researchers differ, but the collaboration with SMEs should be envisioned as a long-term relationship. Third, maintaining open and regular communication is key to building trust, aligning with SMEs’ needs, and clarifying the management of intellectual property rights [35]. Fourth, envision the collaboration as a win-win, where both entities benefit mutually [4]. Lastly, the presence of champions within SMEs is essential. Champions are engaged, well-networked, and deeply committed to the project, effectively communicating its benefits to decision-makers [35].

4.5 Benefits

SMEs benefit from tailored solutions resulting in improved business processes or products, often materializing as tools or code [24]. Researchers gain from applied research opportunities, avenues for publications, and potential funding, thereby adding legitimacy to their academic work [2].

Universities see a dual benefit: the enrichment of educational content and the increased involvement of students in real-world projects. This educational approach enriches the curriculum and enhances students’ employability, providing practical experience closely aligned with industry needs [5, 11].

Local economies and employment benefit from these collaborations. They spur innovation and growth and introduce new business ideas, fostering economic advancement and community enhancement. Additionally, SMEs can network with students, facilitating recruitment and access to the latest skill sets [8, 15].

4.6 Resources and Costs

Key resources include funding avenues such as grants, SME investments, and other financial mechanisms like government initiatives [8]. While SMEs might not directly fund research, their participation in grant applications can improve financial viability. Effective resource management is crucial for research activities and real-world implementation, impacting the collaboration’s long-term sustainability and success [2, 35].

On the other hand, the collaboration also incurs various costs. Time investments are significant for building relationships, facilitating communication, and organizing events like workshops. Resource expenditures are not solely financial but involve the human and intellectual capital needed to sustain the collaboration and execute incremental projects [2]. Additional costs may emerge, such as those for on-site activities and the continuous alignment of the research focus with SMEs’ evolving needs.

5 Conclusion

In addressing RQ1, our exploration highlights the distinct dynamics and challenges SMEs face when collaborating with researchers compared to larger companies. SME collaborations often involve more stakeholders, such as regional government bodies, technology transfer offices, and universities. These groups play a crucial role in enabling collaborations, a factor especially critical for SMEs who may be constrained by limited resources and narrower knowledge networks. Research relevance becomes essential for SMEs, who typically prioritize immediate outcomes and might hesitate to commit to extensive research engagements without guaranteed short-term benefits. In the SME setting, the absence of formalized research infrastructures emphasizes the need for robust interpersonal trust and clear communication. While collaborations with large corporations may be more direct, SME partnerships can span a diverse range, from educational initiatives to startup businesses or product validations.

For RQ2, our literature examination revealed key insights about industry-academia collaborations adaptable to the SME context. Collaborations arise from planning, commitment, and researchers’ active roles in initiating partnerships. While established frameworks may guide industry-academia collaboration, they need adaptation for SME-specific challenges and opportunities. Maintaining relevant research outcomes and open communication are vital for success. Our work also highlights the value of meta-research in advancing SMEs-researchers collaboration.

This paper explores researchers-SME collaborations in software engineering, drawing from existing literature to outline guiding principles and practices. We introduce the collaborative model canvas as a comprehensive framework to assist researchers and SMEs in starting joint projects. The canvas may serve as a roadmap for researchers and provide SMEs access to research outcomes. There is a need for researchers who lead these collaborations and fostering relationships with SMEs. Additionally, our work highlights the significant benefits of such collaborations, suggesting that educational institutions and governments should invest in them to promote education and boost local economies. Future research should focus on empirically assessing the canvas to facilitate collaborations with SMEs, refine the framework, and investigate potential avenues for industry-academia collaboration with SMEs.

Supplementary Material: https://doi.org/10.5281/zenodo.10093192