Documente Academic
Documente Profesional
Documente Cultură
Imprint:
Editor
ClusterAgentur Baden-Württemberg
On behalf of the Ministry of Economic Affairs, Labour and
Housing Baden-Württemberg
Baden-Württemberg
Haus der Wirtschaft
Willi-Bleicher-Straße 19
70174 Stuttgart
Telephone: +49 711 123-3033
www.clusteragentur-bw.de
Authors
Dr. Matthias Künzel
Dr. Gerd Meier zu Köcker
Thomas Köhler
Design
VDI/VDE-IT Berlin
Published
May 2016
Contents
Contents
1 Preface ........................................................................................................................................................... 3
2 Economic Conditions.................................................................................................................................... 5
4.2.1 Roadmapping................................................................................................................................ 20
4.2.2 Determining the positions of the cluster stakeholders in the context of innovations .................. 23
4.3.3 Cross-Clustering............................................................................................................................ 32
5 Outlook........................................................................................................................................................... 36
6 Literature ....................................................................................................................................................... 37
7 Figures............................................................................................................................................................ 39
1 Preface
For many years, innovations have been seen as the key industries meet or overlap (for example, health and bio-
to economic growth, wide-spread wealth, and prosperity. technology, or ICT and automotive). However, this trend
The successful “use” of this key – in terms of business also makes innovations more and more complex and
administration as well as in economic terms – is one of difficult, especially for small and medium-sized enterpri-
the persistent challenges faced both by the manage- ses (SMEs) And this is where the cluster and network
ments in companies, and in politics. initiatives, whose goal it is to bring together and build
networks between different stakeholders or stakeholder
For an enterprise to successfully generate innovations, groups, can come in. That means that the cluster or net-
many small steps must be taken. These steps reach from work managements take an active role in connecting and
the strategic level to general conditions, and the individu- bringing together the right stakeholders and in reducing
al employees. The mere fact that the innovation process the barriers for joint innovations. This not only applies to
involves and concerns the strategic levels of a company stakeholders from different industries but also to stake-
as much as all executive levels makes it a management holders from within the value chains (for example, users
task. and developers, or science and industry).
Innovation management means the systematic planning Improving the economic conditions to promote innova-
and control of innovations within organizations. For this tions has had a long tradition in Baden-Württemberg.
purpose, organizations not only means enterprises – al- Since the beginning of the new millennium, Baden-Würt-
though the considerations further below are mainly focu- temberg’s innovation policy has had its emphasis on the
sed on these – but also includes public administrations building of systematic networks between cluster stake-
and research institutions. As opposed to creativity and holders and on the establishing of an independent clus-
invention, which both have their focus on the idea and its ter policy which is an essential element of the state’s
creation, innovation management is about the utilization innovation policy [1]. In the past, various intermediate
of ideas. However, innovation management is not limited institutions were established, for example, the Medien-
to new ideas in the original meaning, it also includes new und Filmgesellschaft Baden-Württemberg mbH (MFG) or
combinations of known things or using known things for BIOPRO Baden-Württemberg GmbH (2002). eMobil BW
new target groups. GmbH and Umwelttechnik BW GmbH have also been
founded recently, and, in 2013, Landesagentur Leichtbau
As for any other management task, a huge variety of lite- BW GmbH. Together with the approximately 120 cluster
rature, handbooks, and consulting services exists about initiatives and state-regional networks, these state agen-
the topic of innovation management. With this in mind, cies represent important institutions providing consulting
another guide to innovation management could also be and other services that play a significant role for the inno-
seen as superfluous or redundant. Taking a closer look, vation stakeholders in the relevant industries and fields
however, it can be seen that most of them deal with in- of technology, acting as service providers, sponsors, and
ternal processes. Not always do they meet the require- moderators in the innovation process. Since 2011, the
ments of innovation processes today or have kept pace state’s innovation and economic policy has been focused
with the economic developments. The interconnections on selected growth areas1 that promise the best growth
between the stakeholders within the value chains (and opportunities for the state’s economy taking the global
not only there) have increased more and more. trends and the state’s profile of competencies into con-
sideration.
Taking into consideration an increasing globalization and
the industrial transformation processes, cross-industry in- Cluster initiatives and state-wide networks have often
novations have gained more and more importance. That and successfully proven that they can serve as excellent
means that innovations primarily emerge where different platforms that facilitate joint innovations between the
1 The four growth areas are: “Sustainable mobility”, “Environmental technology, renewable energy, and resource efficiency”, “Health and care”, and “Information and communication
technology (ICT), Green IT, and smart products” [1]
2 Economic Conditions
With a nominal gross domestic product (GDP) of appro- of new companies has remained extremely low, the
ximately EUR 2.9 trillion in 2014 [2], Germany is the lar- number of patent applications by SMEs is in decline, and
gest economy in Europe and ranks fourth in the world. the commercialization level of research findings can be
Today, growth and wealth are primarily generated by seen as relatively low. Therefore, the importance of clus-
high-knowledge products and services in Germany. The ter initiatives and state-wide networks will be high in the
sector of the primary industries has reduced in signifi- future, as innovation drivers that will contribute to a rever-
cance; despite the long-standing mining tradition in the sion of the trend.
state, almost all, but especially the metal raw materials
are being imported. In addition to the quantitative facts,
there are various characteristics that define Germany as
an economic location. Compared to other members of
the European Union, Germany’s production industry re-
presents a larger portion of the economy as a whole. The
German Mittelstand is an essential pillar of the economy
and the economic locations are structured in a rather
decentralized way.
3.1 Innovation – what does this actually mean? conservation and adopted the need for adapting to chan-
ging conditions. In the second half of the 20th century, a
In the 19th century, innovations were controlled, to a lar- new quality was reached: one increasingly tried to ma-
ge extent, by the maximization of luck, or were a result of nage and control innovations systematically. Innovation
the scientific and technological progress. An example for management was born.
this is the discovery of x-rays by Wilhelm Conrad Röntgen
in Würzburg in 1895. Especially worth mentioning is the There is no generally accepted (scientific) definition of
fact that Röntgen never patented his discovery so that its the term innovation. In fact, the use of this fashionable
utilization for the benefit of mankind would not be impai- term tends to be widespread and has therefore produced
red. Only a year later, they were used in practice – and many different meanings and definitions. For this publica-
the invention had become an innovation. In 1901, Rönt- tion, we refer to the definition below [3]:
gen received the first Nobel prize in physics in the history
of science for his invention. Innovation = scientific description of the (complex) chan-
ges incurred by technical, social, and economic change.
