1 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9 How to promote nanotechnology research and innovation collaboration and measure its success? Success factors and barriers for cross-sectoral innovation and criteria to assess research and innovation funding schemes Joint report on Action 6 and Action 9 of the INTERREG IVB NWE PROJECT “NANORA – Nano Regions Alliance” (May 2014)
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1 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
How to promote nanotechnology research and innovation
collaboration and measure its success?
Success factors and barriers for cross-sectoral innovation and criteria to assess research and innovation funding schemes
Joint report on Action 6 and Action 9 of the INTERREG IVB NWE PROJECT “NANORA – Nano Regions Alliance” (May 2014)
2 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
4 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
WP 2 Action 9,: Creation of success indicators/criteria for interlinked regional and national nano
support systems
Output: 2.2.1. Set of success criteria for nano-support systems with specific
attention to transnational need of nano-support schemes
Output 2.2.2.: List of 21 (3 per region) case examples in order to underline
success indicators. Please note that this report only contains a selection of the
most pertinent case examples.
5 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
2. Success factors
2.1. Generation and selection of success factors
NANORA aimed at tapping the expertise of professionals involved in innovative initiatives and with
long-standing experience in the field of support to international business collaborations in key
enabling technologies.
Consequently, during the EuroNanoForum 2013 at Dublin, a public workshop entitled “Current and
Future Transnational Financial Support” was organized by the Collaborative Centre for Applied
Nanotechnology (CCAN) and NANORA to identify the success factors for international collaboration
with other organizations on nanotechnology research and innovation.
Based on the idea and experiences of NANORA, the workshop, coordinated and moderated by Victor
Acinas at CCAN, reviewed current transnational funding schemes; explored the political benefits and
obstacles inherent in such schemes; highlighted the benefit of such schemes for small member states
or regions; and concluded with a panel discussion to determine approaches that can be presented to
university, industry and government decision-makers so they can coordinate and influence the
support structures in their regions.
The speakers from different types of organizations across Europe with a strong involvement in
transnational funding programmes as a coordinator, advisor or participant provided their expertise
to around 80 public and private organizations’ delegates. Speakers were Lars Pleth Nielsen, Chairman
at the EUREKA E! –SURF and Head of the Tribology Centre at Danish Technological Institute; Mikko
Kaarela, Senior Consultant at SPINVERSE; Helmut Ennen, National Expert at ENIAC; Susan Anson,
Head of Business Development at KIT; and Sebastian Hummel from NANORA, deputy head of unit
“Bio, Green and Nanotechnology” at the Ministry of Economics, Transport, Urban and Regional
Development of the State of Hessen (Germany).
From their presentations success factors were extracted and articulated with each other. In order to
render them operational for further application they were cross-checked with recourse to a focused
literature review of strategic management articles.
2.2. Identified success factors
The list of factors identified through this process can be roughly divided into internal factors, i.e.,
factors that apply to preconditions within the companies or research institutes / RTOs entering into a
collaboration project, and external factors, i.e., factors that apply to preconditions in the
collaborating actors’ environment.
Internal factors
6 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
The collaborating organisations...
Factor 1. ...have a clear in-house research strategy plan. Factor 2. ...have a clear in-house decision process to assess international collaboration
opportunities. Factor 3. ...have identified a commercially relevant problem. Factor 4. ...offer a research/technology capability for development. Factor 5. ... are well-prepared for a collaboration in terms of appropriate administrative
infrastructure, organizational culture and staff mindset. Factor 6. ...have previous experience and knowledge in international collaboration. Factor 7. ...have an established international network of trusted contacts to generate
collaboration opportunities or follow results from collaborations. Factor 8. ... understand (emerging) technology potential and (emerging) market needs. Factor 9. ...have a detailed understanding of in-house lack of resources, skills and knowledge. Factor 10. ... match each other’s needs and offerings. Factor 11. ... communicate with each other in an efficient manner. Factor 12. ...are leaders in the nanotechnology research infrastructure and expertise they
provide. Factor 13. ..together form value chains. Factor 14. ...exchange researchers for short or long stays (e.g., for technology transfer,
training…). Factor 15. The collaboration combines short, medium and long term gains for the involved
organisations. Factor 16. You can identify the appropriate contact persons in the partnering organisations to
form and manage the collaboration.
External factors
Factor 17. The existence of transnational initiatives and networks to support collaboration. Factor 18. The regional environment supports research and entrepreneurship activities. Factor 19. There are international R&D funding calls open to a wide number of nanotechnology
research and innovation topics (as opposed to calls focused on specific problems). Factor 20. Available R&D funding programmes have simple rules for participation and low
admin burden.
2.3. Validation process
The success factors were additionally processed into a questionnaire. All NANORA partners
presented the questionnaire to experts in their regions that belong to organisations outside the
NANORA consortium and have over 5 years of experience in international nanotechnology research
and innovation collaborative projects. These experts rated the factors’ degree of impact on the
success of international collaboration in nanotechnology research and innovation through a 5 point
Likert scale (from 0= low to 5= high). The figure below shows an extract of the questionnaire shown
7 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
to the respondents.
