Inhalt: Adrian Denaro Impact of Industry 4.0 on SMEs. A Systematic Literature Review Servet Yakisan Customer Satisfaction through the Integration of the emotional demands within the Corporate Strategies Digital Transformation and impacts on the Corporate Business, the Customer and the Society John Meister Rational-Choice-Institutionalismus als Erklärungsperspektive für politisch- administrative Analysen Verwaltungsmodernisierung in der VUCA-Welt Willi Prettl Chancen der Digitalisierung für den After Sales der Automobilhersteller Andreas Raschdorf & Martin Stieger Kenntnisse der Wirtschaftspsychologie helfen auch im Projektmanagement 5 55 61 67 77 85 91 IMPRESSUM: Wiener Universitäre Schriften Konferenzband Herbst 2020 Erich Kremsmair, Martin Stieger Erschienen im Völker Verlag, Hamburg © 2023 Druck: Raschdruck Osnabrück ISBN 3-940020-36-2 2

4

1. Introduction Continuous technological development is driving the German industry towards the so-called fourth industrial revolution (Industry 4.0). Industry 4.0 is a well-known topic in public2 3 and established in different industries such as ZVEI. It represents a special challenge for businesses in general and for SMEs in particular4. According to a study conducted in 2016 Pellegahr et al. mention that Industry 4.0 will not only capture the business models, but also the business processes of the companies5. Also, the ZVEI (2017)6 undoubtedly ranks among the fourth industrial revolution to one of the most important economic tasks for the German industry in the next decades. The boundaries between the digital and the physical world dissolve. This is characterized by the inclusion of information and communication technologies, the increasing networking and the automation7. Kagermann (2014) assess this revolution to have a comparable effect on the economic and work organization like the previous industrial revolution8. Not only in the German industry are diverse discussions about its consequences on the Value Chains of the companies. In 2012, the US Government implemented a National Strategic Plan for “Advanced Manufacturing”9 and in 2015 China's State Council announced the “Made in China 2025” program10. Iansiti and Lakhani 2014 point out that industries have to find suitable solutions in order to manage disruptive trends such as digitalization11. More specifically, Industry 4.0 advances global value chains and pushes new opportunities of business models12. The digitalization of production confronts the German Manufacturing Industry in particular with huge challenges. The effects on companies are extensive: Networking of machinery, changed organizational structures, integration and qualification of employees in networked working processes and new IT solutions for the protection of valuable company data13. Ganscher et al. (2013) highlight that Industry 4.0 and the so- called disruptive trends will have a significant influence on the value creation potentials of German companies14. Germany has one of the most competitive manufacturing industries in the world and is a global leader in the manufacturing equipment sector15. The German industry is closely involved in the global economy and currently maintains its place as the third largest exporter of goods behind China and the USA16. This is the result of a study conducted by BMWi (2018). A further result in that aforementioned study says that almost half of all employments in the German industry are depending on the global economy17. Major industrial nations like the USA and China compete 2 (Schwab (b) 2016). 3 (Kagermann, Wahlster, and Helbig 2013) p. 13-15. 4 (Sommer 2015). 5 (Pellegahr et al. 2016). 6 The ZVEI represents the economic, technological and environmental interests of the medium-sized German electrical and electronic industry. 7 (Lasi et al. 2014) p. 240. 8 (Kagermann 2014) p. 604-607. 9 (Hausstein and Zheng 2018). 10 (Kuo, Shyu, and Ding 2019). 11 (Iansiti and Lakhani 2014). 12 (Kováčiková and Štofková 2018). 13 (BMBF (3) 2017) 14 (Ganschar et al. 2013). 15 (Kagermann, Wahlster, and Helbig 2013). 16 (BMWi (1) 2018) p. 3. 17 (BMWi (1) 2018) p. 2-5. 6

that Germans industrial companies were faced and are facing today36. The second deficit in the scientific context of this phenomenon is that the current literature particularly focused on the technical and technological requirements, challenges and opportunities of Industry 4.0, the economic perspective reveals a considerable backlog37. Kagermann et al. (2013) point out that Industry 4.0 holds not only huge technical and technological potential in view of smart factories and their productions. Industry 4.0 will also result in new ways of creating value and novel business models. In particular, it will provide start-ups and small businesses with the opportunity to develop and provide downstream services38. In specific, Roy (2014) points out that due to the topicality of the research object, there are very few scientific publications that explicitly refer to Industry 4.0 which deals not in a manufacturing context39. Hence, not only the production work is facing revolutionary changes. Industry 4.0 also has profound effects on other primary processes of industrial companies, like business models and therefore also on business processes40 41. Becker et al. (2016) suggest that SMEs have difficulties particularly in assessing the phenomenon Industry 4.0 for themselves. Science has not yet supported them in this topic through comprehensible conceptualization42. In a somewhat similar perspective, Wagner (2017) makes clear that there currently there is generally relatively limited research experience regarding the impact of Industry 4.0 on companies and their employees. The current research on the requirements, that has to be met by the firms, takes place predominantly in production and production-related areas43. Voigt, Kiel and Arnold (2019) highlight that Industry 4.0 will have far-reaching consequences for established business models of industrial companies and that previous research is focusing on the technical and technological conditions, challenges and opportunities of Industry 4.044. The aim of the present paper is twofold: Firstly, to review the current state of SMEs business model and processes research and based on this review, to identify gaps in the literature in order to map future research directions. Secondly, the research lacks a clear thematic summary or meta-study to the research field of SME´s and the impact of Industry 4.0 on their business models and business processes. To reach the goals, the author examines the current state of the research by an implementation of a systematic literature review according to Chalmers et al. (1993) and Tranfield et al. (2003) in terms of the applied theoretical frameworks and the studied contextual dimensions. The author contributes to the literature by reviewing and assessing the current state of research on the business models and business processes of Germanies SME in context with Industry 4.0 and by delineating an outlook for future research. Overall, this paper offers further theoretical contributions to current and future researchers in the field of SMEs and in context of Industry 4.0. These include: 1) replicable methodological protocols, 2) a thematic map providing a visual guide to the structure of the field, 3) an overview of the thematic area including research streams which detail theme descriptions, first-and second-order themes and major thematic, and 4) a complete list of authors by thematic area and study year. This paper proceeds as follows: the next section provides the background literature and is followed 36 (Federal Ministry of Education and Research of Federal Republic of Germany (2) 2019). 37 (Brettel et al. 2014). 38 (Kagermann, Wahlster, and Helbig 2013) p. 5. 39 (Roy 2017). 40 (Becker and Ulrich 2016). 41 (Schüßler 2016). 42 (Becker and Ulrich 2016). 43 (Wagner 2017) p. 9-10. 44 (Voigt, Kiel, and Arnold 2019) p. 583-585. 8

industrial revolution. He defines three integrated factors that reinforce the view that this is an independent revolution. Firstly, the speed of progress, due to the fact that multi- faceted, highly interconnected world produce new technologies, which produce newer and more powerful technologies themselves. Secondly, the breadth and depth, with a wide variety of technologies influencing all areas of life. This is based on the digital revolution and links diverse technologies, which lead to unprecedented paradigm shifts in the economy, in society, but also in individual lifestyle. Thirdly, systematic impact, which is accompanied by the transformation of entire systems, across countries, companies and industries, and across society as a whole51. The German Federal Ministry of Education and Research (2017) indicates that Industry 4.0 penetrates global value chains and pushes new opportunities of business models. Furthermore, it also highlights that the digitalization of production confronts German SMEs in particular with huge challenges. The effects on companies are far- reaching: Networking of machinery, changed organizational structures, integration and qualification of employees in networked working processes and new IT solutions for the protection of valuable company data52. Leading German industry associations agree with this statement and consider the Industry as follows: Industry 4.0 and the so- called disruptive trends will have a significant influence on the value creation potentials of German companies. According to the ZVEI, BITKOM and VDMA the so-called Industry 4.0 will redefine organizations and it will control and redefine the entire value chain along the life cycle of a product. Further considering the Internet of Things (IoT) components as prerequisites the Industry 4.0 environment will mean the merge of cyber and physical levels. But not only in the German industry are diverse discussions about its consequences on the value chains of the companies. In an international context, alongside the German initiative Industry 4.0, major industrial nations like the USA and China compete massively within the German industry53 and they also concern intensively with industrial revitalization policies like the German policy “Industry 4.0”. In 2012, the US government also implemented an industrial revitalization policy, so called "Advanced Manufacturing" with the aim to revitalize the American manufacturing industry. In spring 2015, China's State Council unveiled its first 10-year national plan to transform manufacturing, entitled “Made in China 2025”, as the initiation of a series of phases designed to build China into a leading manufacturing power in the world by 2045 54. Only in the last three or four years this topic has increased its attractiveness in Germany55. Sommers (2015) result show that on the one hand in Germany´s SME there is a large awareness of the importance of digitization and Industry 4.0 but on the other hand, however, the activities of the enterprises to prepare for it are not very extensive yet56. Roy (2017) also supports these statements. He points out that due to the actuality of the research object there are very few scientific publications that explicitly refer to Industry 4.0 in the logistic context. In summary, Wagner (2017) indicates that there are currently only a few valid statements on the future requirements for companies caused by this young phenomenon. Roy (2017) confirms this evaluation. The current research describes concepts and applications of firms, research institutes and other institutions. So far, there is a complete lack of conceptualization and stringent description of the 51 (Schwab (b) 2016) p.11-12. 52 (BMBF (3) 2017). 53 (OWC- Verlag für Außenwirtschaft 2018). 54 (Kuo, Shyu, and Ding 2019) p. 5-7. 55 (Döpper 2017) p. 2-4. 56 (Sommer 2015) 10

lagging behind in the digital transition66, which is surprising given the fact that in the European Union (EU) where SMEs make up 98 percent of the companies, provide 67 percent of all jobs, and contributed EUR 4.03 trillion to the EU GDP in 201767. Just for comparison and to emphasize the importance of this research field the author compares another major industrial nation. The situation is also similar in the U.S. industry. More than 99 percent of all U.S. firms are SMEs and 49 percent of private- sector jobs are in the SMEs68. The focus of this paper lies on German SMEs. According to Germany's Federal Ministry of Economics and Technology (BMWi) the German SMEs provide more than half of all the jobs in Germany. In the year 2017 58,5% of all the jobs and 82% of the apprenticeship places were provided by German SMEs69 .Second, the author follows the claim from Müller and Voigt (2017) that small and medium-sized enterprises (SMEs) are especially suitable for investigating this topic. In contrast to larger enterprises, the business model of SMEs is focused and, in most cases, one predominant or even single business model exists. As a result, leading personnel of SMEs is able to understand and describe changes for the entire business model and accordingly designed integration strategies70. Research in the field of SMEs and Industry 4.0 remains sparse71. Third, with respect to size and finance characteristics. The European Union defines SMEs as enterprises which employ fewer than 250 employees and with the following key financial figures. They have an annual turnover not exceeding EUR 50 million, and/or an annual balance sheet total not exceeding EUR 43 million72. In contrast to the financial definition of the EU a few of Management studies describes SMEs as having access to fewer financial assets than large companies and organizations73. Matthews (2007) confirms these financial situations and determines in his study that there are specific resources such as IT infrastructure to influence SMEs performance. The IT use is an SMEs growth factor, but cost often prevent SMEs from acquiring or further development of IT infrastructure74. Spinelli et al. (2013) supports these assumptions. According to Spinelli et al. (2013) the IT readiness in SMEs is an important precondition for implementing new systems75. Further, in contrast to most large companies, SMEs usually compete on the basis of a niche and specialization. This applies not only to products, markets and customers76 and thus on SMEs business models. It applies also to price, cost and production capability77 and thus on business processes. Hence, SMEs are a vital component of the global economy and play a significant role in boosting economic growth, creating employment, and even realizing a more inclusive world78. Furthermore, the current research has outpointed that an IT infrastructure, that enables other types of business models, respectively strategies, have a positive effect on performance79. Due to these 66 (OECD 2017) p. 13. 67 (European Commission 2017). 68 (Small Business Administration 2019) 69 (BMWi (2) 2017) p.3. 70 (Ihlau et al. 2013). 71 (Müller (D) and Voigt (D) 2017) p.2. 72 (Liikanen 2003). 73 (Christopher Street and Cameron 2007). 74 (Matthews 2007). 75 (Spinelli, Dyerson, and Harindranath 2013). 76 (Berends et al. 2014). 77 (Cagliano, Blackmon, and Voss 2001). 78 (Chris Street, Gallupe, and Baker 2017) p. 420. 79 (Polo Peña, Frías Jamilena, and Rodríguez Molina 2011). 12

Figure SEQ Figure \* ARABIC 1 The nine business model blocks In addition, the “Business Model Canvas” has proven to be a comprehensive and reasonable approach to business models, as its nine building blocks assist to generate a holistic and nuanced view on business models. Müller and Voigt (2017) and Wirtz et al. (2016) confirm these assumptions90 91. The figure 1 above visualizes and describes the nine building blocks within the “Business Model Canvas” with the aim to generate a brief understanding. The author followed the descriptions by Müller and Voigt (2017) as well as these of Osterwalder and Pigneur (2010) 92 93. 2.4 CHARACTERISTICS OF BUSINESS PROCESSES In the literature there is a wide range of definitions for “business processes” and "operation processes". A business process is a series of continuous or intermittent cross-functional activities. Business processes are naturally interconnected with a working flow through these activities for a particular outcome or purpose94. An important fact is that operation processes have not enjoyed as much attention at business schools’ publications in the past decades95. According to Lee et.al. (1998), business processes can be considered as “… the strands of activity that link the operations of an organization to the requirements of its customers”. They are generally cross-functional, horizontal in nature, lie outside the usual vertical, hierarchical company structure, and no single person has responsibility for the entire process96.” Schwickert et.al. (1996) describe the business process as follows. The business process is a logically connected chain of sub-processes that are geared to achieve a specific goal. Triggered by a defined event, an input is transformed into an output 90 (Müller (D) and Voigt (D) 2017). 91 (Wirtz et al. 2016). 92 (Müller (D) and Voigt (D) 2017) p.3-4. 93 (Osterwalder and Pigneur 2010). 94 (Davenport and Short 1990); (Zairi 1997); (Slack et al. 2009); (Harmon 2010). 95 (Harmon 2010) p.42-43. 96 (Lee and Dale 1998) p.214. 14

