Strategic Dialogues for Research Policy Making in Germany 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

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

National Wealth & Well-Being 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 Inventions based on a powerful research and educational system within Academia Innovation for sustainable economic growth driven by Industry Money Money National policies as catalyst and framework

Objectives of Strategic Dialogues 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 Federal Ministry of Education and Research Other Federal Ministries State Governments District Councils City Councils … … Universities Non-university research organizations Scientific networks Polytechnics Academies … Small-to-Medium enterprises Global Multinationals Industry associations Research partnerships … Pressure Groups Think Tanks Trade unions Religious Organizations Charities … Cross-cutting Stakeholders

Objectives of Strategic Dialogues Strategic Dialogues for Research Policy Making in Germany Objectives of Strategic Dialogues Objectives for Stakeholder’s Engagement Objectives Strategic Dialogues Expected Results Focus to be defined by BMBF Trigger and facilitate opinion-forming processes within political institutions Involve and engage other relevant stakeholders at an early stage 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 …. Development of recommendations to support research policy development based on a joint view of the future Community Building Project Activities Society

Use of Strategic Dialogues 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 with political stakeholders with stakeholders from the research & innovation arena 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 Example 1: Transfer results from screening phase Example 2: Generate a joint vision Example 3: Develop new model for Public Private Partnerships

Challenges Potential Challenges and Solutions for Strategic Dialogues 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 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

Strategic Dialogues for Research Policy Making in Germany General Approach General approach of Strategic Dialogues is split into 2 phases Strategic Dialogue Initialisation and clarification with political stakeholders 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 understanding of 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

Strategic Dialogues for Research Policy Making in Germany General Approach Step 1: Modular Approach for Initialization and Clarification 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

General Approach Step 2: Strategic Dialogues for Research Policy Making in Germany General Approach Step 2: Modular Approach to extend dialogue with external stakeholders 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

Benefit Benefit from Strategic Dialogues for political stakeholders 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 inter- views with experts Interviews with selected experts Analysis and summary of previous funding activities and results Workshop with experts to explore research potential, impact and next steps Research on activities and stakeholders Q2/2010 Q3-4/2010 Q1/2011 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 (2) Workshop with experts (approx. 20) (3) Elaboration and communication of workshop outcome Phone interviews over 2-3 weeks 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) (3) Elaboration and communication of workshop outcome Phone interviews over 2-3 weeks 1-day workshop 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