Transcript Slide 1

The 4th International Seville Conference on
Future-Oriented Technology Analysis (FTA)
12 & 13 May 2011
Strategic Dialogues for
Research Policy Making in Germany
Frauke Lohr, Rainer Rothfuß, Sebastian Hallensleben
Grolman.Result GmbH
Strategic Dialogues for Research Policy Making in Germany
Agenda
Strategic Dialogues for Research Policy Making in Germany
• Context, Objectives and Use of Strategic Dialogues
• Challenges, General Approach and Benefit of Strategic Dialogues
• Examples of Strategic Dialogues:
1. Transferring results from the BMBF Foresight Process
2. Generating a joint Vision for Forward-Looking Projects
3. Developing a model for Public Private Partnerships
• Key Success Factors
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Conclusions
Strategic Dialogues for Research Policy Making in Germany
Context of Strategic Dialogues
National wealth and well-being depend on the alignment of
relevant stakeholders to foster innovation
Shaping by Society
Know-How
Know-How
Inventions based on a
powerful research and
educational system
within Academia
National Wealth &
Well-Being
Innovation
for sustainable
economic growth
driven by Industry
Money
Money
National policies as
catalyst and framework
Strategic Dialogues for Research Policy Making in Germany
Objectives of Strategic Dialogues
Strategic Dialogues as innovative instrument
for stakeholder alignment
Strategic Dialogue
Holistic view based on
combining individual stakeholders‘ perspectives
in a constructive debate based on mutual trust
1. Politics
2. Academia
3. Industry
4. Society
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Federal Ministry
of Education and
Research
Other Federal
Ministries
State
Governments
District Councils
City Councils
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Universities
Non-university
research
organizations
Scientific
networks
Polytechnics
Academies
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Small-to-Medium
enterprises
Global
Multinationals
Industry
associations
Research
partnerships
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Cross-cutting Stakeholders
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Pressure Groups
Think Tanks
Trade unions
Religious
Organizations
Charities
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Strategic Dialogues for Research Policy Making in Germany
Objectives of Strategic Dialogues
Objectives for Stakeholder’s Engagement
Strategic
Dialogues
Objectives
1.Trigger and
facilitate
opinion-forming
processes within
political
institutions
2.Involve
Societyand
engage
other relevant
stakeholders
at an early stage
Potential strategic questions:
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Joint review of previous
results
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Necessary conditions to push
invention and innovation
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Potential constraints
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Relevance for basic and
advanced training
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Ethical, legal aspects
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Impact on society
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Expected Results
1.Development of
recommendations
to support research
policy development
based on a joint view
of the future
2.Community Building
3.Project Activities
Strategic Dialogues for Research Policy Making in Germany
Use of Strategic Dialogues
Support of Foresight and related strategy building processes to support
the German Federal Ministry of Education and Research (BMBF)
Strategic Dialogue
1. with political stakeholders
2. with stakeholders from the research & innovation arena
BMBF-Foresight
High-Tech Strategy
7 focus areas,
timescale 10-15 years
for expected peak of
research activities
11 forward-looking
projects to map out
scientific and technological developments
over 10-15 years
Example 1:
Transfer results
from screening phase
Example 2:
Generate a joint vision
New instruments/
programmes
to support Innovation
Example 3:
Develop new model
for Public Private
Partnerships
Strategic Dialogues for Research Policy Making in Germany
Challenges
Potential Challenges and Solutions for Strategic Dialogues
Challenges
Solutions
• Interaction between stakeholders with
differing competencies and
vocabularies and a broad spectrum of
contributions is unfamiliar
• Creation of mutual understanding for
the positions and perspectives of
other stakeholders through facilitation
and conceptual guidance
• Heterogeneous Stakeholders with
lack of trust and conflicting interests
• Diligently faciliated collaboration based
on binding „rules of engagement“
to build up mutual trust
• Dealing with (potential) conflicts
• Professional management of conflicts
based on set criteria
(Mutual Gains Approach)
• Information flow and communication
between the stakeholders in the
Strategic Dialogue as well as towards
the public
• Deliberate and careful management
of information flows and
communication channels
Strategic Dialogues for Research Policy Making in Germany
General Approach
General approach of Strategic Dialogues is split into 2 phases
Strategic Dialogue
1. Initialisation and
clarification
with political stakeholders
2. Expansion with other
stakeholders from the
research and innovation
arena
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Define individual scope and goals of
relevant political stakeholders
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Consolidate previous findings and
confirm hypotheses
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Analyse context and current
situation, develop first hypotheses
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Identify additional relevant
stakeholders
Expand the field of exploration on the
subject matter by bringing in
additional expertise
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Ensure joint understanding
of the situation
Assess current challenges, success
factors and potential obstacles
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Agree on Strategic Dialogue
approach and design
Map relevant existing activities and
supplement stakeholder analysis
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Agree on results and develop
recommendations taking into
consideration different stakeholder
roles
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Jointly set up cooperation format and
communication channels