According to Slack et.at. (2009) operations and process management is about how organizations produce goods and services. Operations and process management is the activity of managing the resources and processes that produce products and services. The core body of knowledge for the subject comes from “operations management”, which examines how the ‘operations function’ of a business produces products and services for external customers. The authors pointed out that all businesses have “operations”, because all businesses produce products, services, or some mixture of both.100. The literature on business processes offers a variety of classifications according to their purpose and function, such as: manage, operate and support processes101 (Childe et al., 1994); value chains divided into core and support processes102 (Porter et.al. 1985); organizational and managerial processes103 (Garvin, 1998); and management and organizational processes104 (Davenport, 1993). In conclusion, as evidenced by high number of different bodies of literature, there appears to be congruence towards the view that business model are mainly fundamental questions same for all businesses. The question what to offer to customers, who are customers, and how to operate to create value in profitable and sustainable way and a business process is a logically connected chain of sub- processes that are geared to achieving a specific goal. Business processes is about how organizations produce goods and or services. Business processes delivers the performance in an organization and are directly linked to organization targets. Considering the mentioned literature definitions of this chapter, the author focuses on a systematic literature review with emphasize on Germanys SMEs business model and business processes which are affected of the phenomenon Industry 4.0. In summary, this chapter has also shown size and resources to make key definitions of characteristics of SMEs business model and business processes in context with Industry 4.0. Having outlined the rational and proposed methods of this review in the above section, the stage now is to identify relevant studies using explicit and reproducible selection criteria105, which will be presented following this paper. 3.0 METHODOLOGY In the following, the author applies an evidence-based systematic review strategy by adopting the suggested research process stated by Tranfield et al. (2003). This process includes (1) planning the review, (2) conducting the review, and (3) reporting and disseminating of the review. This systematic literature research and review process planned by the author follows an inductive research approach. The author highlights that there are two general research approaches that can lead to the acquisition of new knowledge, the inductive and deductive research approaches106. A third, lesser-known research approach is the abduction of 107. The inductive research approach is a theory development process that begins with observations of specific 100 (Slack et al. 2009) p.1-4. 101 (Childe, Maull, and Bennett 1994). 102 (Porter and Millar 1985). 103 (Garvin 1998). 104 (Davenport 1993). 105 (Tranfield, Denyer, and Smart 2003). 106 (Döring and Bortz 2016) p. 222-223. 107 (Hyde 2004) p. 83. 16

The research concentrates on the main areas of Industry 4.0 on specific firms (research stream 1-2). Secondly, the influences and impacts on business models and business processes will be examined. The adoption of disruptive technologies coming from Industry 4.0 leads to a certain phenomenon (research stream 2-3) and has an impact on business models and processes. In which way the performance of firms is (or is not) directly influenced by these new phenomena is part of a third research stream (research stream 3-4). Overall, the author promotes this inductive research approach to improve the comprehensiveness of this review. Further, it serves as a convenient analytical schema for categorizing and reviewing past conceptual and empirical publications on business research in the context of industry 4.0 on business models and business processes. In addition, this review helps to lead future studies in this research area. Following this section, the author presents his systematical research process steps in accordance with Tranfield et al. (2013). Additionally, the selection of databases and papers, which form the basis of the literature search, as well as inclusion and exclusion criteria, will be outlined subsequently119. the definition of 3.1 PLANNING THE REVIEW First, bibliographical databases (ScienceDirect and Google Scholar) were searched by applying search strings. To be potentially included in the review, all articles had to contain "German SMEs" AND "business model" OR "business process“ AND the abstract/topic had to contain "industry 4.0" OR "digitalization" OR "cyber physical system" OR "smart factory" OR "industrial internet of things". The search protocols are listed in the appendix . Therefore, only articles published in peer- reviewed academic journals in English after 2011 were included. This is due to the fact 119 (Fink 2014). 18

results, no additional quality standards were applied in terms of the journals in which the articles were published. This approach is supported by Tranfield et al. (2003) and ensures that new and innovative ideas at an early stage of development are supported. However, books and book chapters or bachelor theses were excluded owing to variability in peer- review processes and restrictions in availability127. This amounted to a total of 97 articles. 3.2 REPORTING AND DISSEMINATING OF THE REVIEW the field of Third, a data extraction form was prepared to collect information on the authors ID number and year, objective (research question), type of research, theoretical approach, empirical methodology, key research findings and an appraisal to reference to the research question. The results of this review will be presented in tabular form by year and number of publications, with the aim of providing an overview of the scientific development of research. Therefore a chronologically-ordered contemporary research list will be presented in the appendix. According to the issues discussed above, the author has designed an taxonomy (which will be presented in chapter 4) of the different studies reviewed to facilitate a certain cross-comparison of this literature. Such a classification scheme is developed as an organizing framework of the recent literature centered on Industry 4.0, SMEs, business models and business processes, and is organized by means of a 2x2 matrix along two different axis: theoretical versus empirical research, in the horizontal axis, and exploratory, descriptive research versus hypothesis-testing, explanatory in nature, in the vertical one. The results of this matrix are shown in the following chapter. 3.3 PROCEDURE FOR ANALYSIS At the end of the three phases described in the previous chapter, the author carried out an interpretative synthesis of the content according to Sandelowski & Barroso (2003) 128 Walsh & Downe (2005)129 und Weed (2008)130. To this purpose, the author read in depth the released paper about the meaning and interpretation of the basic concept, the focus and stated purpose of the author(s), the research questions and key findings. Also the methodology and constructs of the phenomena were carefully examined. The author highlights that firstly, his inductive approach consisted of a systematic process of interpretation and synthesis of data131. Secondly, the Author followed Glaser’s (1992) grounded theory approach132 and applied thematic analysis133 (Braun & Clarke, 2006). 127 (Suess 2014). 128 (Sandelowski and Barroso 2003). 129 (Walsh and Downe 2005). 130 (Weed 2008). 131 (Jones, Coviello, and Tang 2011); (Sandelowski and Barroso 2003); (Walsh and Downe 2005); (Weed 2008). 132 (Glaser 1992). 133 (Braun and Clarke 2006) 20

4. REVIEW The author aimed to map and evaluate the current research of Industry 4.0 in context with Germanys business models and business processes of SME across the different levels of analysis based on a thematic analysis of explanatory and exploratory research spanning nearly one decades of research on "Industry 4.0". The sample of this review includes 97 studies. The following table displays the evolutionary development of this research field. Of the 97 articles identified, 79 studies appeared between 2016 and 2019. As illustrated in table 1, the early empirical literature concerning SMEs business models and/or processes in context with “Industry 4.0”, was conducted in 2012. As table 1 also demonstrates, this phenomenon is a budding field of science and still relatively unexplored. Next, the author compiled a list of the authors whose work he reviewed and then identified the scientific approach e.g. major type of research and research approach of each chapter as depicted in table 2, found below. The summary in table 4 provides quite a rich chronological view of 97 theoretical and empirical studies developed during 2011 and 2019. Table SEQ Table \* ARABIC 1 Summary of SME business model and processes in context of Industry 4.0 and related kind studies by source 22

4.1 SCIENTIFIC APPROACH The author analyzed the focal content of each work with focusing on the research methods employed, data acquisition and key findings presented in the discovered papers. The author compiled a list of the reviewed papers’ authors and identified the dominant type of research and research approach of each paper, as depicted in table 4. The author found that of the 97sources, 49 were theoretical and 48 empirical. Further, 36 were exploratory studies. The majority of the empirical papers were qualitative in approach (26/48), 5 adopted a mixed method, and 17 followed a quantitative research methodology. The corresponding authors (as a legend to Fig. 4) can be found above in table 2. Figure SEQ Figure \* ARABIC 4 Methodology Categorization Matrix Most of the studies address all the above categories, directly or indirectly. Thus, the author decided to conduct a detailed analysis. As a result after this step in the review, the author excluded (97-62) 35 papers. The aim of this step was to identify those papers that actually deal with SMEs business models and business processes in context with Industry 4.0. Only papers were included which fits the additional key word search criteria and in terms of content (summary in table 5). The author classified the studies into these content categories: (1) Industry 4.0 /Advanced Manufacturing / Made in China 2025, (2) Smart Factory, (3) Digitization, (4) BIG DATA, (5) IoT / IIoT, (6) CPS / Augmented Reality / Virtual Reality, (7) Cloud Computing, (8) Machine-to- Machine Platforms. Therefore, the author employed this focused, manual content search of the researched papers to ensure that articles of relevance, which use the specified keywords but in terms of deficient content, were excluded. Based on this rigorous selection process, 35 recent studies from at least 14 different academic journals and other similar sources were identified which do not meet the specified criteria. 24

S H A R E O F O R I G I N Asia 8% Others 10% North, South America 3% Others 7% EU 82% EU Asia North, South America Others This leads the author to the conclusion, that pronounced national economies such like German are more interested in this research topic than other industrial nations. Thus, Germany has already started research in the recent years and considers the topic as highly important. The author identified that (64,5%) of the investigated samples were conducted in cross section of industries. These could be analyzed as automotive-, manufacturing-, PR- consulting, - crafts-, agriculture-, retail-, machinery and plant engineering-, business information and IT systems-, recruiting and personnel procurement-, healthcare-, electrical-, forest-, environmental-, measuring equipment, textile-, plastics engineering-, transportation sector. Further, (32,5%) were conducted in the manufacturing sector. Each with (1,5%) were conducted in the electrical vehicle and craft and trade sector. The author concludes that emerging markets such as the automotive suppliers in Germany, which are traditionally strongly represented in the German mechanical engineering industry, are dealing intensively with this topic. His second assumption is that this is also due to current topics in Germany like E-Mobility and the related development of new business fields. In addition, these assumptions underline of the view of the origin of researchers. The author identified that (61,3%) were Germans, followed by (8,1%) Italians, (6,45%) the british and each with (3,3%) Chinese, Sweden’s and Finns. The author identified that the most common method in qualitative research to collect data were semi structured expert interviews (45,5%). Followed by interviews (27,3%), in-depth-interviews (22,7%) and observations (4,5%). Further, he identified that (52,6%) of the qualitative data were collected from experts, key groups of individuals (CEOs, managing directors, and so on) and from lower management and other employees. Further the author identified that (35,5%) of the reviewed studies has an inductive, iterative methodology approach and (51,6%) were theoretical. In summary, it can be argued that, this is a quite interesting fact about the samples, there is not a significant portion of the current literature about the investigated phenomena which has often deal directly with a significant same industry. The next subsection discusses the identified findings of this systematic literature review. While those more specific results contained in each separate study have been extensively reviewed by the author in Table 2, in this section the author was interested 26

4.4 A CROSS COMPARISON OF KEY RESEARCH FINDINGS In this section the author is interested in extracting general patterns related to previous findings and conclusions in "Industry 4.0" research, while those more specific results contained in each separate study have been extensively reviewed in Table 1 (grosse Tabelle). Consequently, the author ordered the findings into the categories discussed above and also found mixed results with respect to their validity and significance: (1) digital transformation, (2) labor skills and employee skills, (3) information and communication, (4) financial performance and orientation, (5) corporate visions and strategy. 4.4.1 DIGITAL TRANSFORMATION The term “digital transformation" within a business context is an attempt to describe how processes are affected by digitally technologies and how they will be change. According to Chaoji and Martinsuo (2015), the digitalization is changing the nature of the way businesses work. Digitalization relates to the connection between knowledge codification and the possible de- contextualization of activities and it is an ongoing process of change based on digital technologies140. Therefore, it changes the way companies work and also the market environment in which they operate141. According to Andersen (2006) the digitalization of activities is an important factor for an understanding of value-added chains and of the variability in location and in their configuration. Automatable digital processes will replace conventional processes, which are often based on manual work. Given to the fact that customers also use digital technologies, their expectations will also change ("everything, and immediately"). This results in an enormous market dynamic, which also requires new, more efficient and more agile forms of business organization 142. Kilmartin’s (2014) study demonstrated the causal relationship between the Digital Trans-formation and marketing activities e.g. the social media marketing of SMEs. He points out that the Internet of Things has revolutionized marketing143. Further he refers that it is a network of globally interlinked computers operating on a standard protocol which allows data to be transferred between otherwise incompatible machines. Internet Marketing uses digital and information technology to fulfill traditional marketing practices. It is at the core of digital-business. Internet marketing is an indispensable instrument. However, he points out that there is no single procedure for Internet marketing that describes how companies can adapt to new trends and technologies and how they can evolve. Further, this work highlights that IM is in general exploratory and reactive. Another important fact of this study is, that it shows that younger SMEs embrace new technologies more than those in longer operation. This indicates that resources, ability and skills are important factors. SMEs with little knowledge should avail of any incentives from government agencies or experts’ agencies. In addition, this research investigated the common SME Internet 140 (Chaoji and Martinsuo 2016). 141 (Andersen 2006). 142 (Staufen 2018). 143 (Kilmartin 2013). 28

aspects of cutting down costs or improving processes. The authors agree, that in the future the digital transformation impacts inevitably wide areas of business processes. In their explorative study, the authors show that SMEs tend to be conservative in their approach to this topic. Many companies and/or decision makers are still waiting for a critical mass to drive this digital transformation and need pressure from the market or business partners. On the other side they are aware of the drivers for a change. A greater competition, increasing digitalization of business processes and an environmental awareness causes a rethinking of their mindset147. Schröder (2016) supports these statements. Digital transformation, e.g. the intelligent networking of machines and processes, will make business processes, such as the production, more efficient and thus optimizes resources and achieves cost savings. Through the use of "Cyber-Physical Systems" (CPS), business processes such as logistics are being digitalized. So, from the logistics point of view, the Digital transformation enables more efficient flows of goods and information which will enable lower stocks and plant efficiency. Thus, it optimizes resources and saves costs, such as inventory costs. Overall, it improves the lead time and with effects to a more efficient flow of goods to the customer and thus a shorter cash back. In retrospect, this will have strategic effects, such as safeguarding locations. Finally, Schröder points out that digital transformation is an ongoing process of change, based on digital technologies, that changes the employees work and the market environment. This will not mean the end to industrial labour, but a change to it. Technological change and new requirements for work content and processes as well as necessary qualifications and competencies are two sides of the coin. In the long term this will also have an impact on the total costs of the companies because the employee skills are becoming more important. Professional requirement profiles are becoming more demanding and more complex148. Eichhorst et al. (2017) highlight that the Digital Transformation fundamentally change the functioning of labour markets and therefore they will change established business processes such e.g. the human resources department. In their work they point out that this important (business) resource must be optimized in the future in order to keep up with the requirements of the digital transformation. However, the authors highlight that the full dimension of the digital transformation is only emerging and scenarios of massive upheaval and disruptions are not (yet) matched with the evidence at hand. According to their study, there are two main risks or challenges involved. The first is to avoid, or at least limit, a further divide in and polarization of the labour market, due changing labour demand. Skill upgrading for the labour force, not only in terms of initial general and vocational education, but also over the entire employment career, will be crucial to safeguarde employability for a broad segment of the population in the future. The second issue that needs to be addressed is to make social insurance more inclusive and sustainable in a situation where we can expect to see more self-employed or freelance activities and a more global, highly mobile and fluid way of working, delivering and using services. Finally, this work shows, that the Digital transformation in context of the demand of new labour skills will also have an impact on the costs of companies and governments. The Authors suggests that Public politics, however, should undertake the support and funding of further training activities 147 (Kuehne, Kosch, and Cuylen 2015). 148 (Schroeder 2016). 30