In 1911, Joseph Schumpeter brought the economists’
attention to the topic of innovation with his book “The This makes it clear that the term innovation is far more
theory of economic development”. The basic idea of comprehensive than the meaning that is most often
Schumpeter’s thesis is that Capitalism is Chaos. This attributed to it, that is the reduction to the success-
chaos generates progress and growth. With his publicati- ful launching of new products, processes, or services
on, Schumpeter was actually way ahead of his time. Only on the market, which is not accepted. It is much more
in the course of the 20th century, society changed and about the “novelty” of the object under consideration:
developed into a direction that left behind continuity and
Radical
Innovation
1000
Technology
Leap
Level of innovation (symbolic)
100
Generation
Change
10
Development
1
0,001 0,01 0,1 1
Frequency (symbolic)
• with respect to the object, it means the launching of pes of innovation: from classical innovation processes to
new types of products, methods, or services on the open innovations and innovation greenhouses. To be suc-
market, cessful, it is important to choose the right tools for the
innovation projects. Before we elaborate on a selection
• with respect to time, it means the changing of existing of these tools, we would like to take a closer look here at
and the implementation of new processes that may the managed process itself.
well be linked to novelties with respect to the object
(but not necessarily), and
3.2 From invention to innovation
• finally in the social dimension, it refers to new forms
of benefits or other social changes. In the innovation process, the actual realization (launch
as product / process / service / workflow) is preceded by
Innovations may feature extremely differing levels of no- the observation of trends, markets, technologies (inven-
velty. Even though a quantification of the level of novelty tions), needs, etc., and their assessment. Therefore, in-
seems rather unusual it can be broken down to the fact novations can be driven by the supplier (push) as well
that the distribution of frequency equals a logarithmic as by the customer (pull). In either case, the benefit for
function (see figure 1). The commercial success does not the driver is in the focus of the process. In addition to
correlate with the level of innovation. the obvious economic benefits, other elements play an
important role for the success of an innovation:
Today, innovation has become a buzzword. This has re-
sulted in a large variety of interpretations and uses. The- • The compatibility with existing structures (products,
refore, there are many definitions for the term innovation. processes, value system, etc.)
Starting from incremental process improvements to pro-
duct line extensions or business model innovations, or • The simplicity or low threshold for (first) use
even radical system innovations. Today, the approaches
of innovation management are as versatile as are the ty- • The subjective benefit (prestige, visibility, etc.)
Generation Assessment
Development Production
of ideas Selection
Valley of Death
In all cases, inventions (ideas, solutions) and the neces- solutions that are already in demand on the market, with
sary assessments significantly outnumber the output of only low implementation costs, are found at one end of
innovations at the end of the process. The innovation pro- this scale – solutions with high historic costs, where the
cess itself can be designed or structured very individually. market acceptance is not clear, at the other.
The type of innovation as well as the structure and type
of the acting organization have a significant influence on
this process. What they all have in common is the Inno-
vation Funnel (see figure 2). It symbolizes the widespread
picturing of the workflow of the innovation process. A
large number of ideas is created and evaluated but only
a small portion is selected and developed. An even smal-
ler portion of these is realized in the form of product de-
Rapid Rapid
velopments of which only very few are launched as new
market changes market changes
products on the market.
Low innovation High innovation
rate rate
These considerations already make it clear that innova-
tions also bear some risks; for an idea to generate real
sales, considerable amounts of resources (labour, materi-
als, many ideas, etc.) are required and only at the end of
the process will the market decide whether it is an eco-
nomic success or loss. The weighing of the willingness to Slow Slow
make innovations against the bearable risks is a challenge market changes market changes
High innovation Low innovation
for the management of every enterprise. The model of
rate rate
the Valley of Death depicts the financial risk of an inno-
vation (see figure 3). While the funding of research and
development activities is already subject to degression
– especially in the case of public funding – the private
industry’s willingness to make investments is still insuffi-
cient. The Valley of Death may well be steeper or flatter: Fig. 4: Different market characteristics in an innovation context
The bridging of the Valley of Death is a classical task for It is typical for innovations to have a multi-stage market
which not only the innovation management teams are re- launching and distribution phase, up to a certain limit
sponsible but also the governmental innovation support (= saturation; see figure 5). In this context, saturation me-
programmes. Typical risks of this phase are: ans the actual limit of sales; it is insignificant, however,
whether the forecast targets are reached, an actual “ob-
• Long life cycle of new functions / technology is critical jective” market saturation is achieved, or changing mar-
(for example, OLED – organic light-emitting diodes). ket conditions (competition, shifts in demand) affect this
level.
• Scalability of the required production technology can-
not be proven. In summary, it must be noted that an innovation typical-
ly involves a multi-stage process over a period of time
• Companies will only buy proven and tested solutions where the process may be repeated (at a higher level if
(conservative market environment). required).
100 %
Saturation
Latecomers
60 %
Early majority
40 %
20 %
Early users
Innovators
0 %
Introduction
Phases of market penetration
Innovation Strategy
Strategic focus Implementation
concept
Lifecycle
Basic Conditions
HR development and leadership, knowledge management, controlling,
infrastructure, project management
• Where different innovations stakeholders are brought In summary, it becomes clear how essential innovations
together, and their management are for enterprises. As a result,
company-internal innovation management has been the
• where ideas are generated (together with the inno- subject of many publications – both scientific and also
vation stakeholders), as handbooks. At this point, we expressly do not intend
to make any recommendations or express criticism but
• where innovations are evaluated (in the upper area of instead would like to mention two of the newer books as
the innovation funnel), examples, Gassmann & Sutter [6] and Hauschild & Salo-
mo [7].
• where the Valley of Death is overcome, and
Evaluate
inventions
Support
growth
Valley of Death
fic characteristics as opposed to the protection of physical • The investment into new fields of business outside
goods; for example, the concept of the level of invention the existing organization
(meaning a quality test) and the limitation in time.
