Strategic Dialogues for Research Policy Making in Germany

Strategic Dialogues for Research Policy Making in Germany

Frauke Lohr, Rainer Rothfuß, Sebastian Hallensleben

Grolman.Result GmbH

The 4th International Seville Conference onFuture-Oriented Technology Analysis (FTA)

12 & 13 May 2011


Agenda


• 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

•Conclusions


National wealth and well-being depend on the alignment of relevant stakeholders to foster innovation

Context of Strategic Dialogues

Innovation for sustainable

economic growthdriven by Industry

Shaping by Society

National Wealth &Well-Being

Know-How Know-How

Money

National policies ascatalyst and framework

Inventions based on a powerful research and

educational system within Academia

Money


Strategic Dialogues as innovative instrumentfor stakeholder alignment

Objectives of Strategic Dialogues

1. Politics• Federal Ministry

of Education and Research

• Other Federal Ministries

• State Governments

• District Councils• City Councils• … …

2. Academia• Universities• Non-university

research organizations

• Scientific networks

• Polytechnics• Academies• …

3. Industry• Small-to-Medium

enterprises• Global

Multinationals• Industry

associations• Research

partnerships• …

4. Society

Strategic Dialogue

Holistic view based on combining individual stakeholders‘ perspectives in a constructive debate based on mutual trust

Cross-cutting Stakeholders

• Pressure Groups• Think Tanks• Trade unions• Religious

Organizations• Charities• …


Objectives for Stakeholder’s Engagement

Objectives of Strategic Dialogues

Strategic Dialogues

Expected Results

1.Development of recommendationsto support researchpolicy developmentbased on a joint view of the future

2.Community Building

3.Project Activities

Objectives

Society

Potential strategic questions:

•Joint review of previous results

•Necessary conditions to push invention and innovation

•Potential constraints

•Relevance for basic and advanced training

•Ethical, legal aspects

•Impact on society

•….

Focus to be defined by BMBF

1.Trigger and facilitate opinion-formingprocesses withinpolitical institutions

2.Involve and engageother relevant stakeholders at an early stage


Support of Foresight and related strategy building processes to support the German Federal Ministry of Education and Research (BMBF)

Use of Strategic Dialogues

Strategic Dialogue

BMBF-Foresight

7 focus areas,timescale 10-15 years for expected peak of research activities

High-Tech Strategy

11 forward-looking projects to map out scientific and tech-nological developments over 10-15 years

New instruments/ programmes to support Innovation

1. with political stakeholders2. with stakeholders from the research & innovation arena

Example 1:Transfer resultsfrom screening phase

Example 2:Generate a joint vision

Example 3:Develop new model for Public Private Partnerships


Potential Challenges and Solutions for Strategic Dialogues

Challenges

Challenges Solutions

• Interaction between stakeholders with differing competencies and vocabularies and a broad spectrum of contributions is unfamiliar

• Heterogeneous Stakeholders with lack of trust and conflicting interests

• Dealing with (potential) conflicts

• Creation of mutual understanding for the positions and perspectives of other stakeholders through facilitation and conceptual guidance

• Diligently faciliated collaboration based on binding „rules of engagement“ to build up mutual trust

• Professional management of conflicts based on set criteria (Mutual Gains Approach)

• Deliberate and careful management of information flows and communication channels

• Information flow and communication between the stakeholders in the Strategic Dialogue as well as towards the public


General approach of Strategic Dialogues is split into 2 phases

General Approach

Strategic Dialogue

1. Initialisation and clarificationwith political stakeholders

2. Expansion with other stakeholders from the research and innovation arena

• Define individual scope and goals of relevant political stakeholders

• Analyse context and current situation, develop first hypotheses

• Identify additional relevant stakeholders

• Ensure joint understandingof the situation

• Agree on Strategic Dialogue approach and design

• Jointly set up cooperation format and communication channels

• Consolidate previous findings and confirm hypotheses

• Expand the field of exploration on the subject matter by bringing in additional expertise

• Assess current challenges, success factors and potential obstacles

• Map relevant existing activities and supplement stakeholder analysis

• Agree on results and develop recommendations taking into consideration different stakeholder roles


Step 1: Modular Approach for Initialization and Clarification

General Approach

1. Initialisation and clarificationwith 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


Step 2: Modular Approach to extend dialogue with external stakeholders

General Approach

2. Expansion with other stakeholders from the research and innovation arena

Semi-structured interviews with selected experts

Workshop with experts toexplore research potential

Workshop with experts to elaborate on supporting infrastructural measures

Workshop with expertsto develop scenarios

Workshop with experts to discussimpact and fundamental next steps


Benefit

• 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

Benefit from Strategic Dialogues for political stakeholders


Strategic Dialogue for the focus area “ProductionConsumption 2.0”from the recent BMBF Foresight process

Example 1

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

Objectives:Transfer results from screening phase into research policy


Strategic Dialogue for the focus area “ProductionConsumption 2.0”from the recent BMBF Foresight process

(1) Clarification and focus within BMBF

(2) Policy study and involvement of other federal ministries

(3) Extension to stakeholders in academia, industry, society

Starting point: Outcome of BMBF-Foresight search process

Q2/2010

Joint meetings/ elaboration workshop

Interviews with selected experts

Research on activities and stakeholders

Bilateral talks with political decision makers

Analysis and summary of previous funding

activities and results

Semi-structured inter-views with experts

Workshop with experts toexplore research

potential, impact and next steps

Example 1

Q3-4/2010 Q1/2011

Result: Options and recommendations for research policy


Strategic Dialogue to generate a joint vision for a forward- lookingProject “CO2-Neutral City” as element of the High-Tech Strategy

Example 2

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


Example 2

(1) Interviews with approx. 20 experts

(2) Workshop with experts (approx. 20)

(3) Elaboration and communication of workshop outcome

Final result: Scenarios in carefully crafted and accessible prose

Phone interviews over 2-3 weeks

1 ½-day workshop

Iterative process over 4-6 weeks

Strategic Dialogue to generate a joint vision for a forward- lookingProject “CO2-Neutral City” as element of the High-Tech Strategy


Strategic Dialogue for a new form of Public Private Partnershipsbetween academia and industry

Example 3

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


(1) Interviews with approx. 35 experts

(2) Workshopwith experts (approx. 35)

(3) Elaboration and communication of workshop outcome

Result: Well-founded proposal for structure of PPP initiative

Phone interviews over 2-3 weeks

1-day workshop Iterative process over 4-6 weeks

Strategic Dialogue for a new form of Public Private Partnershipsbetween academia and industry

Example 3

Implementation into German national research policy in progress


Recommendations for a successful Strategic Dialogue

Key Success Factors

• 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 as Innovative Instrument to support Research Policy Making

Conclusion

•Highly flexible and adaptable

•Foundation for research policy that meets the needs of all stakeholders

•More efficient use of public funds

Strategic Dialogues for Research Policy Making in Germany

Documents

Transcript of Strategic Dialogues for Research Policy Making in Germany