structural and organizational challenges. They highlight that SMEs must primarily optimize and digitalize their business processes, because even market leaders are permanently challenged by new competitors. This means that companies must initiate a long-term change process in order to develop and improve. In summary, this paper demonstrates that changes, that will be accompanied by Digital transformation, can be orchestrated under the guidance of a suitable CDO. The authors highlight that in SMEs the managerial functions and tasks of a CDO can be assigned to the categories of the digitalization and strategic management. This requires the support of the entire company, since digitalization is not an isolated process, but rather affects many parts of the business155. 4.4.2 LABOR SKILLS AND EMPLOYEE SKILLS On the labor and employee skill level, Dapp and Heine (2014) established that the specialization of skill requirements in the labour market will alter, i.e. due to the increased growth caused by the digital revolution in term of Big Data, employers in business, academia and politics will demand better qualifications from prospective employees. They highlighted that e.g. Big Data will create new types of jobs, such as data analysis specialist and algorithm expert. Additionally, they found out that decision- makers are well aware that big data is a subject of great strategic relevance, offering lucrative opportunities for growth in the medium for a long term, but they often lack suitable digitization strategies, trained staff and experts to face the new challenges and the necessary management skills. There will be lucrative opportunities for career changers with a background in statistics, mathematics, information technology, data analysis, artificial intelligence or robotics with a growing demand for big data methods, as they have sought-after transferable skills. Last, they point out that established business models and business processes will have to undergo an at times painful transformation process156. Janevski et al. (2015) found a significant relationship between the advancing digitalization and the problem related to the scarcity of skilled employees 157. The authors point out that for SMEs it is hard to hire specialist with the specializing of skilled workers in an era of globalization and digitalization on people’s private and professional life. This is caused by rising wages of specialized employees158. Venkatraman and Fahd (2016) examined the relationship between a system implementation in SMEs and the common challenges and barriers they are faced. The authors explored that SMEs generally have a lack of specialists, e.g. technical and business specialists, within the organizations. The scarcity of specialized resources required for initiation, adoption and implementation of new technology, like ERP, creates a negative impact on SMEs. Even if SMEs have skills, it is difficult for SMEs to retain experienced staff. Also, an important output of this study investigated in 2016 are next barriers to system implementation (e.g. ERP) in SMEs. They found that most SMEs develop inadequate definitions of functional requirements and they do not analyze the features of the ERP system according to their environment and culture, caused by missing technical and business specialists within the organizations. The 155 (Becker, Schmid, and Botzkowski 2018). 156 (Dapp and Heine 2014). 157 (Janevski, Davitkovska, and Petkovski 2015). 158 (Janevski, Davitkovska, and Petkovski 2015). 32

and training of employee skills. In summary, they point out that this could be the first step for traditional manufacturing companies to embrace the Industry 4.0 without addressing high risks164. Chang and Yeh (2018) established that Talent is a key resource in the development of Industry 4.0 and is needed to be integrated in related technology (e.g. IoT, big data, and cloud computing). The authors also discovered that the investigated companies actively invested in lean management, IoT, cloud computing, and big data. They consider that Industry 4.0 implementation will fully upgrade their production facilities and software systems. Moreover, they are aware that the required investment is substantial. The authors highlighted that Industry 4.0 implementation does not affect job numbers. However, companies must adjust their talent development practices to generate specialist or talents. Talent is a key resource in the development of Industry 4.0. In Industry 4.0 factories, practitioners are no longer ‘operators’. They are promoted to specialists e.g. to ‘controllers’ and ‘managers’ who make decisions about production planning issues. Last, they found that companies obtain talent using external resources such as strategic alliances, mergers and acquisitions, and outsourcing165. Müller and Voigt (2018) take a more critical view of current developments at the phenomenon. In their study they found that in contrast to larger organizations, SMEs evaluate the impact of Industry 4.0 lower. Further, the authors found empirical evidence of a claim of German SMEs, that “Industry 4.0” might be designed more towards the requirements of larger enterprises. Therefore, its benefits might be harder to capture for German SMEs. Last, they proved that in China there are much larger plans to replace human workforce by automation than in Germany. As for skills shortages, the general shortage of skilled personnel or specialists in German SMEs might be exacerbated by the IIoT that requires even more IT-oriented jobs in traditional industries166. The output of a study about the common challenges and barriers faced by SMEs in the context of Industry 4.0 is also important, which Fatorachian and Kazemi investigated in 2018. They found, that Industry 4.0 leads to an establishment of intelligent products and factories. The so-called smart factories can easily deal with the need for rapid product development and flexible production which includes smart processes. However, specialists are increasingly needed for this purpose. They highlight the management of these business processes. Thus, Industry 4.0 and their technological innovation (e.g. a new concept of ‘Industrial Internet’) make clear the importance of intelligent machines, advanced data analytics, and people in effective management of business processes, as the authors emphasize167. Hecklau et al. (2016) illuminated the impact of Industry 4.0 on HR, which is a part of a business process. They pointed out, that Industry 4.0 will have a massive impact on Human Resources Management, due to the fact that every job in today’s business processes has different requirements. The competencies are becoming progressively important and need to be addressed and managed by human resource (HR) development. They identified the following core competencies. (1) Technical- , (2) Methodological- , (3) Social- , (4) Personal competencies. The competencies are becoming progressively important and need to be addressed and managed by human resource development. They found that new strategic approaches for holistic human resource management are needed in manufacturing companies. In summary, this means that HR must also become more 164 (Ibarra, Ganzarain, and Igartua 2018). 165 (Chang and Yeh 2018). 166 (Müller(A) and Voigt (A) 2018). 167 (Fatorachian and Kazemi 2018). 34

the increasing speed of business processes, the classical hierarchy in companies will be abolished in the future and decision-making processes will be accelerated. The flattening of the hierarchical structure leads to greater personal responsibilities as well as higher action competences of the employee174. Friedrich-Baasner et al. (2018) explored that the security and handling of data and the lack of know-how and transparency (security) have the highest significance for German SMEs. Thus, trust, privacy and security are the most relevant influencing factors and the authors confirmed that through this relevance the management and structures of organizations will changed175. Müller and Voigt (2017) explored that organizational key resources are the most named building block within their investigation and are also named predominantly by providers of Industry 4.0‐based solutions. They highlighted that this structures of the production will be affected. The so called `creative problem‐solvers` can be reasoned by the circumstance that manufacturing firms have to obtain competencies regarding IT, as data analysis experts are required as well as associated hardware. They pointed out that especially the management and the organizational are required increasingly. Otherwise, less changes are expected for employees in production itself176. 4.4.3 INFORMATION AND COMMUNICATION A number of researchers have found that through the Industry 4.0 and the computerization and digitalization of business processes, the Information and Communication receives a higher weighting than it already had in the past. Leonhardt and Wiedemann (2015) found that the abstract term Industry 4.0 is addressing different aspects with implications for the industrial value chain, economy and society. Thus, Industry 4.0 combines digitalization of information and communication with connection of people, goods and processes. They established that, similar to the three proceeded industrial revolutions, key technology lies at the core of Industry 4.0. This key technology is the so-called CPS, “cyber psychical system”. CPS can be embedded in all kinds of objects, like materials, devices, machines, buildings, means of transportation or in entire logistic and production processes. It facilitates a real time communication via internet. Processes, such as the production or logistic processes, will become more flexible and efficiently. In summary, real time controllable value- added networks become marketable177. Zhou et al. (2016) examined the relationship between Industry 4.0 and the major trends of the future manufacturing. The authors found that CPS, which is a core technology of Industry 4.0, combined informations and processes in the industry, whose purpose is both to better intelligent manufacturing. IT provided technical support for the digital transformation and upgrading of the manufacturing industry, which can be summed up in three aspects: product intelligence, process intelligence and internet-based manufacturing178. Thoben et al. (2017) examined how Industry 4.0 and smart manufacturing had transformed to a data focused supply network wide integration of Information and Communication technology. They found that Industrial production in the near future will be characterized by the strong individualization of products under the conditions of highly 174 (Fettig et al. 2018). 175 (Friedrich-Baasner, Fischer, and Winkelmann 2018). 176 (Müller (D) and Voigt (D) 2017). 177 (Leonhardt and Wiedemann 2015). 178 (Zhou, Liu, and Liang 2016). 36

4.4.4 FINANCIAL PERFORMANCE AND ORIENTATION Most of the identified papers in this work had established a relationship with firms’ resources and finance situation and the transformation- performance. Kiel et al. (2017) proved that the rising expenses for IT facilities, software, and platforms associated with the technology-driven character of Industry 4.0 leaded to restrained attitude in SMEs. They highlighted, that Managers were reserved to invest into technological IT investments. Despite the fact that e.g. the IIoT requires resources and large investment in IT facilities but on the other hand it also comes with several cost reduction potentials to be captured184. Goerzig et al. (2018) found that digitalization confronts small and medium-sized enterprises (SMEs) in machinery and plants engineering with high challenges, due to the lack of resources. This is in particular the case in product development. On the one hand, many new technological trends, especially in the field of information and communication technology, are available and on the other hand, new customer demands for individualized products are arising185. Due to limited resources, it is difficult, in particular for SMEs, to follow the trend to the road of Industry 4.0. Thus, as digitalization progresses, the role of IT in the development of innovative products is increasingly strengthened, but the financial potential is unclear and so the need to build up own competencies is not derived. There is no specific digitalization planning and thus projects are mostly initiated bottom-up186. Müller and Voigt (2018) explored that SMEs in Germany had low digitization levels in comparison to larger organizations. These might rely on the lack of adequate financial resources. Further, they found the empirical evidence of a claim of German SMEs, that “Industry 4.0” might be designed more towards the requirements of larger enterprises. Its benefits therefore might be harder to capture for German SMEs187. Moeuf et al. (2017) study demonstrated that "Industry 4.0" provides new paradigms for the industrial management of SMEs. Supported by a growing number of new technologies, this concept appears more flexible and less expensive than traditional enterprise information systems such as "ERP" and "MES". They highlighted that Industry 4.0 tools may require large investment and a high level of expertise. In addition, they highlighted that the lack of resources, expert support functions in SMEs, such as a supply chain manager, or information technologies could be compensated by high financial expenses188. Sciascia et al. (2015) established that the degree of family ownership and the overlap between family wealth/or resources and firm equity are two important conditions that should be considered when making recommendations on R&D investments to family SMEs. The authors argued that this overlap strongly influences the innovative behavior of the owning family in the context of SMEs. In their statistical analysis, the authors showed that the degree of family ownership affects the R&D intensity negatively when the invested amount of family wealth in the SME is high, whereas family ownership affects the R&D intensity positively when the invested amount of family wealth in the SME is low. They pointed out that this suggests the complex role of family owners in decisions relating to R&D investments in small- and medium-sized firms. Finally, R&D investments are acknowledged to be an important antecedent of the creation and generation of economic growth189. 184 (Kiel, Arnold, and Voigt 2017). 185 (Goerzig et al. 2018). 186 (Goerzig et al. 2018). 187 (Müller (B) and Voigt (B) 2018). 188 (Moeuf et al. 2017). 189 (Sciascia et al. 2015). 38

agile and have more flexible infrastructures and decision-making processes. They can potentially turn data into new business ideas and therefore turn it more quickly into profits than their larger competitors. In summary, the author highlighted that SMEs should develop a digital strategy and should make networking a priority and team up in order to compensate resources e.g. in big data194. Becker and Ulrich (2016) found that the strategic orientation of SMEs in the manufacturing sector is strongly geared towards process- standardization in the context of industry 4.0, while service providers see the digitization of interfaces to their customers as the most important priority195. Wang et al. (2016) found that the introduction to the subject for the affected SME is proved to be difficult. The authors established strategical guidance on how to address “Industry 4.0” in order to identify enterprise specific technology solutions. The aim is to optimize and standardize existing processes to advance existing business models and to exploit new business models196. Schneider (2016) found that in particular, small and medium-sized enterprises (SMEs) have difficulties in assessing the phenomenon subsumed under “Industry 4.0” for themselves, and science has not yet supported them in this by a comprehensible conceptualization. He highlighted that one strategic approach is the business model concept, which enables a systematic and coherent view of the phenomenon from different perspectives. In summary, with this strategic tool, the complex influences of industry 4.0 could be presented concisely and action implications were clarified197. Mittal et al. (2018) examined the maturity of SMEs and their recognizing in context of Industry 4.0. The results of this study showed that currently only a limited number of strategical "Industry 4.0" visions and roadmaps and/or maturity models, that were available, reflected the specific requirements and challenges of SMEs. In summary, they highlighted that there is a need for an SME- tailored vision of “Industry 4.0”198. Ghobakhloo (2018) established for manufacturing industry the strategical directions for business processes and their strategic roadmap for "Industry 4.0" transition are essential. This is due to the fact that technological innovations and changes in business environments affect both firms’ short-term performance and long-term sustainability. The author highlighted that it is necessary for firms to formulate an appropriate technology strategy to support their planning for interacting with upcoming future technological developments such as “Industry 4.0” when future directions and options in technology are obscure and uncertain 199. From both strategic and technological perspectives, the transitioning towards “Industry 4.0” requires a comprehensive strategic road map. The “Industry 4.0” is revolutionizing the rules of business, as well as the consumer market who is looking for smart products that can be offered as services, and are more personalized than ever before. Nevertheless, many traditional manufacturers continue to operate under marketing strategies their effectiveness. Further, manufacturers that are transitioning into Industry 4.0 need to devise new marketing strategies, and the assessment of their level of digital market maturity is the first step for this purpose. To fully capitalize on opportunities offered by digitization, that have already passed that 194 (Engels 2017). 195 (Becker and Ulrich 2016). 196 (Yübo Wang, Wang, and Anderl 2016). 197 (Schneider 2016). 198 (Mittal et al. 2018). 199 (Ghobakhloo 2018). 40

customers need are forced to search for new ways in businesses 204. Kováčiková and Štofková (2018) found that for industrial enterprise it is inevitable to have a strategy with the main purpose to which the business will be directed, and to set processes in a way that fits them the best. It is fact that "Industry 4.0" deals with the optimization of the entire value chain in product life cycles. This product life cycle is based on increasing individual customer requirements. The authors highlighted that it starts with the idea followed by the work, development, production and delivery to the end customer until recycling, including all the services, are involved. Further, they found that a necessary step is the automatic collection of data and the data analyzing. They highlighted that the collected information enables to have an optimization of the company's own production processes as well as the entire value chain. They pointed out that ignoring this new reality would lead to a gradual loss of competitiveness 205. Lampela. et al. (2014) found that a successful transformation of the competences and the company strategy and that generating new business model innovations are crucial for achieving sustainable and inclusive growth in the long run. They highlighted that as a result of sudden changes in the business environment, SMEs in many industries are facing the need to change their business models radically and seize new business opportunities or fall out of business 206. Özel et al. (2014) found that SMEs needed strategic and sustainable partnerships during transformation to both build an efficient supply chain and share risks. They highlighted that for SMEs it is difficult to contract with larger companies. Further SMEs were cautious to exploit new technologies due to difficulties of protecting intellectual property207. Richter et al. (2015) established that shareconomy constitutes new and various opportunities for SMEs and their business models. They found that sharing and thus reducing the individual consumption of potential customers as a business model has remained relatively unknown so far, with the applicability of sharing, described in only the rarest of instances. Further, they found that shareconomy is a budding field of science and deals with the new movement of sharing goods with others instead of buying them. They highlighted three dimensions of shareconomy (1) sharing of digital content, (2) sharing of physical goods (3) and the participation in commercial, cultural, and social projects. In summary, they highlighted that a shareconomy strategy constitutes new and various opportunities for entrepreneurs. The authors mentioned, that it is not tied to ‘limits to growth’. Innovative and niche-filling activities and business opportunities in the field of sharing are options for entrepreneurial success and will open new opportunities for sustainability-driven entrepreneurship208. Sommer (2015) established that enterprises – depending on their size – are more or less risk susceptible in context with "Industry 4.0". “Industry 4.0" represents a special challenge for businesses in general and for SMEs in particular. Further he found that, as a rule, for SMEs there is an awareness concerning the relevance of "Industry 4.0". The author highlighted that SMEs' readiness and the capability to meet this challenge exist in parts. However, they strongly depend on the enterprise size. The smaller the SMEs are, the higher the risk that they will become victims instead of beneficiaries of "Industry 4.0". Last, the author pointed out that SMEs have to be urgently supported in a separate way as they are less capable of coping with the financial, technological and staffing challenges than large enterprises 209. Due 204 (Gerlitz 2017). 205 (Kováčiková and Štofková 2018). 206 (Lampela, Taipale-Erävala, and Heilmann 2014). 207 (Özel et al. 2014). 208 (C. Richter, Kraus, and Syrjä 2015). 209 (Sommer 2015). 42