Strategic Dialogues for Research Policy Making in Germany
General Approach
Step 1:
Modular Approach for Initialization and Clarification
1. Initialisation and clarification
with political stakeholders
Joint meetings/ elaboration workshop
Bilateral talks with political stakeholders
and decision makers
Interviews with selected experts
Analysis and summary of earlier activities
and results in the BMBF
Research on national/ international
activities and stakeholders
Strategic Dialogues for Research Policy Making in Germany
General Approach
Step 2:
Modular Approach to extend dialogue with external stakeholders
2. Expansion with other
stakeholders from the
research and innovation
arena
Semi-structured interviews with
selected experts
Workshop with experts to
explore research potential
Workshop with experts to elaborate on
supporting infrastructural measures
Workshop with experts
to develop scenarios
Workshop with experts to discuss
impact and fundamental next steps
Strategic Dialogues for Research Policy Making in Germany
Benefit
Benefit from Strategic Dialogues for political stakeholders
• Wealth of structured information as a basis for formulating
research policy, e.g. new funding programmes
• Generation of a joint view of the future and requirements
involving other relevant stakeholder groups
• Translation of a joint view into research policy initiatives or
dedicated institutional structures
• Ability to develop research policy both within an individual
organizational unit and through cooperation of multiple units
• Greatly reduced risk of missing stakeholder requirements and
goals
Strategic Dialogues for Research Policy Making in Germany
Example 1
Strategic Dialogue for the focus area “ProductionConsumption 2.0”
from the recent BMBF Foresight process
Objectives:
Transfer results from screening phase into research policy
Challenges:
• Various political stakeholders:
7 organizational units within the BMBF + 3 federal ministries
• Broad range of stakeholders from academia, industry, society
• Collaboration of whole spectrum of stakeholders essential for
progress, systemic view as prerequisite
• Topic touches on fundamental issues such as shared values and
economic systems
Strategic Dialogues for Research Policy Making in Germany
Example 1
Strategic Dialogue for the focus area “ProductionConsumption 2.0”
from the recent BMBF Foresight process
Starting point: Outcome of BMBF-Foresight search process
(1) Clarification and
focus within
BMBF
(2) Policy study and
involvement of
other federal
ministries
(3) Extension to
stakeholders in
academia,
industry, society
Joint meetings/
elaboration workshop
Bilateral talks with
political decision makers
Semi-structured interviews with experts
Analysis and summary of
previous funding
activities and results
Workshop with experts to
explore research
potential, impact and next
steps
Q3-4/2010
Q1/2011
Interviews with
selected experts
Research on activities
and stakeholders
Q2/2010
Result: Options and recommendations for research policy
Strategic Dialogues for Research Policy Making in Germany
Example 2
Strategic Dialogue to generate a joint vision for a forward- looking
Project “CO2-Neutral City” as element of the High-Tech Strategy
Objectives:
Develop a preferred scenario for 2030 considering technological, economical
and societal developments and define landmarks for realization as basis for
political and public discussion
Challenges:
• Developing a joint view with 30 diverse stakeholders holding strong
views while considering time and budget constraints
• Defining a managable set of relevant influencing factors and identifying
most important driving forces/ most promising levers
• Synthesising a simple, plausible and consistent integrated picture as
illustration to be easily understood and agreed upon by all participants
• Agreeing on landmarks from an overall perspective considering different
roles and responsibilities
Strategic Dialogues for Research Policy Making in Germany
Example 2
Strategic Dialogue to generate a joint vision for a forward- looking
Project “CO2-Neutral City” as element of the High-Tech Strategy
(1) Interviews
with approx.
20 experts
Phone interviews
over 2-3 weeks
(2) Workshop
with experts
(approx. 20)
(3) Elaboration and
communication
of workshop
outcome
1 ½-day
workshop
Iterative process
over 4-6 weeks
Final result: Scenarios in carefully crafted and accessible prose
Strategic Dialogues for Research Policy Making in Germany
Example 3
Strategic Dialogue for a new form of Public Private Partnerships
between academia and industry
Objectives:
Defining the structure of a new type of funding instrument to foster close
collaboration between academia and industry in basic applied research
Challenges:
• Understanding previous national/international activities and pinpointing
the exact niche to be filled
• Taking into account the broad range of stakeholders‘ needs in academia
and industry
• Illustrating the potential of a new instrument, its preferred structure and
prerequisites for successful implementation
Strategic Dialogues for Research Policy Making in Germany
Example 3
Strategic Dialogue for a new form of Public Private Partnerships
between academia and industry
(1) Interviews with
approx. 35
experts
(2) Workshop
with experts
(approx. 35)
Phone interviews
over 2-3 weeks
1-day workshop
(3) Elaboration
and
communication
of workshop
outcome
Iterative process
over 4-6 weeks
Result: Well-founded proposal for structure of PPP initiative
Implementation into German national research policy in progress
Strategic Dialogues for Research Policy Making in Germany
Key Success Factors
Recommendations for a successful Strategic Dialogue
• Consider existing structures of relevant Federal Ministries and their
departments in initiating cross-cutting activities to gain political commitment
• Use the “right language” to ensure relevance and a joint understanding
through appropriate presentation of information
• Ensure compatibility with existing strategic planning activities of
individual units
• Carefully select stakeholders considering their potential contribution,
their role in developing research policies, and their commitment to future
activities
Strategic Dialogues for Research Policy Making in Germany
Conclusion
Strategic Dialogues as Innovative Instrument
to support Research Policy Making
• Highly flexible and adaptable
• Foundation for research policy that meets the needs of all
stakeholders
• More efficient use of public funds