• The cooperation with complementary partners (inclu-
Taking this into consideration, the strategies for handling ding competitors and networks)
the intellectual property (creating added value) that is re-
levant for a respective company (or for a research institu- The latter is the key to understanding the concept of
tion) represent a key element of a corporate strategy [8]. Open Innovation. Open Innovation is the commercial
exchange of knowledge (whether classical IPR or custo-
Basically, there are two strategies: mer experiences, etc.) although this does not require mo-
netary compensation in each individual case.
• Publication
Among other things, the concept of Open Innovation is
• Protection an organizational innovation. Enterprises and other stake-
holders open up for a continuous exchange of knowledge
Historically, intellectual property was protected by with their suppliers, research institutions, competitors,
secrecy. Production methods or formulations were di- and, last but not least, their end customers. This proac-
sclosed to selected employees only and very often pas- tive inclusion of end customers enables a better under-
sed on to the next generation together with the enterpri- standing of their needs and, furthermore, reveals what
se. Secrecy was also exercised by memberships in guilds customers are prepared to pay for a novelty. In this re-
and other similar medieval organizations. gard, Open Innovation must primarily be understood as a
culture of cooperation.
Together with the development from craft trades to bu-
sinesses, another means of protection towards secrecy
was created in the form of patents and other elements at
the end of the 19th / beginning of the 20th century; intel- Open Innovation ≠ Free Innovation
lectual property thus became a good. However, patents
are all but secret; they rather become openly accessible At this point, we would like to expressly point out that
by their disclosure. Open Innovation does not mean the sharing of innovati-
ve ideas with random external stakeholders. It is rather
Through the principles of secrecy and patent protection, a means to share ideas with those partners who can
two fundamental methods were created that still apply up improve the chances for their realization, (ideally) in the
to this day; their advantages and disadvantages are not ex- context of a win-win situation. For this, a cluster offers
plained here. There is a large number of publications on an excellent basis because the fundamental trusting re-
the topic of corporate IP strategies but only two of them [9, lationships have already been established and there is
10] are referred to in this document as examples. (also informal) information available about the strengths
and weaknesses of the potential partners.
“In times of increasing pressure through competition and
increasing innovations – while the budgets for research
and development (R&D) are reduced – companies are
forced to open up their innovation processes to increase
their innovation potential by integrating and involving ex- However, this culture certainly involves challenges, too.
ternal elements. This strategic inclusion is described as Looking at such examples as the LibreOffice open-source
the Open Innovation Approach” [11]. software [12] quickly raises questions such as:
For this, there are three methods available: • Who is the owner of the jointly created IPR?
• The integration of external knowledge or of the corres- • How can such a group build trust?
ponding knowledge owners (for example, by awarding
development contracts, employment of employees • What happens if parts of open IPR are commercially
with new competencies, or acquisition of companies utilized by individuals?
owning key competences)
A multifunctional open innovation platform was developed • a platform for exchanging innovation offers and re-
and tested in the course of a joint project of the clusters quests in the area of photonics that is primarily used
OpTech-Net e. V., Optence e. V., Photonics BW e. V., bay- for trade fairs and other centralized events,
ern photonics e. V., PhotonicNet GmbH, and OptoNet e.
• an interface for interdisciplinary cooperation projects
V. supported by the German Federal Ministry of Economic
with other high-technology clusters or networks that
Affairs and Energy. Its uniqueness is less based on its indi-
take into consideration market trends and roadmaps,
vidual features than on their combination, to form an overall
concept for a targeted group (industry). In this example, the • an interface for mini enterprises with special consultati-
six cooperation partners represent approximately 400 clus- on and information requirements,
ter members. With this, such formats as crowd sourcing • the use of social networks as innovation platforms, the
can also be realized, which require a significant critical mass development and realization of new forms of events
to be successful. (for example, bar camps), and new opportunities for
The platform clearly shows how important a culture of innovation funding (for example, crowd funding), and
cooperation and corporate cultures are for the success of
• the formation of temporary cluster teams to support
open innovations. Open innovations are basically based on
the flow of information.
trust – as are all common cluster activities. Hence, clusters
are the “natural” environments for such processes. The The basic idea here is to strengthen the commitment wi-
role of web-based processes becomes obvious. They can thin the cluster – up to now, this has mainly taken place
support and facilitate the processes – but they are still only at senior management level – and to extend it to a larger
tools. They cannot replace the process of building trust. audience within the companies in order to further the in-
The overall concept developed in the joint project is based tegration of the companies’ environments into the gene-
on six elements that complement and support each other: ration of ideas and product development across company
borders [13].
• The use of an industry-oriented crowd sourcing platform
that, inter alia, is based on the experiences and feed-
back of members and users (internal collaboration),
Web-based methods
The fact that such issues can easily become precarious driver of innovations. For this purpose, the basic concept
becomes obvious from the story of the splitting up of the of the Living Lab was defined. The Living Lab is a new
open source community in the area of office software: model in innovation management. It is based on the fact
that solutions of this type will gain greater importance
In September 2010, the above-named LibreOffice (sup- in the future; a comparison with the concept of direct
porting organization: The Document Foundation) was democracy may be a bit far-fetched but draws a quite
established as a spin-off from OpenOffice (supporting realistic picture. The Living Lab can also be described as
organization: Apache Software Foundation). That means bringing together the concept of Open Innovation with
that the innovation process can by no means be an open the end customer who was formerly involved to a limited
process in all phases and situations. Large companies of- extent only.
ten make very clear decisions on which subjects they will
work alone (also without the use of R&D institutions) – in The correct measure of involvement of end customers
most cases, these are the absolute core elements and in the Living Lab is a key topic of innovation research in
their key competences – and on which they will work on this field and ultimately the key to the added value this
in cooperation with others (usually subjects where they method provides. Living Labs specifically address the ap-
are not dependent on the competencies/work of third plication of technologies and the products and services
parties or where the market size is insufficient for large resulting thereof. By integrating (potential) users (private
enterprises). This is where cluster managements (also customers, enterprises, or public institutions), the poten-
across clusters) can act as neutral idea brokers. They tials of socio-technological innovations for production and
can identify potential cooperation partners who own the consumption can be identified and analyzed throughout
sought-after specific competencies or companies which the system. The early and realistic integration of applica-
are already successful in the respective market niches. tion contexts into research and development processes
supports acceptance by the markets later on, reduces the
risk of flops, and promotes a quicker diffusion. The Living
3.5 Integrating customers into innovation Lab can also be seen as a practical method to assess the
processes – The Living Lab socio-ecological effects of innovation.