suggest that the policy orientation of the USA tends to favor demand-side policy, public services, politics, education and training policies, while policy preferences in Germany tend to favor demand-side policy, public services, scientific and technical development and political policies, while for China, it is environmental-side policy, political, legal and regulatory, and public service policies 213. 5. DISCUSION, LIMITATIONS, IMPLICATIONS AND FURTHER RESEARCH DISCUSSION The aim of this paper was to bring more structure and light into the “black box” of the wide field in research of Industry 4.0 and business models and their processes of SMEs. Enhancing the authors understanding of this topic will benefit future research as well as practitioners. Thus, the authors goal was first to present the current state of research in "Industry 4.0" and on German SMEs and their business models and business processes. Secondly, the author intends to map and evaluate the preceding and current results of research on the topic at the various levels of analysis, based on a thematic analysis of the most important findings, after almost a decade of research on the “fourth industrial revolution”. Of the 62 sources, 32 were theoretical and 30 empirical. The majority of the empirical work was qualitative in approach (19/30), 3 adopted a mixed method, and 8 followed a qualitative research methodology. As a summary, the author was able to underline that the applied method in this research area can be assigned to a qualitative research method. This study has advanced research in SME and business model and processes in a number of ways. The first contribution is the actual recording of the empirical point of view on this wide theme of Industry 4.0. The second contribution lies in identifying key areas within which SMEs operate and thus how they sharply focuses in their operational context for their business models and processes and to point out a trend. This paper shows that, the literature on SMEs business model and processes, until now less well researched and it demonstrates that there is little overview and consensus on this research field. By drawing together the current state of research and to visualizing the disruption caused by Industry 4.0, the author helped to categorize trends and outcomes more clearly by level and identify the gaps to be addressed by future research into SMEs in context with Industry 4.0 and the business models and processes. The author points out that there are, some limitations to his systematic literature review. Not every study examined used the term words explained in the chapter 3, using instead words or terms that the author interpreted to be similar in meaning to the digitization and disruptive trends of Industry 4.0. The author also acknowledge that some studies dealt primarily with technologically trends of Industry 4.0 and either the impact on business models and processes, while other studies mentioned these only in passing. The author incorporated a few review studies on Industry 4.0 as a means of capturing existing critical evaluations of the work carried out on Industry 4.0 research. Furthermore, the author points out that in his review articles which were published in journals that have not met the inclusion and ranking criteria discussed above as well as articles that were published before 2011 were not included in his work and also articles that were written in strong context of the phenomenon of Industry 4.0 213 (Kuo, Shyu, and Ding 2019). 44

THEORETICAL AND PRACTIONERS´ IMPLICATIONS The findings point out recommendations for both, managers and researchers involved in activities of SMEs and business model and process in context with Industry 4.0. The author believes this study could benefit them by having identified and also comparatively assessed the most relevant work. The methodology used for this systematical literature review has allowed the author to analyze a number of recent, determined chosen papers that were systematically compared along the following criteria, main objective/research question and type of research followed by theoretical approaches, empirical methodology followed by the key research findings and the reference/ relevance to the authors work. This systematic literature review has identified key areas where SMEs and their strategies and operations can be aligned in Industry 4.0 contexts. SMEs need to adopt a digitalization strategy aimed at innovativeness, pro-activeness and risk management. They also need to install information system based on dynamic programming to improve proactive management of the environmental respectively the supply chain context. In addition, in a digitized world, human resource management will have to overcome major hurdles in order to be able to meet the requirements of "tomorrow's employees", which have changed as a result of digitalization. IMPLICATIONS FOR RESEARCH Based on this review, the author established that future research should work on more business processes. He could demonstrate that the transformation especially on the German SME caused by Industry 4.0 receive not much attention so far. Important business processes such as resource management, quality department, industrial engineering or order management and shipment logistics have not yet been examined. They can be found in the circumstance that the research so far has been done insufficiently and that in-depth studies are missing. Last, future research should be investigated how Industry 4.0 impacts the cooperation between SMEs from different industries, as complementing abilities in value creation become increasingly important. the procurement, human IMPLICATIONS FOR PRACTIONERS The present review suggests that the complex transformation of SMEs calls for a more holistic multi-faceted approach (Wash and Downe, 2005) with respect to theory, methods, and measures. In terms of theoretical viewpoints, the author sees a trend towards under the pressure of the transformation to respond more quickly to changing competitive conditions and the ongoing digitalization. SMEs have so far adopted standard (three- to five-year) strategy planning methods. Under this pressure to respond more in time, management today should more likely to adopt a rolling strategic plan, which it updates as needed, rather than the previously common three- to five- year plan. How well does the SMEs business model and processes keep pace with the evolving strategy? Today, SMEs do not have enough resources to redesign their organizations before starting the next one. Practitioners can guide their future in the field of "Industry 4.0" and develop a corporate strategy and established a digital strategy to face the challenges of this highly complex cross- cultural environment. They should not be afraid to acquire knowledge in the form of experts within the organization 46

Cagliano, R., Blackmon, K. & Voss, C. (2001). “Small Firms under MICROSCOPE: International Differences in Production/Operations Management Practices and Performance.” Integrated Manufacturing Systems 12(7): 469–82. Casadesus-Masanell, R., & Ricart, J. E. (2010). “Competitiveness: Business Model Reconfiguration for Innovation and Internationalization.” Management Research 8(2): 123–49. Chalmers, I., Enkin, M. & Keirse, M. J. N. C. (1993). “Preparing and Updating Systematic Reviews of Randomized Controlled Trials.” The Milbank Quarterly 71(3): 411–37. Chang, Y.-H., & Yeh, Y.-J. Y. (2018). “Industry 4.0 and the Need for Talent: A Multiple Case Study of Taiwan’s Companies.” International Journal of Product Development 22(4): 314–32. Chaoji, P., & Martinsuo, M. (2016). “Successful Creation of Radical Manufacturing Technology Innovations.” Proceedings of the 10th World Congress on Engineering Asset Management (WCEAM 2015).Lecture Notes in Mechanical Engineering.: 121–32. Charmaz, K. (2006). 1 Statewide Agricultural Land Use Baseline 2015 Constructing Grounded Theory. A Practical Guide Through Qualitative Analysis. Thousand Oaks, CA: SAGE Publications Inc. Childe, S.J., Maull, R. S. & Bennett, J. (1994). “Frameworks for Understanding Business Process Re- Engineering.” International Journal of Operations & Production Management 14(12): 22–34. Clauss, T. (2017). “Measuring Business Model Innovation: Conceptualization, Scale Development, and Proof of Performance.” R & D Management 47(3): 385–403. Coleman, S. et al. (2016). “How Can SMEs Benefit from Big Data? Challenges and a Path Forward.” Quality and Reliability Engineering International 32(6): 2151–64. Cooper, H. M. (1998). Synthesizing Research: A Guide for Literature Reviews. 3. Edition. Thousand Oaks, California 91320: Sage Publications, Inc. Corrocher, N., Mavilia, R., & Giorgio, M. (2018). “The Sino-German Alliance for the Fourth Industrial Revolution: Dynamics and Policy Implications.” Journal of Economic Policy Reform: 1–21. Dapp, T. F. & Heine, V. (2014). “‘Big Data’ The Untamed Force.” In Deutsche Bank Research Management, ed. Lars Slomka. Frankfurt am Main, Germany. DaSilva, C. M. & Trkman, P. (2014). “Business Model: What It Is and What It Is Not.” Journal of Long Range Planning 47(6): 379–389. Davenport, T. H. (1993). Process Innovation: Reengineering Work Through Information Technology. Boston, MA.: Harvard Business School Press. Davenport, T. H. & Short, J. E. (1990). “The New Industrial Engineering: Information Technology and Business Process Redesign.” Sloan Management Review 31(4): 1–11. Degryse, C. (2016). 02 Journal of SSRN Digitalisation of the Economy and Its Impact on Labour Markets. Demil, B., Lecoq, X., Ricart, J. E. & Zott, C. (2015). “Introduction to the SEJ Special Issue on Business the Domain of Strategic Entrepreneurship.” Strategic Models: Business Models within Entrepreneurship Journal 9(1): 1–11. Denyer, D. & Neely, A. (2004). “Introduction to Special Issue: Innovation and Productivity Performance in the UK.” International Journal of Management Reviews 5–6(3–4): 131–35. Dijkman, R. M., Sprenkels, B., Peeters, T. & Janssen, A. (2017). “International Journal of Information Management Business Models for the Internet of Things.” International Journal of Information Management 35(6): 672–78. Döpper, P. (2017). “Digitale Reife von KMU Und Familienunternehmen.” Technischen Universität Dresden Fakultät. Döring, N. & Bortz, J. (2016). Forschungsmethoden und Evaluation in den Sozial- und Humanwissenschaften. 5. Auflage. Berlin: Springer (Springer-Lehrbuch) -Verlag. Eichhorst, W. et al. (2017). “Digitalisation of the Welfare State.” In CESifo Forum, München, Germany: Institut für Wirtschaftsforschung (Ifo), 3–8. Engels, B. (2017). “Detours on the Path to a European Big Data Economy.” Intereconomics 52(4): 213– 16. European Commission. (2017). SME Performance Review Annual Report on European SMEs 2016/2017. Manchester. Fatorachian, H. & Kazemi, H. (2018). “A Critical Investigation of Industry 4.0 in Manufacturing: Theoretical Operationalisation Framework.” Production Planning and Control 29(8). Federal Ministry of Education and Research of Federal Republic of Germany Bmbf. (2019). “Background to Germanys Industry 4.0 Platform.” Platform Industry 4.0: Background to the Industry https://www.plattform- i40.de/PI40/Redaktion/DE/Standardartikel/hintergrund-plattform.html (March 31, 2019). Platform. 4.0 Federal Ministry of Education and Research of Federal Republic of Germany Bmbf. (2019). “Industry 4.0.” Future Project Industry 4.0: Industry 4.0. https://www.bmbf.de/de/zukunftsprojekt- 48

Kang, H. S. et al. (2016). “Smart Manufacturing: Past Research, Present Findings, and Future Directions.” International Journal of Precision Engineering and Manufacturing - Green Technology 3(1): 111–28. Kiel, D. (2017). “What Do We Know about " Industry 4 . 0 " so Far ?” In International Association for Management of Technology, Vienna: Proceedings of the 26th International Association for Management of Technology (IAMOT) Conference, 866–87. Kiel, D., Arnold, C. & Voigt, K. I. (2017). “The Influence of the Industrial Internet of Things on Business Models of Established Manufacturing Companies – A Business Level Perspective.” Technovation 68(July): 4–19. Kiel, D., Müller, J. M., Arnold, C. & Voigt, K. I. (2017). “Sustainable Industrial Value Creation: Benefits and Challenges of Industry 4.0.” International Journal of Innovation Management 21(08): 1740015. Kilmartin, J. (2013). “Internet Marketing a Study within SME’s.” Letterkenny Institute of Technology. Kinkel, S., Kleine, O. & Diekmann, J. (2014). “Interlinkages and Paths of German Factories’ Manufacturing and R&D Strategies in China.” Journal of Manufacturing Technology Management 25(2): 175–97. Klang, D., Wallnöfer, M. & Hacklin, F. (2014). “The Business Model Paradox: A Systematic Review and Exploration of Antecedents.” International Journal of Management Reviews 16(4): 454–78. Kováčiková, M., & Repková Štofková, K. (2018). “Comparison of the INDUSTRY 4.0 Concept in Selected Countries in the Period of Globalization.” In CBU International Conference Proceedings, , 253–59. Kreuzer, S., Born, F. & Bernius, S. (2014). “Micro-Firms Need to Be Addressed Differently–an Empirical Investigation of IOS Adoption Among SMEs.” In Twentieth Americas Conference on Information Systems, Savannah, 1–11. Kuehne, K., Kosch, L. & Cuylen, A. (2015). “Will XML-Based Electronic Invoice Standards Succeed?- An Explorative Study.” In ECIS 2015 Completed Research Papers. Paper 113.,. Kuo,C.-C., Shyu J. Z. & Ding, K. (2019). “Industrial Revitalization via Industry 4.0–A Comparative Policy Analysis among China, Germany and the USA.” Journal of Global Transitions 1: 3–14. Lampela, H., Taipale-Erävala, K. & Heilmann, P. (2014). “Growth through SME Business Model Innovations and Competence Changes.” International Journal of Management, Knowledge and Learning 6(2): 175–92. Lasi, H., Fettke, P., Feld, T. & Hoffmann, M. (2014). “Industry 4.0.” Business and Information Systems Engineering 6(4): 239–42. Lee, R.G., & Dale, B. G. (1998). “Business Process Management: A Review and Evaluation.” Business Process Management Journal 4(3): 214–25. Leonhardt, F. & Wiedemann, A. (2015). “Realigning Risk Management in the Light of Industry 4.0.” Journal of SSRN: 1–22. Liikanen, E. (2003). “Comission Recommendation of 6 May 2003 Concerning the Definition of Micro, Small and Medium-Sized Enterprises.” Official Journal of the European Union: 36–41. Loebbecke, C. & Picot, A. (2015a). “Reflections on Societal and Business Model Transformation Arising from Digitization and Big Data Analytics: A Research Agenda.” Journal of Strategic Information Systems 24(3): 149–57. Loebbecke C. & Picot, A. (2015b). “Reflections on Societal and Business Model Transformation Arising from Digitization and Big Data Analytics: A Research Agenda.” Journal of Strategic Information Systems 24(3): 149–57. Maekelburger, B., Schwens, C. & Kabst, R. (2012). “Asset Specificity and Foreign Market Entry Mode Choice of Small and Medium-Sized Enterprises: The Moderating Influence of Knowledge Safeguards and Institutional Safeguards.” Journal of International Business Studies 43(5): 458– 76. Man, J. C. de & Strandhagen, J. O. (2017). “An Industry 4.0 Research Agenda for Sustainable Business Models.” Procedia CIRP 63: 721–26. Masdefiol, R., del Mar, M. & Stävmo, F. (2016). “Industry 4.0–Only Designed to Fit the German Automotive Industry: A Multiple Case Study on the Feasibility of Industry 4.0 to Swedish SMEs.” Matthews, P. (2007). “ICT Assimilation and SME Expansion.” Journal of International Development 19(6): 817–27. Maynard, A. D. (2015). “Navigating the Fourth Industrial Revolution.” Nature Nanotechnology 10(12): 1005–6. Mittal, S., Ahmad Khan, M., Romero, D. & Wuest, T. (2018). “A Critical Review of Smart Manufacturing & Industry 4.0 Maturity Models: Implications for Small and Medium-Sized Enterprises (SMEs).” Journal of Manufacturing Systems 49: 194–214. Moeuf, A. et al. (2017). “The Industrial Management of SMEs in the Era of Industry 4.0.” International 50

