Knut Blind Chair of Innovation Economics at Berlin University of Technology and

1. Frictions in the Interface between Nanotechnology Research and Standardisation in Germany: Explanations and Solutions Knut Blind Chair of Innovation Economics at Berlin University of Technology and Fraunhofer Institute for Systems and Innovation Research, Karlsruhe Stephan Gauch Fraunhofer Institute for Systems and Innovation Research, Karlsruhe EASST Conference 2006

2. Content • Introduction • Nanotechnology research in Germany • Standardisation in nanotechnology • Survey results • Policy recommendations

3. Introduction • strong focus of innovation policies on R&D funding (especially in emerging technologies) • but: reduced focus on standardisation and standards as part of the innovation process and the innovation system • numerous technology transfer programmes • but: almost no acknowledgment of standardisation and standards as instrument of technology transfer • consequently frictions in the innovation process and inefficient allocation of public resources • recent case: nanotechnology in Germany • massive public investment in R&D • missing acknowledgment of the need for nanotechnology standards

4. Nanotechnology Research in Germany • the efforts to research nanoscale phenomena have drastically increased worldwide • Germany: almost € 300m in public R&D programmes. • European Union: € 750m almost matches that of the USA • significant advances in: • understanding of the structures and processes on the atomic and molecular level (nanoscience) • but also utilisation phenomena for certain commercial purposes (nanotechnology).

5. Number of SCI Nanopublications (Year of Publication) (Heinze 2006)

6. Number of the EPO/PCT Nanopatent Applications (Priority Year) (Heinze 2006)

7. Role of different types of standards in the innovation process

8. Possible role of different types of nanotechnology standards in the innovation process • Terminology: • definitions of terminologies facilitate communication, but also collaboration in nanotechnology research • Measurement and testing standards • agreements on the metrology of nano particles • measurement of nano particles in the environment • testing the effects of nano particles • all those are necessary for scientific progress in nanotechnology research and building up social acceptance • Quality and safety standards • protection of consumers • raising the acceptance of nanotechnology to generate positive impacts on market growth and indirectly on nanotechnology research • Compatibility and interface standards • will become important when components will be integrated in systems (e.g. chip production) • indirectly generates demand for future research and the next generation of technology • Standards provide information about the state-of-the-art in technology and are therefore one source for future innovations

9. Standardisation Activities in Nanotechnology • Technical Committees • BSI (UK), CEN, ISO in 2005 • DIN (Germany) in 2006 • Strong focus on terminology: e.g. by BSI, ANSI, CEN, ISO • measurement and testing: e.g. IEEE, NIST already in 2002 • nowadays taken up by CEN and ISO • quality and safety standards perceived as important (e.g. by Royal Society), • but no specific standardisation activities started yet • requirements for interface and compatibility standards are not yet articulated by possible stakeholders

10. The Sample of the Survey • workshop participants on future demands for nanotechnology standards in Germany • Two further national conferences related to nanotechnology organised by the German Ministry of Research and Education • 230 German researchers active in the nanotechnology field • 65 responses by researchers from important public research institutes and private companies • response rate of 28% • sample features a share of 45% companies and 55% research organisations (universities, public research organisations, privately and publicly funded organisations and governmental laboratories) • share of standardisers in the sample is 36%. • ratio of applied researchers to basic researchers is 1:3.

11. 100% 1 0 0 Research organisations 9 0 80% 8 0 Companies 7 0 60% 6 0 5 0 40% 4 0 3 0 20% 2 0 1 0 0% 0 Quality & safety Terminology Measurement & testing Compatibility & interface T e r m i n o l o g y M e a s u r e m e n t & T e s t i n g Q u a l i t y & S a f e t y C o m p a t i b i l i t y & I n t e r f a c e Shares of Involvement in Producing Different Types of Standards Differentiated by Type of Organisation

12. Importance of Information Sources for R&D(1 = very irrelevant to 5 = very relevant)

13. Relevance of Channels of Recognition (ranked by total)(1 = very irrelevant to 5 = very relevant)

14. Top Motives for Participating in Standardisation • Shaping specifications and solving technical problems • Prevention of proprietary standards • Achieving interoperability and compatibility • Achieving technological know how and monitoring competitors • Increase legal security (for companies) • Increase future funding opportunities (for research organisations) • Less relevant: • Delegation by own organisation • Increase personal reputation

15. Barriers to Transfer Research Results into Formal Standards • Standardisation take too long • Standardisation work is too costly (especially research organisations) • Researchers are unaware of the benefits of standardisation

16. Most efficient Incentives Leading to a Participation in Standardisation • Positive impact of standardisation work on evaluation of own work • Coverage of expenses by third parties • Acknowledgement of own contribution to outcome of standardisation • Less relevant: • Solution of IPR issues • Specialised bodies • Help desks

17. Summary and Outlook • Germany was not able to leverage excellent position in nanotechnology research into a leading position in nanotechnology standardisation • little success of the catching-up efforts in the short run • impacts on success of future nanotechnology research and commercialisation unclear • but: new initiative funded by the Federal Ministry of Economic Affairs and Technology • integrating innovation and standardisation more efficiently • timely detection of new fields of standardisation relevant for German researchers and industry

18. Relevance of Different Types of Standards (share of respondents reporting high or very high relevance)

19. Barriers to Transfer Research Results into Formal Standards(share of respondents reporting high or very high relevance)

20. Motives for Participating in Standardisation