1. 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

2. 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. 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

4. 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

5. 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

6. 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 years for expected peak of research activities
High-Tech Strategy
11 forward-looking projects to map out scientific and tech-nological developments over 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

7. 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

8. 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

9. 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

10. 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

11. 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

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 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

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
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

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 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

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 with approx 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

16. 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

17. 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

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