Schircks, A. D., Drenth, R. & Schneider, R. (2017). Strategie Für Industrie 4.0. eds. Dr. Arnulf D. Schircks, Randy Drenth, and Roland Schneider. Wiesbaden: Springer Fachmedien Wiesbaden. Schneider, P. (2016). “Welche Auswirkungen Hat Industrie 4.0 Auf KMU? Das Geschäftsmodell Als Analyseinstrument.” ZfKE – Zeitschrift für KMU und Entrepreneurship (SBR) 64(4): 253–79. Schroeder, W. (2016). FES Germany’s Industry 4.0 Strategy. London. Schüßler, M. (2016). “Entrepreneurial Business Models – Theoretische Grundlagen Und Mögliche Forschungsfelder.” ZfKE – Zeitschrift für KMU und Entrepreneurship 64(4): 281–99. Schwab, K. (2018). World Economic Forum Reports 2018 The Global Competitiveness Report 2018. Cologny/Geneva, Switzerland. www.weforum.org/gcr. Schwab, K. (2016). Die Vierte Industrielle Revolution. München: Pantheon Verlag. Schwickert, A. C. & Fischer, K. (1996). The Business Process as a Formal Process: Definition, Characteristics, Types. Mainz: Department of Business Administration and Business Informatics. Sciascia, S., Nordqvist, M., Mazzola, P. & De Massis, A. (2015). “Family Ownership and R&D Intensity in Small‐and Medium‐sized Firms.” Journal of Product Innovation Management 32(3): 349–60. Setzke, D. S., Rödel, T., Böhm, M. & Krcmar, H. (2019). “Towards a Conceptualization of Capabilities for Innovating Business Models in the Industrial Internet of Things.” In 14th International Conference on Wirtschaftsinformatik., Siegen, Germany. Slack, N., Chambers, S. Johnston, R. & Betts, A. (2009). Operations and Process Management : Principles and Practice for Strategic Impact. Second Edi. Harlow, England: Pearson Education Limited. Small Business Administration. (2019). “Table of Small Business Size Standards Matched to North Industry Classification System Codes.” Small Business Administration. American http://www.sba.gov/content/small- business-size-standards (March 19, 2019). Sommer, L. (2015). “Industrial Revolution-Industry 4.0: Are German Manufacturing SMEs the First Victims of This Revolution?” Journal of Industrial Engineering and Management 8(5): 1512–32. Spinelli, R., Dyerson, R. & Harindranath, G. (2013). “IT Readiness in Small Firms.” Journal of Small Business and Enterprise Development 20(4): 807–23. Staufen, AG. (2018). Deutscher Industrie 4.0 Index 2018. Eine Studie Der Staufen AG Und Der Staufen Digital Neonex GmbH. ed. Martin Haas. Köngen (Germany): Staufen AG. Stentoft, J., Stegmann Mikkelsen, O. & Kronborg Jensen, J. (2016). “Offshoring and Backshoring Manufacturing from a Supply Chain Innovation Perspective.” Supply Chain Forum: An International Journal 17(4): 190–204. Street, C., Gallupe, B. & Baker, J. (2017). “Strategic Alignment in SMEs: Strengthening Theoretical Foundations.” Communications of the Association for Information Systems 40(1): 420–42. Street, C. & Cameron, A. F. (2007). “External Relationships and the Small Business: A Review of Small Business Alliance and Network Research*.” Journal of Small Business Management 45(2): 239– 66. Suess, J. (2014). “Family Governance - Literature Review and the Development of a Conceptual Model.” Journal of Family Business Strategy 5(2): 138–55. Thoben, K. D., Wiesner, S. A. & Wuest, T. (2017). “‘Industrie 4.0’ and Smart Manufacturing-a Review of Research Issues and Application Examples.” International Journal of Automation Technology 11(1): 4–16. Thorpe, R., Holt, R., Macpherson, A. & Pittaway, L. (2005). “Using Knowledge within Small and Medium-Sized Firms : A Systematic Review of the Evidence.” International Journal of Management Reviews 7(4): 257–81. Timmers, P. (1998). “Business Models for Electronic Markets.” Electronic Markets 8(2): 3–8. Tranfield, D., Denyer, D. & Smart, P. (2003). “Towards a Methodology for Developing Evidence- Informed Management Knowledge by Means of Systematic Review.” British Journal of Management 14(3): 207–22. Venkatraman, S. & Fahd, K. (2016). “Challenges and Success Factors of ERP Systems in Australian SMEs.” Journal of Systems 4(2): 20. Voigt, K. I., Kiel, D. & Arnold, C. (2019). “Geschäftsmodelle Im Wandel Durch Industrie 4.0.” In Wertschöpfung in Der Betriebswirtschaftslehre, eds. P. Ulrich and B. Baltzer. Springer Gabler, Wiesbaden, 584–614. Wagner, M. (2017). “Aus Strukturationstheoretischer Sicht - Praxiserfahrungen Und Handlungsempfehlungen.” Universität Potsdam. Walsh, D., & Downe, S. (2005). “Meta-Synthesis Method for Qualitative Research: A Literature Review.” Journal of Advanced Nursing 50(2): 204–11. Wang, Y., Wang, G. & Anderl, R. (2017). “A Holistic Approach for Introducing the Strategic Initiative 52

54

1. State of the art The Customer will be included in the center of the dissertation and how his satisfaction can influence the Corporate Strategy. The topic of “customer delight”, be analyzed in terms of validity and how emotional reactions can have consequences on the economic but also social perspectives within an Organization. The current science states how loyalty plays an important role in the past centuries in the buying behavior, but questions if the customer satisfaction has also been achieved and how it can be achieved. Furthermore, the topic of digitalization will be included in the dissertation and what roles this could play on enabling a customer satisfaction with the appropriate emotional setting. Psychological, social and economical perspectives will be highlighted and what changes which have occurred to the topic of customer satisfaction and the management of emotions and the affect on the Corporate Strategy. Significance of the research is to provide up-to-date information in regards of customer satisfaction in the combination of managing emotions effectively and the outcomes on the Corporate Strategy. Motivation for the research to find the appropriate information to understand what impacts there are and how we can learn from history. Furthermore, to see what digitalization does towards emotions and the customer satisfaction and how we can find individual strategies to support a Corporate to meet its Strategy. Concept will be based in a clear explanation of the different types of emotions and how they can change our behavior. The relation to customer satisfaction will also be drawn within the dissertation, to see how the customer rates a corporation and how we can support customers to become satisfied. With the given theories, there will also be an analysis with a profound evaluation given, to see how customers react to different emotions and how important the product presentation is in evoking emotions from the customer. Lastly recommendations should be drawn to give a 360 Degree Feedback towards the topic of customer satisfaction including the roadmap to manage emotions in a corporation to drive the Corporate Strategy in terms of tangible and intangible value. Mission of the dissertation is highlighting the management of emotions in the Corporate World. Through the relevant list of channels on how customer satisfaction is currently being achieved, the new channels will be benchmarked and a best-practice approach towards managing emotions to deliver the Corporate Strategy will be provided. To also verify the changes which have been analyzed by the experts, is also a key of showing an overall recommendation towards the topic. Research object will be based on the investments of the companies into innovating the customer relationships, which are done by identifying the customer satisfaction methods, which are coming from the Corporations. Topics like Customer Satisfaction Evaluation and highlighting the types of emotions should align the psychological and social aspects of the changing behavior, which are daily applied in obtaining customer satisfaction on a competitive market. Research subject will be based on the current acknowledged theories towards the topic of customer satisfaction and emotions based on over 30 different theories and expert opinions in the fields. The relation of emotions and customer satisfaction will be highlighted in the dissertation. Furthermore, how the Corporate Strategy reacts to change and towards the topic of emotional competence and its development can be 56

business and consumer. In conclusion, the setting of strategies to evoke Corporations to invest into knowledge and transfer this in the sales-channels, will be implemented within the dissertation in also highlighting the benefit for all involved stakeholders within the process. 3. CONCLUSIONS AND RECOMMENDATIONS 1. To engage more to positive emotionalization in business, which builds an effective outcome 2. An understand how emotions can be evaluated to deliver customer satisfaction 3. Highlight Customer Satisfaction in the daily business processes 4. Motivate the stakeholders to drive the process of sustainable customer satisfaction 5. Focus on knowing in-depth your Customer in indulging fully into his/her emotions 58

60

1. State of the art The Collaboration Lifecycle will be presented within the dissertation to show how technologies and relationships can only function aligned effectively. Expert Consultants will show their opinions in regards of the topic of effective Digitalization and the importance of Collaboration in a time of digital change. Here the aim is to show the Lifecycle Framework in order to manage information more intelligently and to set the appropriate Information-Strategies for the future. Through the evolution of digitalization, the human aspects become more important and the technology adapted its schemes to deliver customer experience. Furthermore, the Corporations will be included throughout the dissertation and how they evaluate technology to implement changes to drive the consumer behaviors. Significance of the research to provide the current status of how digitalization has changed throughout the years and what the changes in behaviors have been since the adaption of new technologies. Theories, Models and Expert opinions are applied in order to show the technological evolution to drive consumer and social behavior. Motivation for the research to find the appropriate information to show what historical changes have been occurred in the topic of digitalization and how social and consumer behaviors have driven this process. I also find the topic of leadership important, to show what leadership-practices and models have occurred in the past to enable radical changes on the tech-market, e.g. Google, Apple and the customer- experience created by Steve Jobs. Concept will be based in presenting the key elements of digitalization and how transformation was created. Management-Models transformation framework Capgemini and MIT 2013 should enable the reader to see how the customer experience has aligned with the operational processes in combination of the creation of new business models. Furthermore, change in demands is being highlighted in the dissertation to show what opportunities there are to drive change management in digitalization. The Corporation and their bargaining power in shaping a market, will be described through the dissertation, to understand how the complex market is aligned. In showing the humanization with the collaboration, the overview of digitalization will be closed-up and proposal of strategies will be displayed in the dissertation. from Digital Mission of the dissertation to show how digitalization transformation has created jobs and new business opportunities for the business. Furthermore, the topic of collaboration will be drawn in the dissertation, to see how all the stakeholders can co- work effectively, in order to deliver performance on the market. The rise of competition throughout the decades also enabled change, but the dissertation should show, how collaboration drives change in a sustainable manner. Therefore, the topic of shareholder vs. stakeholder value will be applied in order to show how transformation strategies can be applied effectively in practice. Research object will be looking at the Digital Transformation Pyramid, which highlights the changes, which have arrived from Industry 4.0. Google Books and Scanning Texts are just a few examples, which are being presented in the dissertation. In the dissertation of leadership in digitalization should show how true leaders shape the market, here Microsoft boss Bill Gates will be presented in the dissertation and how he transformed the market in stating clear visions on the market. Research subject through highlighting different case studies, the dissertation 62

Moreover, the topic of transparency with has been implemented over the years, has let also negative impacts towards business. For example, cyber-attacks are rising and new technology have been installed on the market to protect servers in Corporations and enable security. Moreover, leadership on the market has influenced the changes in regards of the innovation of digitalization. Here the dissertation should highlight how we can also lead the process, in learning from each other on social media, to apply the information in our daily routine. The overview of channels and technologies should show how digitalization has been developed in the past decades and new ideas have been created to transform business models to drive digitalization. Consumerization will be displayed presented in the dissertation to show how change management is important in a time of changes in digitalization. Furthermore, continuous improvement is being shown in the dissertation, to show how we act now to drive digitalization with concrete actions. 64 3. CONCLUSIONS AND RECOMMENDATIONS - Collaboration and social contribution will affect digitalization - An understand how digitalization can be applied in all generations to create opportunities and support to drive change - Highlight the key caterpillars to enable change management in digitalization - Motivate stakeholders to drive change and social contribution with digitalization - Focus on knowing in-depth your Customer, in shaping the market with the right digital tools to enable effective digitalization

66

1. Einordnung In den vergangenen Jahren hat sich in der Politikwissenschaft der Neoinstitutionalismus als theoretische Perspektive zunehmend durchgesetzt (u.a. Holtkamp 2012: 56). Der Neoinstitutionalismus postuliert eine enge Verknüpfung zwischen Institutionen und Akteuren: Institutionen werden als verbindliche und allgemein anerkannte „Spielregeln“ zwischen den Akteuren verstanden. Akteure können damit ihr Verhalten an bestimmte Regeln ausrichten und zugleich erwarten, dass auch andere Akteure dies tun. Durch Institutionen werden somit Verhalten von Akteuren strukturiert, dadurch Handlungen berechenbar gemacht, folglich Unsicherheiten in Interaktionen reduziert und schließlich Stabilität bzw. wechselseitige Erwartungssicherheit zwischen den Akteuren geschaffen (Lauth 2010: 48ff., Schröter 2011: 39ff.). Institutionen nehmen demnach maßgeblichen Einfluss auf die Verhaltensmuster von Akteuren. Insofern kann mit Institutionen das Verhalten von Akteuren nachvollziehbar erklärt werden. Die Institutionen determinieren das Akteurshandeln jedoch nicht (Holtkamp 2012: 102). Aus neoinstitutionalistischer Perspektive haben die Entscheidungen von Akteuren Auswirkungen auf die Gestaltung der institutionellen Rahmenbedingungen selbst. Institutionen sind somit grundsätzlich veränderbar (Schulze 1997: 6). dabei „Machtstreben“ oder „Überleben“ der Rational-Choice-Institutionalismus Institutionalismus sowie den soziologischen Innerhalb des Neoinstitutionalismus haben sich verschiedene „Schulen“ entwickelt. Häufig genannt wird die Unterteilung in den Rational-Choice-Institutionalismus, den historischen Institutionalismus (Hall/Taylor 1997). Es ist insbesondere der Rational-Choice-Institutionalismus, der sich als fruchtbare Erklärungsvariante etabliert hat. Der Rational-Choice- Institutionalismus als ökonomische Variante des Neoinstitutionalismus versucht, auf Basis der Analyse von kollektiven Akteuren und Institutionen Gesetzmäßigkeiten in politischen Prozessen zu erläutern, um auf dieser Grundlage Prognosen für das politische Handeln abzuleiten (Knill 2015: 60). Mit Blick auf die handelnden Akteure unternimmt eine wichtige Komplexitätsreduktion: Er unterstellt den kollektiven Akteuren bestimmte eigennützige Standardinteressen, etwa (z.B. Parteien: Stimmenmehrung, Verwaltungen: Erhalt der eigenen Behörde). Auf Grundlage ihrer Standardinteressen verhalten sich die Akteure konsequent nutzenmaximierend. Aus den nutzenbasierten Standardinteressen und dem nutzenmaximierenden Dogma lassen sich schließlich die spezifischen rationalen Verhaltensweisen von kollektiven Akteuren ableiten und prognostizieren. Methodisch ist mit dem Rational-Choice- Institutionalismus folglich ein deduktives Vorgehen verbunden: Auf Grundlage des Rational-Choice-Institutionalismus werden generelle Erklärungsmodelle entwickelt, darauf aufbauend empirische überprüfbare Aussagen abgeleitet und diese schließlich getestet. Ein bekannter Zweig des Rational-Choice-Institutionalismus wiederum ist die Neue Politische Ökonomie (NPÖ), auch Public-Choice-Theorie genannt. Die NPÖ versucht, politische Prozesse mit ökonomischen Modellen zu erklären und bildet daher ein Bindeglied zwischen Politik- und Wirtschaftswissenschaft (Holtkamp 2012: 25, Seuberlich 2017: 67). Angelehnt an die ökonomischen Lehren besteht im NPÖ-Modell die Kernaufgabe von Politik und Verwaltung darin, öffentliche Güter bereitzustellen. Wesensmerkmal öffentlicher Güter ist das fehlende Ausschlussprinzip, d.h. einzelne Individuen können von einer Inanspruchnahme nicht ausgeschlossen werden, da öffentliche Güter allen zugutekommen, wie z.B. „Sicherheit“ (Graf 2015: 35, Holtkamp 2012: 25). Allerdings gibt es auch Güter, die zwar öffentlich, jedoch zugleich 68

