Strategic Dialogues for Research Policy Making in Germany

1. The 4th International Seville Conference onFuture-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

2. 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: • Transferring results from the BMBF Foresight Process • Generating a joint Vision for Forward-Looking Projects • Developing a model for Public Private Partnerships • Key Success Factors • Conclusions

3. 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 National Wealth &Well-Being Innovation forsustainableeconomicgrowthdrivenbyIndustry Inventionsbased on a powerful researchandeducationalsystemwithinAcademia Money Money National policies ascatalyst and framework

4. Strategic Dialogues for Research Policy Making in Germany Objectives of Strategic Dialogues Strategic Dialogues as innovative instrumentfor stakeholder alignment Strategic Dialogue Holisticviewbased on combining individual stakeholders‘ perspectives in a constructivedebatebased on mutual trust 1. Politics 2. Academia 3. Industry 4. Society • Federal Ministryof Education and Research • Other Federal Ministries • State Governments • DistrictCouncils • City Councils • … … • Universities • Non-university researchorganizations • Scientific networks • Polytechnics • Academies • … • Small-to-Medium enterprises • Global Multinationals • Industryassociations • Research partnerships • … • Pressure Groups • Think Tanks • Trade unions • ReligiousOrganizations • Charities • … Cross-cuttingStakeholders

5. Strategic Dialogues for Research Policy Making in Germany Objectives of Strategic Dialogues Objectives for Stakeholder’s Engagement Objectives ExpectedResults Strategic Dialogues Focus tobedefinedbyBMBF Trigger andfacilitateopinion-formingprocesseswithinpoliticalinstitutions Involveandengageother relevant stakeholdersat an earlystage • Potential strategicquestions: • Joint reviewofpreviousresults • Necessaryconditionsto push inventionandinnovation • Potential constraints • Relevanceforbasicandadvancedtraining • Ethical, legal aspects • Impact on society • …. Development ofrecommendationstosupportresearchpolicydevelopmentbased on a jointviewofthefuture Community Building Project Activities Society

6. 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 • withpoliticalstakeholders • withstakeholdersfromtheresearch & innovationarena BMBF-Foresight 7 focusareas, timescale 10-15 yearsforexpectedpeakofresearchactivities High-Tech Strategy 11 forward-lookingprojectstomap out scientificandtech-nologicaldevelopmentsover 10-15 years New instruments/ programmes tosupport Innovation Example 1:Transfer resultsfromscreeningphase Example 2:Generate a jointvision Example 3:Developnewmodelfor Public Private Partnerships

7. Strategic Dialogues for Research Policy Making in Germany Challenges Potential Challenges and Solutions for Strategic Dialogues Challenges Solutions • Creationof mutual understandingforthepositionsandperspectivesofotherstakeholdersthroughfacilitationandconceptualguidance • Diligentlyfaciliatedcollaborationbased on binding „rulesofengagement“ tobuildup mutual trust • Professional managementofconflictsbased on setcriteria(Mutual Gains Approach) • Deliberateandcarefulmanagementofinformationflowsandcommunicationchannels • Interaction betweenstakeholderswithdifferingcompetenciesandvocabulariesand a broadspectrumofcontributionsisunfamiliar • HeterogeneousStakeholderswith lack oftrustandconflictinginterests • Dealingwith (potential) conflicts • Information flowandcommunicationbetweenthestakeholders in the Strategic Dialogueaswellastowardsthepublic

8. Strategic Dialogues for Research Policy Making in Germany General Approach General approach of Strategic Dialogues is split into 2 phases Strategic Dialogue Initialisationandclarificationwithpoliticalstakeholders Expansion withotherstakeholdersfromtheresearchandinnovationarena • Define individual scopeandgoalsof relevant politicalstakeholders • Analyse contextandcurrentsituation, developfirsthypotheses • Identify additional relevant stakeholders • Ensurejointunderstandingofthesituation • Agree on Strategic Dialogueapproachand design • Jointlysetupcooperationformatandcommunicationchannels • Consolidatepreviousfindingsandconfirmhypotheses • Expandthefieldofexploration on thesubject matter bybringing in additional expertise • Assesscurrentchallenges, successfactorsand potential obstacles • Map relevant existingactivitiesandsupplementstakeholderanalysis • Agree on resultsanddeveloprecommendationstakingintoconsideration different stakeholderroles