Besides the cooperation between stakeholders along the Information technology plays a key role in the realization
value chain or within industries (B2B cooperation), the in- of the Living Lab; but this does not at all mean that the
clusion of end customers (both business customers as Living Lab method can only be used for ICT innovations.
well as private customers) plays an important role as a
Research Research
institutions institutions
Public
Enterprises
authorities
Public
authorities
Fig. 9: From the cluster’s triple helix model to the quadruple helix model of a Living Lab
The SmartIES2 project [15] describes the five key princip- basic principles of Open Innovation: all of the parties
les of a Living Lab: involved must (in the long term) recognize an added
value for themselves when they participate in the
• The added value for the customer is the key to the Living Lab.
later market success of an innovation. Above all, this
requires an understanding of the needs and the moti- • Another core element of the Living Lab concept is
vations of the customer group. The added value for a the implementation of a realistic scenario. Only
customer can be described as the price that the custo- through this, the later market conditions and factors
mer is willing to pay for new products / new services of influence can be adequately recognized and taken
and how often the customer will use them. However, into consideration. For this, inventions may either be
a purely financial consideration may not be sufficient in tested by end customers in model environments or in
this context as the example of the energy saving lamp the actual environment of the end customer. The first
has shown (compact fluorescent lamp). The simple of the above procedures is required in any case if the
calculation of the payback period in this case stands legal or technical framework conditions forbid testing
opposed to such arguments as colour fidelity, lacking in the real environment (see autonomous vehicles).
switching capability, or outdoor use.
The above description gives an impression of the comple-
• The influence of the later customers as competent xity of the organization of a Living Lab – but at the same
partners in the development process demonstrates time it reveals the tasks that the cluster management can
their appreciation. These potential customers may well take over in such an environment:
be a heterogeneous group. The Living Lab can help
here to describe the customer groups in more detail. • Management of a heterogeneous process with high
Customers may act in different roles in the Living Lab: demands on the neutrality of the moderator
for democratic reasons, to analyze the acceptance of
policy-driven solutions in particular (see demography), • The trust of all stakeholder groups in the moderator,
for economic reasons (for example, to determine the manager, or contact
usage frequencies), or for developmental reasons
(emphasis of the further R&D process). Ultimately, • “Head point” for the integration of the fourth axis (the
this involves the implementation of a feedback pro- customers; the other three axes of the helix are alrea-
cess. dy present in a cluster initiative)
3 In the following, we use the term Cluster Initiative although it involves a regional group (of cluster stakeholders) that has entered into an understanding for common and trusting
actions in an appropriate form. This action is coordinated by the cluster management (or cluster organization).
The fundamental findings and trends of the preceding chap- rers (OEMs) are at the other ends of the chains. The
ters can be summarized by the following thesis. At the innovation strategy of a SME should be aligned to
same time, they represent the motivations for the cluster such a structure.
and network managements to act as important drivers of in-
novation processes within cluster initiatives and networks. 6. Roadmaps, technology scouting, foresight proces-
ses, and similar methods for assessing future trends
1. Larger globally-active companies have their own me- and market / technology developments can provide
thods and structures to deal with the company-in- orientation / a framework for the innovation strate-
ternal innovation management. This also includes gies of individual companies. A commonly agreed
distinct decisions on which of the innovation topics cluster strategy helps SMEs to (jointly) track a broad
are dealt with in-house exclusively and which of market or application spectrum.
them are made the subjects of cooperation projects.
7. With a cross-stakeholder innovation or cluster
2. For medium-sized enterprises, there are usually stan- strategy, cluster initiatives can identify and reduce
dardized methods for innovation management that the economic risks that lie in the innovation process
facilitate the implementation and operation of an in- for SMEs because they make the needs of their
novation management system. Standardized and es- customers more predictable (industry roadmaps can
tablished methods such as IMP3rove [23] are suitable be similarly useful).
to precisely analyze and improve processes. These
companies (depending on their size) employ at least 8. Work groups (or innovation labs, innovation arenas,
one executive or a small staff division that is familiar etc.) initiated and coordinated by cluster or network
with innovation management. If specific competen- managements are an ideal open innovation platform
cies are required they can be sourced externally. and a starting point for concrete innovation proces-
ses.
3. Smaller enterprises – even if they are active in the
high-tech sector or can be described as innovati- 9. Cluster managements can also act as external
ve – usually do not have a structured innovation innovation experts for their member SMEs; they
management. If at all, innovations are more likely enjoy the benefit of trust and neutrality as opposed
initiated by chance or in an unstructured manner. to external consultants. Oftentimes, they also act as
The standardized methods and procedures of project coordinators in later phases.
innovation management that are offered on the
market for these enterprises are often too complex 10. SMEs most easily find partners for innovations in
or oversized, or do not adequately take into conside- the familiar environment of their “own” cluster
ration the specific circumstances of the respective initiative. A condition for this, however, is a profes-
enterprises. At the same time, SMEs are specifically sional cluster and network management that has an
dependent on external know-how because they do interest in their topic. The more specific the require-
not have the corresponding competencies in-house. ments the more willing are stakeholders to engage
This is especially true for SMEs that do not belong in supra-regional networks; especially in the absence
to the high-tech sector. of the critical mass or sufficient competencies.
4. Often, SMEs are unable to provide an appropria- 11. Radical innovations are relatively rare (“hitting the
te strategic level for innovation processes within jackpot”). In the daily business and when defining
their own companies. They sometimes react highly their service portfolios, the cluster managements
market (customer) driven. Most often, the executive have their focus on incremental innovations. Provi-
management is directly responsible. ding support for the transformation of (partial) indus-
tries in the course of an implementation of radical
5. SMEs are usually integrated into value chains, often innovations can also represent an important value
as suppliers. Often, original equipment manufactu- added by cluster or network managements.