oder Ressourcen. Angesichts dieser Gleichförmigkeit von Einzelinteressen kann eine Aggregation als Standardinteresse auf der Ebene des kollektiven Akteurs plausibel erfolgen (Mayntz 1995: 54, siehe auch Schimank 2007: 172, Dröge 2008: 59, Holtkamp 2012: 26). 3. Institutionen und institutioneller Wandel Hinsichtlich der Institutionen werden folgende Annahmen im Rational-Choice- Institutionalismus vertreten (in Anlehnung an Hall 1996, Morisse-Schilbach 2006: 271ff., Voigt 2009: 19ff., Haus 2015: 10ff., Knill 2015: 59ff.): - - Institutionen werden von Akteuren geschaffen (abhängige Variable) Institutionen werden als allgemein anerkannte „Spielregeln“, Normen und Prozesse verstanden, welche das Verhalten von Akteuren strukturieren, da sie mit Geboten, Verboten und Sanktionierung konkrete Handlungsalternativen eröffnen und zugleich die Bandbreite von Verhaltensmöglichkeiten begrenzen - Diese Festlegung von Handlungsalternativen bzw. Begrenzung von Verhaltensmöglichkeiten sorgt dafür, dass Akteure auf das jeweilige institutionelle Umfeld angepasste, zielgerichtete Strategien entwickeln müssen, um ihre spezifischen (Standard-)Interessen optimal zu erreichen Institutionen bilden somit einen Handlungsrahmen für (begrenzt) rationale Vorgehensweisen, sodass die Handlungen von Akteuren für Interaktionspartner (d.h. für andere Akteure) berechenbar werden - - Diese Berechenbarkeit reduziert die Unsicherheit von Akteuren in den Interaktionssituationen, weil sie nicht mehr „alle möglichen Zustände der Welt“ bedenken müssen, sondern sich an den institutionellen Spielregeln orientieren können, um das Verhalten anderer Akteure vorherzusehen - Der Abbau von Unsicherheit führt zur Reduzierung von Transaktionskosten. Geringere Transaktionskosten erhöhen den Nutzen der Akteure. Im Rational-Choice-Institutionalismus entstehen somit Institutionen, weil sie für die Akteure von Nutzen sind. Akteure bilden Institutionen, weil diese bestimmte Funktionen erfüllen, die für die Erreichung ihrer egoistischen Ziele nützlich sind. Die Bildung von Institutionen ist insbesondere in Situationen relevant, in denen eine Kooperation zwischen Akteuren notwendig ist, um kollektive Dilemmasituationen zu lösen (z.B. Allmendeprobleme). Weil die handelnden Akteure egoistische Nutzenmaximierer sind und im freien Raum ein opportunistisches, also rücksichtsloses Verhalten zur Verfolgung ihrer Eigeninteressen zeigen, können Kooperationen nach der Rational-Choice-Logik nicht ohne Weiteres funktionieren. Erst durch Institutionen werden die Verhaltensweisen von Akteuren soweit begrenzt und strukturiert, dass Planbarkeit und Erwartungssicherheit zwischen den Akteuren für eine Kooperation entstehen. Kooperation im Rational-Choice-Institutionalismus ausdrücklich möglich, es bedarf lediglich der „richtigen“ Ausgestaltung der Institutionen (vgl. Braun 2013: 172). Da es in der Politik und Verwaltung ständig um die Lösung kollektiver Dilemmas geht, hat die Gestaltung des institutionellen Rahmens folglich eine grundlegende Bedeutung für die Praxis. Hinsichtlich der Entstehung und Dynamik von Institutionen lassen sich insgesamt folgende Annahmen zusammenfassen (vgl. Holtkamp 2012: 104ff., Csigo 2006: 37ff.): ist demnach - Ob Institutionen zur Lösung von kollektiven Problemen tatsächlich entstehen, hängt im Rational-Choice-Institutionalismus von der Kosten-Nutzen-Kalkulation der Akteure ab. Institutionen werden von Akteuren geschaffen, wenn sie für die 70

intention). Auch ex post läuft ein Principal Gefahr, aufgrund der (hidden asymmetrischen Informationen die Ergebnisse der Arbeit der Agents nicht vollumfänglich nachvollziehen zu können, weil er die Kausalität zwischen Ergebnis und Agent-Handeln nicht überprüfen kann (hidden information). Folglich sind die Kontroll- und Sanktionierungsmöglichkeiten des Principals gegenüber seinen Agents begrenzt (Behnke 2009: 47ff.). haben. Zu diesen an der Haushaltskonsolidierung 5. Anwendung in der politikwissenschaftlichen Untersuchung Aufgrund seiner analytischen Ausrichtung eignet sich der Rational-Choice- Institutionalismus besonders für Untersuchungen in Politikfeldern, die konfliktbehaftet sind. Ein klassisches Beispiel hierfür ist die Haushaltspolitik. In der Haushaltspolitik zeigt der Rational-Choice-Institutionalismus, dass die Standardinteressen der Akteure entscheidenden Einfluss darauf nehmen, ob Verwaltungsreformen und „Sparprogramme“ tatsächlich erfolgreich zur Haushaltskonsolidierung beitragen. Damit die Haushaltskonsolidierung gelingt, müssen nach Rational-Choice-Logik speziell die Politiker und Verwaltungsspitzen gestärkt werden, die ein genuines Interesse sog. „Steuerungspolitikern“ gehören z. B. Bürgermeister, Haushälter und Politiker in den zentralen Steuerungsausschüssen (z.B. Haupt-, Haushalts- und Finanzausschuss). Sie verfolgen das Standardinteresse, die finanzielle Handlungsfähigkeit ihrer Kommune zu gewährleisten. Sie blockieren daher z.B. fachpolitische Forderungen, welche die Haushaltsziele gefährden. Der erfolgreiche Haushaltsausgleich erhöht ihre Macht und Reputation. Umgekehrt würde eine Misswirtschaft als Scheitern der Steuerungspolitiker gesehen werden. Eine Maßnahme zur Stärkung der Steuerungspolitiker kann z.B. der Ausbau ihrer hierarchischen Kompetenzen sein, sodass sie stärker „durchgreifen“ können. Zu den Akteuren, die eher ein ausgabenexpansives Standardinteresse haben, gehören die Fachpolitiker sowie die Verwaltungsbeschäftigten aus den entsprechenden Fachbereichen. Sie verfolgen das Standardinteresse zur Wahrung ihres Fachsektors. Das Standardinteresse dieser „Fachkoalitionen“ folgendermaßen simpel erklären: Mehr Ausgabemittel erlauben mehr Fachaufgaben, mehr Fachaufgaben bedeuten wiederum mehr Planstellen und Beförderungen im eigenen Fachbereich, dies sorgt für Reputation, Einfluss und schließlich die Förderung der Politik- bzw. Verwaltungskarriere. Bei Konsolidierungsvorhaben versuchen Fachkoalitionen folglich, sich diesem Prozess zu entziehen, weil Budgetkürzungen mit einer Schwächung ihres Ressorts einhergehen. Damit positionieren sich Fachkoalitionen im Bereich der Haushaltspolitik häufig als Gegenpol zu den Steuerungspolitikern. Dieser Konflikt zwischen Steuerungspolitikern und Fachkoalitionen kann mit dem Principal- Agent-Ansatz weiter analysiert werden. Beispiel: Der Finanzdirektor einer Kommune (als Principal im Bereich der finanziellen Angelegenheiten) bittet die Fachbereiche (Agents), ihre Beiträge zur Haushaltskonsolidierung zu liefern. Diese wollen jedoch keinerlei Einsparungen beisteuern und behaupten stattdessen, sie würden zwar gern, könnten aber aufgrund nicht beeinflussbarer, restriktiver exogener Faktoren nicht. Es sei also nicht ihre Schuld, dass die Haushaltskonsolidierung nicht gelinge. Der Finanzdirektor kann aufgrund der Informationsasymmetrie nicht hinreichend beurteilen (hidden information), ob die Fachbereiche die Wahrheit mitteilen oder vielmehr ihre Handlungsspielräume gegen die Interessen des Principals gezielt nutzen (hidden action), weil sie divergierende Standardinteressen verfolgen, etwa die Machtsicherung oder Ressourcenmaximierung zugunsten ihrer Fachbereiche (hidden intention). Die lässt sich auch 72

Schimank, U. (2007). Neoinstitutionalismus. Erschienen in: Benz, A., Lütz, S., Schimank, U., Simonis, G. (2007). Handbuch Governance – Theoretische Grundlagen und empirische Anwendungsfelder. Wiesbaden: VS Verlag für Sozialwissenschaften. S. 161-175. Schröter, B. (2011). Klientelismus in der Politik Mexikos – Parteien im Vergleich. Wiesbaden: VS Verlag für Sozialwissenschaften. Schulze, H. (1997). Neo-Institutionalismus – ein analytisches Instrument zur Erklärung gesellschaftlicher Transformationsprozesse. Berlin: Freie Universität Berlin. Schumann, D. (2005). Interessenvermittlung im europäischen Mehrebenensystem. Wiesbaden: VS Verlag für Sozialwissenschaften. Seuberlich, M. (2017). Arme und reiche Städte – Ursachen der Varianz kommunaler Haushaltslagen. Wiesbaden: VS Verlag für Sozialwissenschaften. Tomann, H. (2005). Volkswirtschaftslehre. Heidelberg: Physica-Verlag. Voigt, S. (2009): Institutionenökonomik. München: utb Verlag. 74

76

Ausgangslage 1. Die öffentliche Verwaltung im deutschen Sprachraum ist historisch geprägt vom traditionellen Steuerungsmodell nach Max Weber, die auch als „Bürokratiemodell“ bezeichnet wird. Weber beschreibt die Bürokratie als „die formal rationalste Form der Herrschaftsausübung“ (Weber, 1976, S. 65). Der bürokratische Verwaltungsapparat sei um gemeinwohlorientierte Ziele zu erreichen (Weber, 1976, S. 79). Zu diesem Zweck müsse eine öffentliche Verwaltung folgende Merkmale aufweisen (u.a. Weber, 1976, S. 128ff.): effizienteste Organisation, effektivste nach Weber die und - Präzision, Disziplin, Straffheit und Verlässlichkeit - Eindeutigkeit und Kontinuierlichkeit - Hierarchische Führung und hierarchische Ämter - Regelbindung, Aktenmäßigkeit, Schriftlichkeit - Zuständigkeit, Arbeitsteilung, Spezialisierung - Berufsbeamtentum, Laufbahnen Webers Präferenz zu einer bürokratisierten Verwaltungsorganisation ist insbesondere in Abgrenzung zu willkürlichen Herrschaftsformen, z.B. der Diktatur, zu erklären. Durch die strikte Bürokratisierung der Verwaltung entsteht idealtypisch willkürfreies, gleich behandelndes, nachvollziehbares und berechenbares Verwaltungshandeln. Dies entspricht zwar auch nach den heutigen modernen Maßstäben den Kriterien von „gutes Regieren“ bzw. „Good Governance“ (Czada, 2009). Angesichts der zahlreichen und dynamischen Herausforderungen, mit denen die OECD-Staaten in der heutigen Zeit konfrontiert sind, stellt sich gleichwohl die Frage, ob eine solche traditionelle Verwaltung tatsächlich weiterhin geeignet ist, um zur Lösung komplexer gesellschaftlicher Probleme beizutragen. Die moderne Organisationsforschung, allen voran die Organizational-Behavior- Forschung, geht davon aus, dass es kein „best way of organizing“ gibt. Der kontingenztheoretische Ansatz (Contingency Approach) besagt vielmehr, dass es auf die Kontextfaktoren ankommt, in denen eine Organisation eingebettet ist. Zu diesen Kontextfaktoren gehören z.B. die politischen, wirtschaftlichen und sozialen Rahmenbedingungen oder technologische Innovationen (Speier-Werner, 2006, S. 122ff.). Demnach ist es also absolut denkbar, dass z.B. in einem stabilen Umfeld die bürokratische Verwaltung tatsächlich die situativ-beste Organisationsform darstellt. Anders ist es jedoch, wenn das Bürokratiemodell in einem eher dynamischen oder gar turbulent geprägten Umfeld eingebettet ist. Die Merkmale der Bürokratie dürften dann vielmehr von strukturellem Nachteil sein. Angesichts dieser signifikanten Abhängigkeit von den Kontextfaktoren werden die Rahmenbedingungen der heutigen Zeit in den nachfolgenden Kapiteln – anhand der konzeptionellen Rahmenwerke Age of Turbulene, Wicked Problems und VUCA – analysiert. 2. Age of Turbulence Der Begriff „Age of Turbulence“ wurde von Alan Greenspan geprägt und bezeichnet eine Welt, die sich seit den Ereignissen des 11.09.2001 zunehmend rasant verändert (Greenspan, 2008). Diese globalen Transformationsprozesse beschreibt Greenspan mit den Merkmalen „flexible, resilient, open, self-directing, and 78

7. Jedes Problem ist einzigartig und neu, sodass verzwickte Situationen fortlaufend neu entstehen. 8. Dennoch ist jedes Problem als Symptom eines anderen Problems zu sehen. Diese Abhängigkeit bei gleichzeitiger Einzigartigkeit macht Problemlösungen schwierig. 9. Politische Probleme können sehr unterschiedlich erklärt werden. Je nach Art der Erklärung verändert sich auch die Wahl der Lösung. Das eröffnet Tür für ideologisch geprägte statt rationale Lösungsfindungen. 10. Politische Akteure haben kein „Recht“, falsch zu liegen. Fehler werden z.B. von der Öffentlichkeit und im Wahlvorgang sanktioniert. Wendet man dieses Konzept von Wicked Problems auf die heutigen Herausforderungen an, mit denen sich Politik und Verwaltung auseinandersetzen müssen, ergibt sich eine verblüffende Schnittmenge. Die gegenwärtigen politischen Probleme (siehe Kapitel 2) weisen vielfach Merkmale auf, die zu Wicked Problems passen: - Die Probleme sind komplex, interdependent und deren Ursachen unklar - Die Lösungen sind nicht bekannt, sondern ergeben sich erst im Laufe des Problembewältigungsprozesses - Entscheidungen müssen in Unsicherheit getroffen werden – es ist nicht erkennbar, ob der eingeschlagene Pfad „richtig“ ist - Es müssen fortlaufend neue Entscheidungen getroffen werden, die jedes Mal von hoher Reichweite sind - Gemachte Fehler werden ungeachtet dessen scharf kritisiert und sanktioniert Auch das Konzept von Wicked Problems deutet also darauf hin, dass die klassische Verwaltung nach bürokratischem Muster nicht geeignet ist, um mit den heutigen Problemen effektiv umzugehen. Wicked Problems veranschaulicht insbesondere zwei Wesensmerkmale, die diametral zum Bürokratiemodell stehen: Die allgegenwärtige Präsenz von Unsicherheit und das Problem begrenzter Rationalität. Die klassische bürokratische Verwaltung zielt jedoch gerade darauf ab, die Rationalität präzisen Verwaltungsentscheidungen zu gelangen. Auch das ist ein Indiz dafür, dass das Bürokratiemodell in der heutigen Zeit nicht mehr die optimale Organisationsform für die öffentliche Verwaltung darstellt. zu maximieren, und um zu fehlerfreien 4. VUCA In den letzten Jahren werden die gesellschaftlichen und ökonomischen Herausforderungen immer häufiger als „VUCA“ beschrieben. Das Akronym VUCA steht für (vgl. Knorre, 2020, 40; Kegelmann, 2019, 438; Hill, 2018, 121ff.): - Volatility (Volatilität). Planungen sind immer schwieriger möglich, da die immer weniger berechenbar wird. Das Risiko steigt und die Zukunft Kontextfaktoren sind nicht mehr beständig, sondern „schwankend“. - Uncertainty (Unsicherheit). Die Welt wird immer unsicherer – in dem Sinne, dass Prognosen kaum noch möglich sind. Ohne vorausschauende 80

