Innovative Approaches in Collaborative Planning

Lessons Learned from Public and Private Sector Roadmaps

September 17, 2009

Energetics Incorporated7067 Columbia Gateway Drive

Suite 200Columbia, MD 21046 USA

+1.410.953.6246jeisenhauer@energetics.com

Jack EisenhauerSenior Vice President

Ross BrindleProgram Director

• The Collaboration Dynamic

• Planning Concepts and Methods

• Case Studies

• Implementation Strategies

• Lessons Learned

Agenda

Think

Plan

Act

Learn

Energetics Experience with Collaborative Planning

• Created 200+ strategic plans and roadmaps since 1995 in energy, manufacturing, security, health, and basic science

• Led international roadmap efforts on six continents

• Consulted with national governments on collaborative planning techniques

• Energetics’ techniques and methods cited in two global studies of roadmapping best practices

• Aluminum (5)• Chemicals (5)• Sustainable Copper

Mining• Petroleum Refining • Forest Products • Forging • Metal Casting• Steel• Plastics in Automotive

Markets

Energetics Plans and Roadmaps Examples

Industrial Productivity and Efficiency

Energy Technologies and Strategies

• Hydrogen Vision and Roadmap for China

• Carbon Capture and Storage for G-8

• Combined Heat and Power (CHP)

• Natural Gas (4)

• Wind

• Nuclear Energy

• Photovoltaics

Infrastructure

• Grid 2030: A Vision for Electricity’s Next 100 Years

• Cyber Security of Energy Control Systems

• Partnership for Critical Infrastructure Security

Challenges of a Complex World

Climate Change

Cyber Security

Pandemic

Sustainable Energy

Industrial Competitiveness

The World Is Flat

• Dynamic

• Fast

• Complex

• Technical

• Distributed

• Specialized

• Interconnected

• Collaborative

“Getting teams of workers focused, aligned, and committed to specific actions on crucial issues is the essence of today’s new management style”-Jack Nettles Compression Planning

Dynamic Collaboration Is the New Business Paradigm

Types of Collaborative Planning

• Enterprise-wide

• Multiple Companies

• Multiple Government Agencies

• Public-Private

• International

• Multiple Stakeholders

Concepts for Public-Private Collaboration

GovernmentGoals

Private SectorGoals

Common Goals

MutualBenefit

Sources of National R&D Funding in the United States

SOURCE: National Patterns of R&D, NSF 2009

0%

10%

20%

30%

40%

50%

60%

70%

80%

1965 1970 1975 1980 1985 1990 1995 2000 2005

Transforming Public-Private Partnerships

Government

Lab Univ Ind

“Old Model”

Ind

Univ

Government

Lab

“Consultation Model”

Industry

“Partnership Model”

Ind

Lab Univ

Government

Task 1

Task 2

Task 3

Task 4

Task 5

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Vision Roadmap

Market, Social, Policy FactorsStrategic Goals and FrameworkMajor ChallengesExecutives and Thought Leaders

Technology, Engineering, SciencePerformance Targets & PrioritiesProject PathwaysSubject Matter Experts and Practitioners

Planning Concepts

Problem Definition Potential Solutions

Priorities, Pathways

& Projects

SolutionsBarriers

StrategicGoals

Vision

Roadmap Planning Logic

Vision

Roadmap

What is Technology Roadmapping• Focused Strategic Planning

– Technology and science emphasis– Clear strategic goals and performance targets– Integrates complex activities

• Collaborative Process– Usually multi-party– Multidisciplinary expertise– Springboard to collaborative partnerships

• Origins– Motorola: proprietary roadmaps 1980’s– Semiconductor Industry Association: early industry roadmap

1992– Government-sponsored roadmaps: mid-1990’s

Types of Roadmaps

Complex Issue

Technology

Product

Broad

Narrow Limited

LargeComplex Issue – Many stakeholders, multifaceted issues, focus on common goals and outcomes, technology portfolios, implementation challenging

Technology – Multiple organizations, options linked through technology pathways, priorities and timeframes defined, implementation varies

Product – Single organization, highly focused, detailed steps and timelines, structured implementation

Implementing complex roadmaps is very challenging and requires special strategies

Leve

l of D

etai

l

Low

High

Anatomy of an Excellent Roadmap

Logical structure; priorities aligned

with goals

Priorities and time frames

Task 1

Task 2Task 3Task 4Task 5

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Senior-level vision and

commitment

Layered, digestible

informationClear technology pathways

Implementation and action plans

Roadmap Challenges and Success Factors

• Include the right people at each stage• Get senior-level buy-in early• Define a clear scope• Balance consensus with technical detail• Encourage non-linear thinking• Identify ways to accelerate technology

development• Outline a realistic implementation strategy• Identify champions, commit to action

Considerations for Energy Technology Roadmaps

• Energy: complex and multi-dimensional –a good roadmap application

• Large stakeholder community

End users, manufacturers, technology developers, government agencies, researchers, interest groups

• Balanced portfolio vs. focus technologies

• Complex, capital-intensive infrastructures

• Mature vs. immature technology platforms

• Long time horizons for results to appearSource: G. Tassey, The Economics of R&D Policy, Quorum Books, 1997

Monitor Progress, Update As Needed

Implement Roadmap via Partnerships

Communicate and Socialize the Roadmap

Prepare Technology Roadmap

Establish Priorities and Time Lines

Identify Technology Development Pathways

Establish Shared Vision and Goals

Typical Roadmap Development Process

Form Senior-Level Steering Group

Managing Engagement

Steering Group (3‐12)

Expert Workshop (30‐100)

Extended Community (100‐500)

Informed Public (>500)