4.1 The cluster management’s role as a driver economies of scale, as can be achieved by purchasing as-
of innovations sociations, to the utilization of political stakeholders. The
table on page 20 provides an overview over the methods
As demonstrated in the previous chapters, new tasks of innovation management that are presented in detail
and duties arise for cluster and network managements in in the following chapters. These methods are applied at
cross-stakeholder cluster environments, especially if they different levels of the innovation pyramid (see figure 10).
intend to contribute to a strengthening of the cluster sta-
keholders’ innovation capabilities. This approach is main-
ly helpful for SMEs that cannot afford their own explicit 4.2 The cluster management‘s actions on the
innovation management. Thus, the cluster or network strategic level
management can practically partly take over the task of
innovation manager. Some of the methods that must be In the following, we present different measures that have
applied by cluster or network managements in this cont- a more strategic character (see page 20). They are usually
ext differ from the company internal utilization of the clas- carried out at the very beginning of a comprehensive in-
sic innovation management methods to a minor extent novation process within a cluster initiative. These measu-
only; others are specific for this environment, mainly the res are used to determine the position and the needs, or
networking component. for defining the strategy. They can, but do not necessarily
need to, take place in the order they are dealt with in this
The added value of innovation management in a cluster document. A roadmapping process usually identifies the
environment is, on the one hand, created by observing the future development lines and future technological, mar-
value chains (including the prior development steps – ver- ket-related, and social requirements. A subsequent deter-
tical expansion of the observation area – and, on the other mination of the position and an analysis of the technology
hand, by reaching the critical mass / market share through portfolio show how well a cluster initiative and its stake-
the number of cluster members – horizontal expansion holders are prepared for the challenges to come. All this
of the observation area. Furthermore, cluster initiatives – information is important for the strategy-defining process
which can be compared to a virtual large-scale enterpri- that usually follows.
se – have other options to influence their basic external
conditions. In this respect, their options range from the
Innovation
strategy
ns
In
te
tio
rn
di
al
on
co
lc
nd
na
Operated innovation
iti
r
te
on
management
Ex
Transfer of results
Level Cluster-related
Internal conditions Advanced training options, connection of industry and research, work
(Innovation culture) groups innovation labs, open innovation arenas
Operative innovation Make contacts with cooperation partners (Innovation Matching), technology
management transfer
External conditions Joint purchasing platforms, recruitment of qualified personnel, make contact
with politics and multipliers
4.2.1 Roadmapping This method is also used in different research and de-
velopment areas, including, for example, product road-
Roadmapping means graphically noting methods in order maps, technology roadmaps, research roadmaps, and
to present complex scenarios including their dependen- industry roadmaps. An example of the latter is the Inter-
cies in terms of time and paths. They are often used for national Technology Roadmap for Semiconductors [24]
complex projects to develop strategies for product fami- that is subject to a continuous revision process.
lies, industries, or even clusters. This method is called
the dialogue-hermeneutic method and is about visualizing As a practical example, we would like to present the Vi-
the knowledge and the findings of experts in a mode- sual Roadmapping method here (see figure 11). Besides
rated dialogue, and reaching a consensus based on the the technical aspects, this method addresses the so-
presented processes and the illustrated factors. cio-economic factors of influence and the effects on the
economy and society. Such questions are of critical im-
This results in roadmaps or structural plans that provide portance in connection with radical innovations. A visual
insight into the complexity, the critical development pa- roadmap categorizes four relevant aspects that address a
ths and the temporal development of an industry. specific problem (for example, industry development or
topics relating to the corresponding value chain).
Their major advantages are:
Usually, these four aspects are the following (but can be
• Visualization of complex processes adjusted):
• Multidisciplinarity through involvement of different • Development of the topic under consideration (central
expert groups aspects and milestones that are of importance for the
development of the topic)
Objective
Versorgungssicherheit
Photocatalysis
for homes
Enabling Enabling
Solar heat pump
technologies technologies
3rd generation
of insulation Compatibility of
useful energy
Personalized CO2-
labeling
Socio-economic Socio-
factors of economic factors World champien
in energy efficiency
Stable
funding conditions
Energy control and
information systems
for consumers become
influence of influence
standard
Fig. 11: Visual Roadmapping method: basis (left) and outcome (right) (Source: iit Berlin)
• Effects (economic and social effects, but also new and process innovations. The end point was the question
product and service offers) of how the cluster-internal innovation management pro-
cess can be derived from the identified trends and expec-
Irrespective of the chosen roadmapping method, the fol- ted transformation processes. After that, specific action
lowing findings can be derived from an existing roadmap: plans were agreed. An active cluster management and a
proactive involvement of the members can be conside-
• Identification and determination of milestones red a success factor in this process.
• Identification of future developments: trend analysis The common development of a roadmap can thus be
considered an essential instrument of cooperative colla-
• Identification of critical path dependencies (technical, boration which, at the same time, helps to answer the
non-technical) questions of selection and regulation of the cluster ma-
nagement. Through the written fixation of the technologi-
• Identification of positive and negative effects and cal and market strategy in the roadmap, the projects are
reciprocities not only prioritized – the stakeholders for specific projects
are selected as well; this also represents a formal codi-
• Identification of important factors of influence fication of which technological and market alternatives
are to be taken into consideration within the network and
Finally, the last step in the process is the derivation of which organizations are actually involved in the projects.
recommended actions.
The roadmap also stipulates specific answers to the
Ideally, the cluster management sees itself as the driver question of the regulation of the cluster management:
of this process. Figure 12 shows an example of a typical the roadmap specifies – through milestones in a sche-
process in practice. Besides the literature analysis in pre- dule and through (partial) project plans and stakeholder
paration of the process, the concerned cluster manage- constellations – how the tasks interact with each other in
ment coordinated the joint status and requirements ana- the cluster initiative. The specific design of the roadmap
lysis, together with its members, which was the basis for clearly shows that it is a customized supporting service
the next steps in the process. After agreeing on a com- for the cluster initiative which provides orientation for the
mon goal (Where are the members heading?) they iden- initiative as a whole.
tified the topics in their focus and the expected product
Innovation roadmap
Commercial vehicle roadmap 2030 (Commercial must be developed that include the connections bet-
Vehicle Cluster – Nutzfahrzeug GmbH) ween communication technology, fleet management,
and traffic flow.