deutsche Bundeskanzlerin 5. Ansätze für eine zeitgemäße, innovative Verwaltung Die ihrer Sommerpressekonferenz am 31.08.2015 den Satz: „Deutsche Gründlichkeit ist super, aber es wird jetzt deutsche Flexibilität gebraucht“ (u.a. Süddeutsche Zeitung, 2015). Ähnlich äußerte sich auch der damalige deutsche Bundesinnenminister Thomas de Maizière (Bundesministerium des Innern, 2017): Angela Merkel sagte bei „Viele der Aufgaben, die in den nächsten Jahren vor uns liegen, werden wir nicht bis ins letzte Detail vorhersehen können. Programme und Pläne sind wichtig - Flexibilität und Anpassung aber immer mehr - und das gilt ganz besonders für einen modernen Staat und seine Vertreter.“ Eine solche Flexibilisierung setzt voraus, dass ein Wandel in den tradierten Paradigmen der öffentlichen Verwaltung gelingt. Dieser Transformationsprozess kann im Ergebnis, unter Berücksichtigung der Erfordernisse der VUCA-Welt, folgendermaßen aussehen: Alte Paradigma Planbarkeit von Regierungsprogramm und Verwaltungsumsetzung Hierarchische Amtsführung Rationalität Formalisierung, Regeln Fehlerfreiheit Stabilität in Verwaltungsinstrumenten Feste Zuständigkeiten und Abgrenzung Neues Paradigma Klare politische Vision, in der Verwaltung iterative und inkrementelle Umsetzung, aktives „Auf Sicht fahren“ und kontinuierliche Anpassung operativer Ziele von (z.B. geben Dritten Beteiligung bei insbesondere Bürger und Neues Verständnis von Amtsführung (z.B. Servant Leadership nach Greenleaf, 2002). Dezentralisierung von Entscheidungen auf situative „Verwaltungsteams“. Frühzeitige Entscheidungsprozessen, Unternehmen Sozialen Interaktionen und Entscheidungen vor Ort Vorrang von Ermessensspielräumen statt Ermessungsreduzierung auf null durch Detailregulierung über Vorschriften) Begrenzte Experimentierräume (z. B. Einsatz von Pilotkommunen, „Reallabore“) Innovative Verwaltungsmodernisierung durch Startup- Methoden in Experimentierräumen („Innovation Labs“) Vernetztes Arbeiten, statt starre Silos Bildung von situativen, behördenübergreifenden Verwaltungsteams mit Entscheidungsbefugnissen Erweiterung in Tab. 1 dargestellte notwendige Paradigmenverschiebung Tab. 1: Paradigmenwechsel für die öffentliche Verwaltung Die ist nicht abschließend. Sie stellt einen Auszug möglicher Transformationsperspektiven dar und ist entsprechend als Impuls zu verstehen. Eine derartige Transformation der Verwaltung erscheint vor dem Hintergrund der VUCA-Welt jedenfalls notwendig. Vergleichbare Ansätze werden in der Praxis bereits als „Agile Verwaltung“ oder „Innovative Verwaltung“ bezeichnet (vgl. Bartonitz et al., 2018). Der kontinuierliche Wandel, der mit VUCA einhergeht, stellt einen Musterbruch in der Tradition der öffentlichen Verwaltung dar. Die zentrale Herausforderung für die Praxis besteht nunmehr darin, die Entwicklung dieser neuen Verwaltungskultur zu gestalten. Die 82

84

1. Einführung langfristigen Veränderung ganzer Neue Technologien im Rahmen der Digitalisierung führen in der Regel zu einer ganzheitlichen und Industriebranchen, da Unternehmen - insbesondere aus der Automobilbranche – zunehmend dazu gedrängt werden fest etablierte Prozesse und Strukturen kritisch zu hinterfragen bzw. vollumfänglich anzupassen. Am Beispiel der fünf amerikanischen Konzernen Facebook, Amazon, Netflix, Apple und Alphabet – deren Marktkapitalisierung signifikant höher ist als die 30 an der deutschen Börse gelisteten Großunternehmen – wird das Potenzial der digitalen Geschäftsmodelle anschaulich aufgezeigt. Die genannten Firmen sind deswegen kommerziell so erfolgreich, da sie die unzähligen Möglichkeiten der digitalen Transformation frühzeitig erkennen bzw. diese für sich gewinnbringend zeitnah und konsequent umsetzen (Kreutzer / Land 2016: 8). Digitale Geschäftsmodelle werden den über Jahrzehnte fest etablierten After Sales (AS) in der Automobilindustrie positiv beeinflussen, allerdings ist davon auszugehen, dass nicht alle beteiligten Unternehmen gleichermaßen davon profitieren werden, da sich beispielsweise für die Fahrzeughersteller nun die Möglichkeit ergibt, ihre Geschäftsbeziehung zu den Endverbrauchern erheblich auszubauen. Ferner ist damit zu rechnen, dass kleinere Unternehmen wie etwa regionale Fahrzeughändler beachtliche Probleme haben werden die Digitalisierung aufgrund ihrer begrenzten Ressourcen erfolgreich umsetzen zu können (Brenner et al. 2019: 2). Dabei kann der Automotive AS in fünf Anspruchsgruppen gegliedert werden: Die Fabrikanten und Händler der Ersatzteile, die Werkstätten, diverse Vermittler – beispielsweise Autoversicherungen – sowie die Endkunden selbst (siehe Abb. 1). Abb. 1: The aftermarket is made up of 5 stakeholder groups (Quelle: Breitschwerdt et al. 2017: 9) 86

Abb. 2: The changing aftermarket game (Quelle: Breitschwerdt et al. 2017: 15) Die Abbildung 2 stuft dabei die Trends hinsichtlich einer geschätzten Zeitschiene (Y-Achse) und dem zu erwartenden Ausmaß auf den AS der Automobilbranche (X- Achse) ein. 3. Ergebnis / Erkenntnis Aufgrund der vorherigen Ausführungen ist mit großer Sicherheit damit zu rechnen, dass sich der AS in der Automobilbranche - gerade wegen der steigenden Digitalisierung – spürbar verändern wird. So werden einerseits Unmengen an Daten erfasst und für die jeweiligen Interessengruppen zur Verfügung gestellt. Hierbei entstehen zahlreiche Vorteile für den Kunden – beispielsweise können Werkstattbesuche noch effizienter erfolgen, da alle relevanten Informationen bzw. Ersatzteile schon rechtzeitig vorliegen – welche in der Regel zu einer engeren Geschäftsbeziehung führen. Zudem bietet die Digitalisierung die Möglichkeit eine deutlich höhere Transparenz im AS zu erzielen, indem etwa auf diversen Online-Plattformen Vergleiche zu Händlern, Preise für Ersatzteilen, etc. ermöglicht werden. Zusammenfassend ist davon auszugehen, dass die Fahrzeughersteller ihre Geschäftsbeziehung zu den Endkunden aufgrund der digitalen Möglichkeiten deutlich intensivieren werden bzw. dies insbesondere für kleinere Händler zunehmend bedrohlicher wird. 4. Literaturverzeichnis Ball, T. (2018). Digitalisierung in der Immobilienwirtschaft. Lüneburg: Lünendonk-360-Grad-Incentive Studie. 9-19. Breitschwerdt, D., Cornet, A., Kempf, S., Michor, L. & Schmidt, M. (2017). The changing aftermarket from arising opportunities. Düsseldorf: game and how automotive suppliers can benefit McKinsey&Company Advanced Industries. 1-36. Brenner, A., Heinemann, P., Thiele, J. & Bagbasi, J.K. (2019). Konsolidierung im europäischen Kfz- Aftermarket – Transformation einer Branche. Stuttgart: Roland Berger und HSH Nordbank Paper. 1- 24. Kreutzer, R. & Land, K. (2016). Digitaler Darwinismus. Wiesbaden: Springer Verlag. 8. Schmid, A. (2019). Verwaltung, eGovernment und Digitalisierung – Grundlagen, Konzepte und Anwendungsfälle. Wiesbaden: Springer Verlag. 6. 88

90

1. Einführung Der Wirtschaftspsychologie als interdisziplinärem Bereich kann man sich von der Ökonomie3 her nähern oder eben von Seite der Psychologie4. Daher hat die Wirtschaftspsychologie auch mehrere Strömungen in sich vereint und abseits akademischer Diskussionen, ob die „Psychologische Ökonomie“ („Psychological Economics“ - Behavioral Economics) – also jene vor allem von Ökonomen begründete Richtung oder die von den Psychologen begründete „Ökonomische Psychologie“ („Economic Psychology“) nun die besseren Antworten auf die für uns wichtigen Fragestellungen liefert, kann man die Notwendigkeit der Wirtschaftspsychologie als angewandter Psychologie nicht oft genug betonen. Die Wirtschaftspsychologie als Disziplin in Deutschland geht auf Hugo Münsterberg5 zurück und feierte im Jahr 20126 bereits ihren 100sten Geburtstag. In vielen Disziplinen wird zwischen „allgemeiner“ und „spezieller“ z.B. BWL, Soziologie .... unterschieden, so auch in der Wirtschaftspsychologie. Spezielle Diszipline oder auch Teildiszipline der Wirtschaftspsychologie sind z.B. die Arbeits- und Organisationspsychologie (AO) oder die Markt- und Werbepsychologie. Die Psychologie7 hat das Erleben und Verhalten von Individuen zum Gegenstand. Erleben: Das sind all jene Prozesse, die die Gefühls- und Gedankenwelt eines Menschen bestimmen. Verhalten: Dies sind alle Aktivitäten des Menschen, seien sie nun mehr oder weniger angeboren oder aber erlernt. Wenn sich nun das Studium der Psychologie auf sämtliche Formen des Erlebens und Verhaltens des Menschen bezieht, dann müsste die Psychologie auch prinzipiell wirtschaftliches Verhalten erklären können. (Wiswede, S 17) 3 und hier mit dem Verhalten der Menschen bei der Lösung von materiellen Knappheitsbedingungen 4 als Erfahrungswissenschaft, deren Gegenstand menschliches Erleben und Verhalten ist. Historisch reichen die Wurzeln der Psychologie bis in die Antike (Aristoteles: „Von der Seele“) zurück und finden sich v.a. in der Philosophie und in der Theologie. Als moderne Erfahrungswissenschaft formierte sich die Psychologie in der Mitte des 19. Jh. primär als eine Naturwissenschaft. Eine erste Professur für Psychologie wurde 1879 an der Universität Leipzig mit W. Wundt besetzt. Die Professionalisierung der Psychologie erfolgte in der Mitte des 20. Jh., wozu in Deutschland die Einführung eines berufsqualifizierenden Studienganges (Diplom-Psychologe) und die Gründung eines einschlägigen beitrug. Berufsverbandes In einer einer (1) (2) Fragen aus den Anwendungsfeldern erforschenden „Angewandte Psychologie“ und einer (3) auf „Praktischen wissenschaftlicher Grundlage Psychologie". https://wirtschaftslexikon.gabler.de/definition/psychologie-44295 5 Hugo Münsterberg, 1863 – 1916, deutsch-US-amerikanischer Psychologe, gilt als Pionier der Angewandten Psychologie 6 Münsterberg, Hugo (1912): „Die Psychologie und das Wirtschaftsleben“ 7 Psychologie (griechisch-lateinisch psychologia, ‚Lehre von der Seele‘) routinemäßig Probleme der Praxis (Berufsverband Psychologie man „Theoretischen Grundlagenforschung betreibenden (BDP)) zwischen Psychologie“, lösenden der Deutscher unterscheidet Psychologen 92

vereinfachten Entscheidung häufig sein. Sieht man insofern Entscheidungen als Teilklasse aller Verhaltensweisen an, so hat dies zur Konsequenz, dass Theorien und Konzepte, die von extensiven Entscheidungsprozessen ausgehen (z. B. „Information- processing-Konzepte“), lediglich für einen Ausschnitt wirtschaftlichen Verhaltens relevant sind. Neben dem Begriff der Entscheidung wird neuerdings auch verstärkt auf das Konzept des „Handelns“ verwiesen, das den „behavioristisch“12 vorbelasteten Verhaltensbegriff ersetzen soll. Obgleich es mittlerweile zahlreiche soziologische und psychologische Konzepte der Handlungsforschung und der „Theorie des Handelns“ gibt, die sich in wichtigen Punkten dieses Forschungsansatzes in Folgendem bestehen: „Handeln“ sei gegenüber einem eher reaktiv-rezeptiven Verhalten abzugrenzen und in seiner spezifischen kontextualen und situativen Ausprägung zu verstehen. unterscheiden, voneinander dürfte das Paradigma Hierbei komme es entscheidend auf Sinn- und Bedeutungszusammenhänge an: Das Individuum verbinde mit seinem Handeln bestimmte Intentionen, die dem Handlungsgeschehen substanziellen Sinn verleihen. Wissenschaftstheoretische Analysen zeigen indes, dass es zur Klärung dieser Bedeutungszusammenhänge keineswegs der phänomenologischen Analyse bedarf, sondern dass die Erfassung von „Sinn“ und „Bedeutung“ durchaus auch durch Einbeziehung von intervenierenden Variablen im Rahmen der kognitiven Psychologie möglich ist. ist damit sicherlich ein Korrektiv zu behavioristischen Handlungsforschung Vorstellungen älteren Typs, jedoch vermutlich keine Alternative zur kognitiven Psychologie, sondern im günstigsten Falle ihre Bereicherung. 3. Wirtschaftliches Verhalten: Wenn wir von wirtschaftlichem Verhalten sprechen, so meinen wir genauer: Verhalten im wirtschaftlichen Kontext. Denn der Ausdruck „wirtschaftliches Verhalten“ kann ähnliche Missverständnisse hervorrufen wie der Begriff des „sozialen Handelns“ oder „sozialen Verhaltens“ im Bereich der Soziologie und Sozialpsychologie. Auch dort ist nicht etwa sozialfürsorgliches Verhalten gemeint (als Gegensatz zu „unsozial“ – hier spricht man üblicherweise von „pro-sozialem Verhalten“). Analog hierzu meint der Ausdruck „wirtschaftliches Verhalten“ keineswegs ein 12 Behaviorismus ist ein Begriff aus der Psychologie und Teil eines Konzepts, mensch-liches Verhalten zu verstehen. Nach dem Verständnis der Behavioristen sollte nur das untersucht werden, was jeder beobachten kann. Der Behaviorismus setzt das (äußerliche) Verhalten in den Mittelpunkt der Forschung. Das Bewusstsein spielt keine oder nur eine untergeordnete Rolle. Der Organismus wird als Black-Box gesehen. Wenn ein Reiz (Input) in die Black-Box führt, entsteht daraus ein Ergebnis (Output). Die inneren Prozesse, die dazwischen im menschlichen Gehirn ablaufen, können nach Auffassung der Behavioristen nicht erkannt werden. Gründer des Behaviorismus ist der US-amerikanische Psychologe John B. Watson (1878 – 1958). https://definition-online.de/behaviorismus/ 94