9. Strategic Dialogues for Research Policy Making in Germany General Approach Step 1: Modular Approach for Initialization and Clarification Initialisationandclarificationwithpoliticalstakeholders Joint meetings/ elaborationworkshop Bilateral talkswithpoliticalstakeholdersanddecisionmakers Interviews withselectedexperts Analysis andsummaryofearlieractivitiesandresults in the BMBF Research on national/ international activitiesandstakeholders

10. Strategic Dialogues for Research Policy Making in Germany General Approach Step 2: Modular Approach to extend dialogue with external stakeholders Expansion withotherstakeholdersfromtheresearchandinnovationarena Semi-structuredinterviewswithselectedexperts Workshop withexpertstoexploreresearch potential Workshop withexpertstoelaborate on supportinginfrastructuralmeasures Workshop withexpertstodevelopscenarios Workshop withexpertstodiscussimpactand fundamental nextsteps

11. Strategic Dialogues for Research Policy Making in Germany Benefit Benefit from Strategic Dialogues for political stakeholders • Wealthofstructuredinformationas a basisforformulatingresearchpolicy, e.g. newfundingprogrammes • Generation of a jointviewofthefutureandrequirementsinvolvingother relevant stakeholdergroups • Translation of a jointviewintoresearchpolicy initiatives ordedicatedinstitutionalstructures • Abilitytodevelopresearchpolicybothwithin an individual organizationalunitandthroughcooperationof multiple units • Greatlyreducedriskofmissingstakeholderrequirementsandgoals

12. 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 resultsfromscreeningphaseintoresearchpolicy • Challenges: • Variouspoliticalstakeholders:7 organizationalunitswithinthe BMBF + 3 federalministries • Broadrangeofstakeholdersfromacademia, industry, society • Collaborationofwholespectrumofstakeholders essential forprogress, systemicviewasprerequisite • Topic touches on fundamental issues such assharedvaluesandeconomicsystems

13. 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 Startingpoint: Outcomeof BMBF-Foresight searchprocess (1) Clarificationandfocuswithin BMBF (3) Extension tostakeholders in academia, industry, society (2) Policystudyandinvolvementofotherfederalministries Joint meetings/ elaborationworkshop Bilateral talkswithpoliticaldecisionmakers Semi-structured inter-viewswithexperts Interviews withselectedexperts Analysis andsummaryofpreviousfundingactivitiesandresults Workshop withexpertstoexploreresearch potential, impactandnextsteps Research on activitiesandstakeholders Q3-4/2010 Q1/2011 Q2/2010 Result: Options andrecommendationsforresearchpolicy

14. 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 preferredscenariofor 2030 consideringtechnological, economicalandsocietaldevelopmentsanddefinelandmarksforrealizationasbasisforpoliticalandpublicdiscussion • Challenges: • Developing a jointviewwith 30 diverse stakeholdersholding strong viewswhileconsidering time andbudgetconstraints • Defining a managablesetof relevant influencingfactorsandidentifyingmostimportantdrivingforces/ most promising levers • Synthesising a simple, plausible andconsistentintegratedpictureasillustrationtobeeasilyunderstoodandagreed upon by all participants • Agreeing on landmarksfrom an overallperspectiveconsidering different rolesandresponsibilities

15. 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 withapprox. 20 experts (3) Elaboration andcommunicationofworkshopoutcome (2) Workshopwithexperts (approx. 20) Phone interviewsover 2-3 weeks 1 ½-day workshop Iterative processover 4-6 weeks Final result: Scenarios in carefullycraftedandaccessibleprose

16. Strategic Dialogues for Research Policy Making in Germany Example 3 Strategic Dialogue for a new form of Public Private Partnershipsbetween academia and industry Objectives: Definingthestructureof a new type offundinginstrumenttofosterclosecollaborationbetweenacademiaandindustry in basicappliedresearch • Challenges: • Understanding previous national/international activitiesandpinpointingtheexactnichetobefilled • Takingintoaccountthebroadrangeofstakeholders‘ needs in academiaandindustry • Illustratingthe potential of a newinstrument, itspreferredstructureandprerequisitesforsuccessfulimplementation

17. Strategic Dialogues for Research Policy Making in Germany Example 3 Strategic Dialogue for a new form of Public Private Partnershipsbetween academia and industry (1) Interviews withapprox. 35 experts (3) Elaboration andcommunicationofworkshopoutcome (2) Workshopwithexperts (approx. 35) Phone interviewsover 2-3 weeks 1-day workshop Iterative processover 4-6 weeks Result: Well-foundedproposalforstructureof PPP initiative Implementation into German national researchpolicy in progress

18. 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

19. 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