As the relevant comprehensive documents were not
available, experts from science and industry drafted a The automation of functions in commercial vehicles,
corresponding roadmap document under the guidance including autonomous functions, requires the real-time
of the cluster management. The key statements of this processing of machine and ambience data. For an effi-
document are presented here as an example [26]: cient and reliable integration, the goal should be a stan-
dardization in the area of real-time capable data com-
German commercial vehicle producers and their sup- munication, simulation, and connection, especially for
pliers are world-class in terms of technology. In the commercial vehicles.
high-end area, there is great potential in the optimiz-
ation of entire business processes: the connection of A powerful energy management system that can sup-
vehicles and systems allows boosts in productivity that ply more electric power will sustainably improve the
clearly go beyond the optimization of individual vehicles. productivity of a commercial vehicle. The definition of
A requirement for the rapid realization is the collabora- energy interfaces between different system and voltage
tion between vehicle producers, suppliers and service levels is required for this, as is the definition of suitable
providers in order to create common standards and in- topologies.
terfaces.
The role of the cluster management is to convince its
Ensuring the security and reliability of connected dyna- members of the necessity of a roadmapping process, to
mic systems is a key competence of future commercial draw up a concept for it, and to control the entire pro-
vehicles. For connected smart ecosystems, simulations cess. In this regard, it was important to integrate all the
change the definition of the ordinates depending on the If this method is applied to cluster initiatives, the inter-
goal of the analysis. An example for this is the assess- connections of the stakeholders within the cluster must
ment of a portfolio of R&D results. In this case, the be adequately taken into consideration. This concerns
availability of industry partners (proximity, size, etc.) may the (accumulated) resource capacity of the cluster initia-
represent an important criterion of resource capacity. tive; because the degree of integration of small and ac-
tually low-resource stakeholders can clearly improve the
The two fields Invest (high technology and market resource capacity of the cluster as a whole (see figure
attractiveness) and Deinvest can be described relatively 14: small dots = individual enterprises, large dot = value
easy and translated into recommendations for actions. chain). With respect to the technology attractiveness,
A more differentiated analysis is required for the (yellow) especially the availability of technologies that are based
band in the middle. Here, the current market position of on or complement each other may result in a significant
the stakeholder under consideration (individual enter- change in the assessment. The opposite is true for gaps
prise as well as the cluster with its value chain), the in technology or value chains.
industry specifics (innovative industry versus traditional
industry), and other specialties (for example, approval as As in many analytic processes of this type, the modera-
an innovation obstacle) play roles that should not be un- tion of such a process but also the performance of such
derestimated. The technology attracting selection field an analysis is typically the task of the cluster manage-
can be especially attractive in the long term for high-tech ment. What makes the cluster management unique
segments with a niche character that are mainly occu- here is its solid knowledge of the stakeholders (and their
pied by SMEs. The high-resource selection field is rather strengths and weaknesses) and its neutrality.
quantity-based and requires high-performing production
capacities. The scales must be adapted to the specifics
of the industry; for example, the technology attractive-
ness of photonics cannot be measured with the same
measure as logistics.
Technology attracting
selection field
3
Technology attractiveness
Invest
1
Deinvest
High-resource
selection field
0
0 1 2 3 4
Ressource capacity
4.2.4 Definition of the strategy initiative. This observation should not be limited to the
cluster-based sectoral aspects but must include the
An analysis of the relationship between the intensity of ecosystems of related industries, competencies, and
individual services of a cluster initiative (that is, the ope- value chains. Such observation of the trends assists
rative level of innovation management = input) and their the identification of new opportunities for the cluster
effectiveness (= output) shows that high quantity at this initiative whose further development can be facilitated
point does not necessarily correlate with the activities’ ef- by the cluster management when it offers such ser-
fectiveness. Therefore, to achieve effects the quantity of vices that extend their capacities. Cluster managers
the performed work is not the only decisive factor, decisi- are not only managers of their cluster initiatives but
ve is especially the quality of the work performed, that is also trend scouts and consultants. In practice, cluster
the development, contents, and provision of the services. managers manage a holding company without any
It is also the combination and interaction of services (that ownership or other hierarchical structures.
is, the concept as a whole) that have an effect on the
R&D and business activities of SMEs, as activities of the • The industrial members of the cluster initiative must
cluster management. This overall concept represents the be included in the development of the services.
cluster initiative’s strategy. Excellent cluster organizations constantly communica-
te with the cluster stakeholders both in the strategic
There is no blueprint for this task because these services process and in the daily business. They consider them
are mainly targeted at the practical needs and are thus to be “customers” who seek support for the develop-
strongly dependent on the structure of the network (sta- ment of their companies. Steady communication is
keholder structure, industry) and the actual current needs therefore mandatory to identify new service require-
of its members. Two important points must be highligh- ments.
ted in this respect:
The strategy of a cluster initiative can, but not necessarily
• Cluster managements must constantly observe needs to, be closely related to a roadmap (see Chapter
the technological and economic trends in the (sub-) 4.2.1). This basically depends on how important the to-
industries that are relevant for the respective cluster pic of innovation is for the respective cluster initiative.
Technology attracting
selection field
3
Technology attractiveness
Invest
1
Deinvest
High-resource
selektion field
0
0 1 2 3 4
Ressource capacity
Fig. 14: Technology portfolio analysis: high resource capacity through accumulation
A technology portfolio analysis (see Chapter 4.2.3) may the results of the analysis of strengths and weaknesses
be carried out before a strategy is determined. (SWOT analysis), the relevant fields of activity, that will
be the targets of the measures for realizing the strategy,
The motivations for working out a common innovation are determined and prioritized. The general course of ac-
strategy may be diverse. Carrying out the process invol- tion as shown in figure 15 needs to be adapted to the
ved in determining a strategy basically means that the actual circumstances of the respective cluster initiative.
critical innovation stakeholders that are part of the orga-
nization develop a common idea of into which direction The strategy process that is coordinated by the cluster
the cluster initiative should develop and which measures management thus contributes to providing transparency
must be taken to approach that goal. with respect to the goals and interests of the participants
and to the creation of a common outlook for the future by
Such a process towards the formulation of a cluster stra- defining a vision and a target system. A strategy proces-
tegy or the refining of an existing strategy often starts ses within a cluster initiative thus represents a process
with the identification of the strengths and weaknesses of communication and of negotiating perspectives and
at the current point of time and the opportunities and ris- approaches. The integration of all stakeholder groups is
ks of the future development. Based on the description a requirement for the success of the strategy process.
of the current situation, a common idea of the future sta- A successful strategy process retains the integrative po-
te in the medium or long term (strategic vision) is worked wers, enables the stakeholders’ identification with the
out and the target system is determined for the cluster visions, and creates a high degree of commitment. Parti-
initiative. This defines a corridor of actions that should be cipation increases the trust for further cooperation. Figu-
designed in an adequately concrete way in order to derive re 16 shows an example of a possible course of action
the range of services and at the same time be flexible for the development of an innovation strategy for cluster
enough to allow further development options. Based on initiatives.