Ökonomische Güter haben im Allgemeinen einen Preis; sie werden gewöhnlich auf dem Markt angeboten und nachgefragt. Dabei werden auf dem Wege der Konsumfelderweiterung immer mehr Güter dem Markt erschlossen (z. B. Abenteuerreisen, Kunstwerke usw.); andere Güter dagegen (z. B. nicht beliebig vermehrbare Positionsgüter) werden dem Markt entzogen. Die Tatsache, dass wirtschaftliche Güter ihren „Preis“ haben, macht Tauschvorgänge (marktbezogene Interaktionen) berechenbar und lässt Geld – zumindest auf den ersten Blick – als gemeinsamen Nenner des Interaktionsgeschehens erscheinen. Rationalitätsdruck: Obgleich von einem rationalen Verhalten der Individuen keine Rede sein kann, besteht eine Verhaltenstendenz zu rationalem Verhalten, wobei der Rationalitätsdruck im Produktionsbereich stärker, im Konsumtions-bereich schwächer ausgeprägt ist. Die Ursachen des Rationalitätsdrucks sind: Knappheit (diese zwingt zum „Wirtschaften“, zum „Haushalten“), Sachzwänge (die Systemisierung, Technisierung und Organisation schreibt rationales Verhalten weitgehend vor), Normen (Rationalität ist als Wert und Norm sozial erwünschtes bzw. gefordertes Verhalten) und Rollen (die in besonderer Weise zur Rationalität verpflichten). Diese Besonderheiten des ökonomischen Sektors hat eine Wirtschaftspsychologie zu berücksichtigen, auch wenn sie das Prinzip der Knappheit unter etwas veränderter Perspektive sieht, auch wenn sie den Generalnenner „Geld“ als Oberflächenphänomen einstufen mag,auch wenn sie die erwähnte Rationalität lediglich als Epiphänomen13 (Ex-Post-Rationalisierung bereits getroffener a-rationaler Entschei-dungen) gelten lassen möchte. 5. Gleichrichtung des Verhaltens: Nun halten Wirtschaftstheoretiker vielfach psychologische Variablen für überflüssig, zumal wenn es um die Analyse von Makroprozessen geht (genau genommen sind diese Faktoren in Nutzenfunktionen als endogene, d. h. von der Ökonomie nicht näher zu erklärende Variablen enthalten). Die meisten Ökonomen (so Wiswede) gehen deshalb von der Grund- überlegung aus, dass unterschiedliche Reaktionsformen aufgrund differenzieller Einstellungen, Erwartungen oder Motivationen nicht sonderlich interessieren, da sie im Gesetz der großen Zahl unterschiedslos aufgehen und keineswegs systematisch gerichtet erscheinen. Zwar müsse man die Verhaltensvariation einzelner Individuen akzeptieren, könne sie jedoch deshalb vernachlässigen, da sich auf aggregierter Ebene die 13 Als Epiphänomen wird eine Entität bezeichnet, die kausal verursacht wird, aber selbst keine oder nur eine unbedeutende Wirkung hat 96

Soziale Vergleichsprozesse sowie Modellnachahmung Kollektive (organisierte) Bündelung von Einzelinteressen Kommunikationsprozesse aller Art, d. h. das Senden und Empfangen von ökonomisch relevanten Informationen, z. B. über die Wirtschaftslage, über stattgefundene oder bevorstehende Ereignisse, über Absichten usw. Gemeint sind hier einmal Prozesse personaler Kommunikation (z. B. Treffen und Austausch von Unternehmern auf einer Tagung), zum anderen jedoch der Informationsfluss über die Medien mit ihrer nivellierenden und gleichrichtenden Wirkung. können „Ankündigungen“, „Prognosen“ Im Zeitalter der Massenmedien und schneller weltweiter Nachrichten- übermittlung, insbesondere auch mit der Ausbreitung der Computer-technologie und der Telekommunikationsmittel, werden akzelerierende Ausbreitungseffekte möglich (Beispiel: die Auslösung riesiger Verkaufs- oder Kaufwellen an der Börse durch Computer, die alle nach ähnlichen Kriterien programmiert sind). Schließlich ist es von Belang, wie die Inhalte der Kommunikation genau lauten, ob die Botschaft eher emotiv oder eher kognitiv besetzt ist und wie die Glaubwürdigkeit des Kommunikators eingeschätzt wird (z. B. Nachrichtensprecher, Unternehmer, Regierungsrepräsentant). Ähnlich (z. B. Wahlprognosen), Datenpublikationen (z. B. Marktforschungsergebnisse), Szenarien (z. B. über die Konsequenzen bestimmter Entwicklungen) wirken: gelegentlich als „self-fulfilling- prophecies“ (das, was man voraussagt, tritt auf Grund der Voraussage auch tatsächlich ein) und unter anderen Umständen als „self-destroying-prophecies“ (das, was man beschwört, kann abgewendet werden). Insbesondere im Zusammenhang mit Medienwirkungen – und vor allem da, wo objektive Informationen fehlen – werden oft Ansteckwirkungen affektiv-emotionaler Art (sog. Kollektivverhalten im soziologischen Sinn) beobachtet. Das eigentliche Feld sind Massenveranstaltungen, bei denen irgendwelche auslösenden Ereignisse (z. B. ein Brand, ein Konkurs, eine Hiobsbotschaft) Überreaktionen auslösen (Panik, Gerücht, Massenpsychose). solcher wechselseitig infektiöser Prozesse Solche Ereignisse können z. B. zu einem ruckartigen Kursverfall führen und durch die akzelerierende Wirkung der Medien sowie durch die erwähnten „Self- fulfilling-Mechanismen“ rasche Ausbreitung erfahren. Soziale Vergleichsprozesse sowie Modellnachahmung können in Gruppen oder Branchen gleichfalls eine Gleichrichtung des Verhaltens bewirken (z. B. gleiche Handelsspannen, Preisorientierung an der Konkurrenz, Imitieren des Marktführers). Dabei bleibt es zunächst unentschieden, worauf die Konformität beruht (z. B. auf Gruppendruck, auf Unsicherheit oder auf Zugehörigkeitsgefühl). Selbst wenn Argumente stichhaltig, Innovationen nützlich und Moden „schick“ sein mögen: Sie werden breitflächig nur dann akzeptiert, wenn es über bestimmte Schwellenwerte hinweg zu Akzeptanz- und Ausbreitungswirkungen kommt. Eine Gleichrichtung ökonomischen Verhaltens ist schließlich auch über die kollektive (organisierte) Bündelung von Einzelinteressen möglich (sog. kollektives Handeln i. S. Olsons 1968). 98

Gegenüber bestimmten Formen der Wirtschaftskriminalität (z. B. Umweltbeeinträchtigung) wächst allerdings die Sensibilität und damit auch die Schärfe der ausgeübten oder angedrohten Sanktionen. Bereits vor der Atomkatastrophe in Fukushima 2011 war mehr als die Hälfte der deutschen Bundesbürger bereit, einen gegenüber Atomstrom vergleichsweise höheren Preis für Ökostrom zu zahlen. Dennoch konnte für das Jahr 2008 nur ein Ökostromanteil von 15% am Gesamtstromverbrauch in Deutschland verzeichnet werden. In Internetforen rätseln User, warum so viele Exemplare der Bild-Zeitung verkauft werden, obwohl es so wenige bekennende Leser gibt. Und die Sexshop-Kette Beate Uhse kämpft mit einbrechenden Umsätzen. Dabei sind Homeparties, bei denen Sextoys wie einst Tupperware verkauft werden, der letzte Schrei. und testet auf Basis soziologischer ökonomischer, Alle drei Beispiele sind ein Hinweis darauf, dass sich der Konsument in der Öffentlichkeit anders verhält als im stillen Kämmerlein. In seinem öffentlichen Leben folgt er sozialen Normen und versucht konform mit den Erwartungen seiner Mitmenschen zu entscheiden, damit seine Bezugsgruppe ihn akzeptiert. Ein Widerspruch zum in der Ökonomie propagierten Bild des rationalen Akteurs, der stets nur auf die Maximierung seines Nutzens aus ist? Sarah Meyer-Dietrich zeigt, dass diese Divergenz kein Widerspruch sein muss. Sie entwickelt und sozialpsychologischer Ansätze ein Modell „sozialer Hochkosten“: Drohender Ausschluss aus einer Bezugsgruppe kann zu einem immensen Druck führen, konformes Gruppenverhalten ist somit Teil der Nutzenmaximierung. 7. Das Rationalprinzip14: Rationalprinzip oder ökonomische Prinzip15 ist die Grundlage vernünftigen menschlichen Handelns: Ein gegebenes Ziel sollte mit geringstmöglichem Mitteleinsatz erreicht werden, ein gegebener Mitteleinsatz sollte zu einer möglichst weitgehenden Zielerfüllung genutzt werden. Die wirtschaftliche Ausprägung des Rationalprinzips ist das Wirtschaftlichkeitsprinzip: eine formale Beziehung zwischen den Zielen menschlichen Handelns und den zur Erreichung Mitteln. Das Rationalprinzip ist in seiner allgemeinsten Fassung als Grundsatz für vernunftgemäßes Handeln zu verstehen. Das und sämtlicher Nebenbedingungen voraus. Der Gegensatz zu rationalem Verhalten wäre irrationales Verhalten. rationale Verhalten einer Zielgröße setzt die Kenntnisse der Ziele notwendigen 14 http://www.wirtschaftslexikon24.com/d/rationalprinzip/rationalprinzip.htm 15 Wirtschaftlichkeitsprinzip: 1. Mit minimalem Mitteleinsatz ein vorgegebenes Ziel erreichen (Minimumprinzip); 2. mit gegebenen Mitteln einen maximalen Erfolg erzielen (Maximumprinzip). Das ökonomisches Prinzip besagt, dass zwischen Mitteleinsatz und Ertrag ein optimales Verhältnis herzustellen ist. Es existiert in zwei Versionen: (1) Maximum-Version: Bei vorgegebenem Mitteleinsatz ist ein möglichst hoher erzielen. (2) Minimum-Version: Ein vorgegebener Ertrag ist mit möglichst geringem Mitteleinsatz zu erreichen. Ertrag zu 100

ihres Handelns anstreben. Dabei gelten die Gesetze der Psycho-Logik, d.h., die Wert- Erwartungs-Funktion wird durch Anomalien gebrochen. dem Involvement in variiert positiv mit Diese Tendenz den Entscheidungsgegenstand, der Fähigkeit, rationales Verhalten (im Sinne von 1) zu entwickeln, zu kontrollieren und umzusetzen, dem Erwartungsdruck für rationales Verhalten, positiven Erfahrungen für rationales Verhalten, den erwarteten positiven/negativen Konsequenzen, der Verfügbarkeit verhaltensrelevanter Informationen. Kommen der Akteur und/oder der Außenstehende zu dem Ergebnis, dass zwischen bestehenden/erwarteten Verhaltensweisen/ Verhaltensergebnissen und rational intendiertem Verhalten eine merkliche Differenz besteht, so neigen Individuen dazu, eigenes Verhalten vor sich und anderen zu begründen und zu rechtfertigen. Die Neigung zur Begründung ist umso größer, je stärker diese Differenz ausgeprägt ist, je sozial sichtbarer das Verhalten ist, je mehr in das Verhalten investiert wurde, je stärker das Verhalten mit dem Selbstkonzept verknüpft ist, je größer der Relevanzbereich des Verhaltens ist, je deutlicher die Verantwortlichkeit des Individuums für das Verhalten erscheint, je größer der Handlungsspielraum für das Individuum war, je stärker der soziale Rechtfertigungsdruck bzw. die Rechenschaftspflicht eines Individuums ist. Individuen wählen solche Begründungs- und Rechtfertigungsstrategien, von denen sie glauben, dass sie erfolgreich und überzeugend eingesetzt werden können. Insbesondere sind dies Strategien, von denen sie glauben, dass sie rationalen Maßstäben entsprechen, die bereits in der Vergangenheit erfolgreich eingesetzt wurden, die mit dem gezeigten Verhalten kompatibel sind, von denen sie annehmen, dass sie plausibel sind, von anderen also ohne weiteres verstanden werden, für die strategierelevante Informationen verfügbar erscheinen. 9. Menschenbilder – wichtig für die Psychologie18 und das Projektmanagement die Gesamtheit der Annahmen, Einstellungen und Überzeugungen, was der Mensch von Natur aus ist, wie er in seinem sozialen und materiellen Umfeld lebt und welche Werte und Ziele sein Leben hat oder haben sollte als Selbstbild (Selbstkonzept) und als Bild von anderen Personen oder von den Menschen im Allgemeinen. 18 https://portal.hogrefe.com/dorsch/menschenbilder/ 102

Spiritualität, Willensfreiheit, Sinn des Lebens, Prinzipien der Ethik, soziale Verantwortung und Orientierung z. B. an christlichen, humanistischen, demokratischen Werten. Menschenbilder sind als Abbilder und als mögliche Leitbilder zu verstehen wie die von bekannten Psychotherapeuten – Freud, Fromm, Frankl, Rogers oder Skinner – formulierten Ansichten. Im Unterschied zu solchen Konzepten, die oft nur ein bestimmtes Grundprinzip oder einen fundamentalen Gegensatz behaupten, verlangt die Differentielle Psychologie eine breitere empirische Sicht auf die zahlreichen Facetten des Menschen. Diese Annahmen über den Menschen bilden ein individuelles Muster mit Kernthemen und Randthemen. Psychologisch betrachtet ist das Menschenbild eine subjektive Theorie, die einen wesentlichen Teil der persönlichen Alltagstheorien und Weltanschauung ausmacht. Haben die eigenen Menschenbilder der Fachpsychologien, ihre phil. (metaphysischen, religiösen) Annahmen über den Menschen, Konsequenzen für die Forschung und Berufspraxis? Lawrence A. Pervin zufolge lassen die Autoren von Lehrbüchern der Persönlichkeitspsychologie unvermeidlich eigene Überzeugungen erkennen. Seit der Auseinandersetzung um Freuds atheistisches und pessimistisches Menschenbild wird über die Orientierung des therapeutischen Handelns diskutiert. Menschenbilder können die Funktion von Leitbildern in verschiedenen Lebensbereichen haben. Aber beeinflussen sie auch die Berufspraxis von Ärzten, Psychotherapeuten, Richtern? Das individuelle Menschenbild kann in den Grundzügen durch strukturierte Interviews erfasst werden, einzelne Komponenten näherungsweise durch Fragebogen, u. a. zu den typischen Lebensformen und Wertorientierungen (Spranger, G. W. Allport), Werthaltungen (Value Survey von Rokeach), Dimensionen der menschlichen Natur (Hjelle & Ziegler), alltagsphilosophische Konzeptionen (Bottenberg & Schade), Fragebogen Philosophy of Human Nature PHN (Wrightsman), Soziale-Axiome-Skala (Leung et al.) sowie zahlreiche Einstellungsskalen in der Religionspsychologie. 104

Erich Kremsmair Lehrgangsleiter - Zentrum für Bau- und Immobilienwirtschaft Donau Universität Krems Martin Stieger Rektor der Allensbach Hochschule, Konstanz CEO VIS Vienna International Studies, Wien 106

Wiener Universitäre Schriften ISBN 3-940020-36-2