Case Study 1: Energy Control System Security

• Identifies energy sector’s most critical cyber security challenges and needs

• Challenges

• Lots of activity but little coordination

• Catch-22: Vendors say utilities won’t pay for security; utilities say vendors don’t offer it

• Purpose

• to align multitude of public and private programs

• To align investments to address security needs in a timely and efficient manner

Case Study 1: Energy Control System Security Process

1) Key Alliances Formed

• Owners & operators• Equipment vendors• Industry organizations• Government agencies• Researchers

2) Roadmap Outlined Priorities and Timing

3) Existing R&D Identified

• Web-based ieRoadmap developed• >100 projects identified• All projects linked to the roadmap

4) Expert Group Formed• Identify gaps and opportunities• Guide public and private investment

Case Study 1: Energy Control System Security Results and Impacts

• Roadmap widely cited, endorsed, and praised– National Infrastructure Advisory Council, Council on

Competitiveness, North American Electric Reliability Corporation, White House 60-day Cyber Review

– 3 other sectors developed control systems roadmaps based on the energy sector model

• DOE National SCADA Test Bed (NSTB) has tested over 80% of the current market offerings of control systems in the energy sector– 11 hardened control system designs developed– 31 systems now deployed in the marketplace

• The NSTB has trained more than 1,800 energy sector stakeholders on best practices for control systems security

• Update of Roadmap in Sept. 2009 is a testament to its endurance

Case Study 2: Energy Roadmaps for the International Energy Agency (IEA)

• G8 instructed IEA to develop detailed roadmaps for 17 technologies critical to achieving global CO2 emissions targets

• Challenges– Highly complex scientific,

financial, political issues

– Planning out to 2050

– Global scope• Developed vs.

developing country politics

– Cross-cultural dynamics

Case Study 2: Energy Roadmaps for the IEA—Process

• Energy Technology Perspectives 2008 offers high-level scenario projections for technology deployment, investment required, etc.

• Roadmap background paper developed by IEA framing issues

• Facilitated workshop(s) with 20-50 global experts per topic

• Roadmaps prepared by IEA and submitted to COP15 for G8 action

• Key: achieving consensus on quantitative metrics and milestones within context of great uncertainty and political disagreement

Case Study 2: Energy Roadmaps for the IEAResults and Impacts

• To be determined!• Five roadmaps will be submitted to COP15 in December• Additional roadmaps scheduled for 2010-2011

Case Study 3: Malaria Vaccine Technology Roadmap

• Global plan for aligning research, development, and testing of safe, effective malaria vaccine

• Two year effort involving input from 230 stakeholders representing 100 organizations from 35 countries

• Challenges– No single owner or champion– Medical research community prizes

individual thinking, distrusts consensus– Fierce competition for funding– Cross-cultural issues– Past failed promises still sting

Case Study 3: Malaria Vaccine Technology Roadmap—Process

• Shared Vision• Big Questions• Scientific Challenges

• Roadmap launched at 2006 GVRF

• Productive Partnerships

• Priority Needs• Activity Pathways

• Scope• StrategyWorking GroupWorking Group

Vision Meeting

• Input & Feedback• Partnership

Opportunities

Stakeholder Meetings Roadmap Launch

& Implementation

RoadmapMeeting

Case Study 3: Malaria Vaccine Technology Roadmap—Results and Impacts

• Initial backing away from Roadmap– Followed by gradual growth in citation

and reference• Now:

– 2025 and 2015 goals routinely cited– Leading malaria vaccine candidate on

track to achieve 2015 goal in 2012– Roadmap combined with other

developments to renew calls for “the E Word” – eradication

Implementing Collaborative Plans: A Show Stopper?

• Complex, multi-party roadmaps are hardest to implement

• New collaborative ideas often at odds with organizational inertia

• Innovative technologies require long-term commitment

• Roles and responsibilities often poorly defined• It’s no one’s job!

Key Implementation Issues

• Clarify roadmap ownership, find champions• Clearly communicate the value proposition to

investors• Provide sufficient technical detail for action• Coordinate with government and business funding

cycles• Engage the right people during implementation• Determine how the roadmap will be implemented

(collaboration, coordination, central)

Strategies for Success: Three Paths

Led and facilitated by a single organization

Roadmap defines common vision &

options

Roles of public and private partners clearly defined

Roadmap issued and publicized

Partners fund own roadmap activities using a common

framework

Centralized CoordinatedCollaborative

Conceived and organized by

interested partners

Roadmap defines technology pathways

and priorities

Roles of partners clearly defined in

detail

Roadmap socialized with key partners

R&D efforts monitored and

guided by partners or new organizations

Conceived and led by a single organization

Roadmap targets a few priority

technology needs

Action plans developed for top

priorities

Projects developed; funds gathered/

allocated for projects

Projects initiated, managed, and

monitored by a single organization

Origins and Leadership

Roadmap Contents

Roles & Responsibilities

Getting Started

Implementation

Which Implementation Path is Best?Scope

UncertaintyLow High

Narrow

Coordinated

Centralized

Collaborative

Need forsynergies

Broad

Lessons Learned• It’s all about the end game

– Getting it “perfect” not as important as getting it “going”

• A compelling value proposition is essential• Clarify expectations for implementation• Combine short-term returns (quick hits) with long-term

commitment• Champions and leaders make the difference• Better to improve the effectiveness of private R&D by

10% rather than design the ideal government R&D program

• Others?

Jack EisenhauerSenior Vice President

Energetics Incorporated7067 Columbia Gateway Drive

Suite 200Columbia, MD 21046 USA

+1.410.953.6246jeisenhauer@energetics.com

www.energetics.com