Development of Derivation of
measures fields of avtivity
• Allocation of servic, • Based on SWOT
new development • Identification and
• Resources and time prioritization in accor-
periods dance with targets
Fig. 15: Four-step process to work out a cluster strategy (Source: iit Berlin)
• Documents that are relevant for the cluster initiative or for industries in which it operates
• Regional SWOT topics and focuses
Analysis
• Refining of strategy
• Integration of strategic key areas into method kits and strategy document
• Implementation steps and action planning
Fig. 16: Schematic procedure for the development of a strategy for a cluster initiative (Source: iit Berlin)
CLUSTER MANAGEMENT
SPECIALIST GROUPS
TECHNOLOGY PLATFORMS
Production – Smart Production
QUALIFICATION & INTERNATIONAL.
Energy – Smart Energy
Fig. 17: Diagram of the strategic key topics of the “microTEC Südwest” cluster (Source: microTEC Südwest)
Demand analysis
Bringing together
Project assistance stakeholders (Inno-
vation matching)
Project- /
toping life-
circle
Raising of (public)
Define project topics
funding
tary competences are more and more often required but Depending on where the cluster initiative or the involved
which are not available in the individual SMEs. That me- cluster stakeholders are in the innovation process, there
ans, that a whole network of competencies is required are different approaches of support available that depend
and a cluster initiative or a network represents the ideal on the outcome of the preliminary determination of their
environment for this. respective positions (see Chapter 4.2.2):
Providing
ideas and partners
Innovation Systematic
Matching networking
Open innovation Cross-
prozess Clustering
Technology
Scouting
TechTransfer
Fig. 19: Specific measures for generating innovations within cluster initiatives (source: Steinbeis)
often lies exactly in those areas where technology and 4.3.1 Technology Scouting8
applications meet. A strong penetration of SMEs with
such measures should also be the goal of cluster initia- Technology Scouting means the structured analysis and
tives which are enabled by such measures to offer new early recognition of changes, potentials, and relevant
services. knowledge, as well as technological developments and
processes. However, Technology Scouting also means
The goal of Cross-Clustering is to have different cluster the demand-driven search for experts whose knowledge
initiatives provide support to companies as well as to is to offer solutions for specific problems. We can also
universities and research institutions to help them solve find targeted Technology Scouting in cluster initiatives,
their technological problems and to assist their common as an active element of Technology Transfer, when co-
innovation projects with a systematic innovation appro- operation projects are brokered between companies and
ach. This requires consultations and close cooperation scientific institutions. The term ‚matching‘ is also often
between the individual stakeholders of the different clus- used in connection with Technology Scouting because it
ter initiatives. is about making perfect matches and connections bet-
ween persons and competencies.
Technology Transfer, however, includes both the trans-
fer of a specific type of knowledge, namely knowledge The topic of Technology Scouting is gaining more and
about a technology, and the transfer of technological more importance in cluster initiatives. The generation of
knowledge that has already been transformed into arte- innovations and competition increasingly become global
facts [28]. To put it simply, technology can be considered matters and it is specifically hard for SMEs to identify
the basis of production and products in the broadest sen- new technological developments or new trends. The de-
se, also in the case of services. Consequently, technolo- mand for Technology Scouting is rising as well because
gy is more than knowledge – technology is know-how, of the reduction of internal research activities, the increa-
that is knowing how to do things. Technologies converge sing pressure on research and development in terms of
(they always have, but it takes place quicker today), the efficiency, and the growing technological diversification
borders between technologies are blurred, technologies and increasing complexity of technologies.
are interdependent or required to enable each other –
microsystems are an example for this [29]. Technology Scouting is a systematic approach to the ob-
servation of the technological environment and the ana-
lysis of the applicability of new technologies to their own
fields of application. Large enterprises often use Techno-
logy Scouting as an instrument for analysing technologies
or technology-oriented start-ups. Technology Scouting in
4.3.3 Cross-Clustering10
ment of new markets for already existing products and
Today, most innovations are created in the areas where services, and on the other hand, with respect to the de-
technologies, industries or markets meet or overlap. With velopment of new products and services to be sold on
this in mind, it is a matter of course that the cooperation markets that are created as a result of new demands in
across subject areas offers the best opportunities. Du- the society and industry. Market knowledge means col-
ring the last years, more and more cluster managements lecting information that concerns such markets. An ana-
have recognized this growth potential that can be better lysis of this information is essential for the development
explored in cross-industry cooperation projects. Therefo- of a cluster strategy with respect to opportunities, imple-
re, they reach over the borders of industrial sectors by mentation, and development in the own market. Cluster
integrating different industries into an already existing or organizations can balance the lack of knowledge of such
newly establishing value chain. new markets especially with SMEs. To serve these new
markets, the next steps often involve finding partners to
The resulting new business opportunities must first be fully utilize the opportunities on the horizon. Following
evaluated – on the one hand, with respect to the develop- the example of Open Innovations, this most often requi-
res the sharing of information between the partners and tions. Figure 20 shows a typical ideal process that starts
the raising of (preliminary) funding for the development with roadmapping and ends with certain innovation pro-
steps. To find and utilize such opportunities, a continuous jects within the cluster initiative or together with others
process is required that is explained below. (Cross-Clustering) [30].
With respect to the partners for such a Cross-Clustering Cross-Clustering is already successfully applied by many
Project, different constellations are thinkable: cluster initiatives in Baden-Württemberg. CyberForum
e.V. and K3 - Kultur- und Kreativwirtschaftsbüro Kar-
• Clusters with related topics or clusters that can be lsruhe, AFBW - Allianz Faserbasierte Werkstoffe BW
integrated into the value chain (for example, nutrition e. V. and Virtual Dimension Center (VDC) Fellbach; Ba-
and packaging) or den-Württemberg: Connected e. V., microTEC Südwest
and VDC Fellbach, and also BioRegio STERN as a partner
• clusters that apparently do not “fit” but where it is just of biosaxony e. V. from Dresden cooperate in different
that which allows the development of attractive inno- joint projects11.
vations (for example, photonics and bio-engineering).
With the service concepts of the cluster initiatives,
For this, the cooperation partners (or cooperating cluster cross-cluster cooperation projects dealing with different
initiatives) need not be located in the same region. Espe- technologies and markets are strategically developed and
cially with clusters with complementing topics, the added realized. At the same time, this contributes to regional
value from cross-cluster cooperation projects outweighs specialization strategies (smart specialization strategies).
any additional expenses for necessary travel. Thus, the In this context, the involved cluster managements at the
topic of an internationalization of cluster initiatives in a same time develop new forward-looking services utilizing
Cross-Clustering context is gaining new importance. many different approaches whose focus takes into consi-
deration the current cluster and innovation political empha-
Cross-Clustering can therefore represent the logical ses on a national, European, and international level.
consequence and realization of the results from the po-
sition analysis, Technology Scouting and/or Innovation In so far as the cluster stakeholders from different clus-
Matching. Especially when it becomes clear that certain ter initiatives cooperate successfully in the context of
innovations cannot be generated within one cluster in- Cross-Clustering, the first step towards diversification
itiative alone. The same applies if new applications are has been taken. A current example are cross-cluster co-
identified in other cluster initiatives or markets. operation projects that target long-term diversification,
for example, VDC Fellbach (virtual reality) cooperating
Services offered by the cluster managements that initi- with BioRN (biotechnology). Their goal is to establish
ate cross-cluster cooperation projects are usually more cross-industry cooperation projects that result in practi-
demanding and more difficult in their implementation. cal innovations. In this respect, the concerned cluster
It is mainly up to the cluster management to launch managements act as process moderators utilizing the
the specific preparatory activities. However, experience suitable services.
shows that stakeholders can be convinced much more
easily to participate in such cross-industry activities if The most important point for successful Cross-Clustering
there are specific roadmaps (see Chapter 4.2.1) or positi- activities, which are mainly intended to help the cluster
on analyses (see Chapter 4.2.2) or Technology Scouting stakeholders to innovate at new interfaces, is to provide
(see Chapter 4.3.1) or Innovation Matching activities (see a broader base for cross-cluster cooperation projects and
4.3.2). They can serve as guidelines for all participants. to make them sustainable. The cluster management is no
Especially in the launch phase, the involved cluster ma- longer focused on removing barriers between the cluster
nagement is much needed because despite all the prepa- initiatives and acting as a moderator – as was the case
ratory work, communication barriers may exist between in the beginning – but should ideally cooperate with the
the representatives of the different industries that are other involved cluster managements to ensure that these
due to a lack of trust between the partners who are not cross-cluster cooperation projects are of a lasting nature.
yet familiar with each other or have differing expecta- This is usually achieved by establishing subject-based
11 The development of the corresponding services is funded under the go-cluster programme of the Federal Ministry for Economic Affairs and Energy (BMWi) which supports
cross-cluster cooperation projects (Cross-Clustering).
G
en
er bet
Permanent
at w
io ee
spin-offs of
n n
independent
of cl
m us
“sub-clusters”
or te
e rs
co t a
m ke
First activities
pl h
• Initiation of cross-
ex ol
network cooperation projects
in der
no s
• Specific cross-sectoral innovation projects
va
tio
• Initiation of Open Innovation
s n
Generation of
• Trend scouting, technology roadmapping, forecast processes
knowledge
• Market analyses
• Multi-dimensional strategy development
Figure 20: Measures for preparing and realizing cross-cluster activities [30]
Especially for SMEs from the production industry, this • Customized support in the areas of fundraising, filing
represents a special challenge. They cannot put an inde- of applications, and development of business models
pendent staff department in charge to implement new
production processes but must concentrate on their • Raising of co-financing and external consulting
daily business. Other factors are different life-spans of services in all subject areas of the connected industry
software, hardware, and mechanical systems in their
production equipment. For these companies, the jour- Die Entwicklung des Serviceangebotes Cross-Cluster
ney to the connected industry will be a migration pro- Industrie 4.0 wurde vom Bundesministerium für Wirt-
cess. They must filter out such parts of their production schaft und Energie im Rahmen des Fördermoduls im
processes, where the connected industry represents a Programm „go-cluster“ mit 100.000 € unterstützt.
real added value and then reorganize these step-by-step.
Weitere Informationen: www.x-cluster-i40.de
5 Outlook
The requirements on companies to remain successful in The authors would be glad if this brochure encouraged
global competition are increasing. Innovations are beco- many cluster and network managements to establish
ming more and more complex and the innovation cycles new services to be able to act as innovation drivers for
shorter. Never before were companies dependent on ba- their cluster stakeholders in the long term too.
sic conditions that promote innovation to the extent that
they are today.
6 Literature
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7 Figures
Fig. 9: From the cluster’s triple helix model to the quadruple helix model of a Living Lab......................................14
Fig. 11: Visual Roadmapping method: basis (left) and outcome (right) (Source: iit Berlin).........................................21
Fig. 14: Technology portfolio analysis: high resource capacity through accumulation...............................................25
Fig. 15: Four-step process to work out a cluster strategy (Source: iit Berlin).............................................................26
Fig. 16: Schematic procedure for the development of a strategyfor a cluster initiative (Source: iit Berlin)................27
Fig. 17: Diagram of the strategic key topics of the “microTEC Südwest” cluster (Source: microTEC Südwest)......27
Fig. 19: Specific measures for generating innovations within cluster initiatives (source: Steinbeis)..........................30
Fig. 20: Measures for preparing and realizing cross-cluster activities [30].................................................................35