The experts’ answers were used to develop a condensed priority list that will serve as a key guideline
for NANORA in shaping the transnational support offers elaborated within the project. NANORA will
aim at designing offers in a way that allows factors that are most relevant in achieving successful
international collaborative nanotech projects to be fostered.
2.4. Validation process results
By August 2014, a total of 65 answers were received from different types of organisations as shown
in the figure below.
To analyze the experts’ answers, the frequency, median, variance, total scores and average of each
response were calculated as well the Cronbach alpha for all the answers. However, the Cronbach
alpha should be used with caution as the factors represent causes of successful international
collaboration in nanotechlogy research and innovation. The figure below shows a summary of this
analysis.
8 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
Experts' rating from 1 (= low) to 5 (= high) of factors impact for successful
international collaboration in nanotechlogy research and innovation.1 2 3 4 5 Median Variance Total
Scores
Internal factors...have a clear in-house research strategy plan. 0.00% 11.11% 11.11% 38.89% 33.33% 4 0.941176 136
...have a clear in-house decision process to assess international collaboration
14 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
point where they can graduate into product development projects outside of CCAN. In this way
companies, and the economy, should get faster and more productive outcomes from
nanotechnology research and innovation than had previously been the case.
CCAN focuses on activities that fall into two broad categories (1) locating expertise and (2)
developing solutions. Typically CCAN follows the following sequence in dealing with companies.
1) Determine companies technology requirements.
2) Enable links among companies and research teams.
3) Develop collaborative projects with CCAN funding.
4) Finding funding for projects that are not eligible for CCAN funding and supporting
commercialization activities.
Irish companies are already seeing significant business benefits arising from CCAN research activities
including new export sales, new product lines, first-in-corporation process capabilities, distribution
deals, increased R&D funding and deeper customer engagements. Figure 2 below shows the relative
occurrence of various impacts, benefits and outcomes directly attributable to CCAN activities.
Figure 2: The relative distribution of a sample of some Impacts and Outcomes directly
attributable to CCAN activities. Numbers correspond to occurrenc es of the event, except for New
R&D Jobs and Researchers in Residence which are actual headcounts.
The current CCAN model is working extremely well and is delivering benefit to the State, the
companies and the supporting research providers. CCAN's structures and systems means are well
positioned to offer a distinct and valuable service in the emerging national RD&I landscape which will
help enhance industry impact of all research providers in the system. The CCAN model demands a
significant amount of goodwill from the research community due to the deliberately agile and
flexible nature of the project structures and funding. However in return CCAN’s research partners are
already seeing industry engagement, initially funded by CCAN, transition into further and larger
engagements with EU, national and regional funded programmes and industry-funded projects.
15 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
The SIRNANO project case Radiopaque marker bands are critical to
medical devices and implants to be traced
visually within the body. As medical devices, in
particular catheters, move to smaller and
smaller diameters it is desirable for the medical
device companies to replace the gold and
platinum marker because the they can be very
expensive and hard to apply to complex
miniaturized shapes.
To address this industry need, the SIRNANO
project brought together Medtronic, CRANN
and Innovative Polymer Compounds Ltd. (IPC)
in Kilbeggan expertise to develop radiopaque
coatings and polymer composites for use as a
radiopaque marker bands on medical devices.
The following proprietary technologies and
expertise areas from the partners were
combined:
Figure 3: X-ray image comparing gold, SIRNANO
polymer and polymer marker bands in catheters
1) Materials characterisation – thermal, mechanical and imaging (CRANN)
2) Incorporation of various nano-additives (both commercially available and niche materials)
using commercial viable and cost effective melt processing techniques (CRANN & IPC)
3) Medical Device design and manufacturing (Medtronic)
4) Pilot scale polymer compounding technologies (IPC)
Together the SIRNANO team developed new radiopaque polymer formulations, which were tested by
Medtronic in Galway and in the US and delivered all the radiopacity performance and other physical
properties required. The know-how and IP developed was licensed to IPC. The new product line is
generating new export sales with international device manufacturers and the project has secured for
IPC ongoing R&D interactions with Medtronic’s R&D group in Galway.
The successful delivery of a nano-enabled solution for medical devices in SIRNANO was enabled by a
multi-disciplinary and flexible project team, involving multiple organisations that formed a supply
chain driven by the requirements of the industrial end-user.
16 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
4.2. United Kingdom The new university spin-out company Lancaster Cryogenics Limited case The Lancaster Low Temperature Physics group at Lancaster University has established an outstanding
reputation for its fundamental research on the properties of quantum fluids at the lowest attainable
temperatures.
Quantum fluids play a crucial role in condensed matter physics, a branch of physics that deals with
the physical properties of condensed phases of matter using physical laws such as the laws of
quantum mechanics, electromagnetism and statistical mechanics. To achieve the temperatures
necessary for their research, the group has been building its own cryogenic equipment, as
requirements have gone far beyond commercial alternatives.
Lancaster has a suite of the best dilution refrigerators in the world, developed and constructed on
site, with minimum temperatures around 2 millikelvin (mK), nearly 10 times colder than their nearest
rivals. Their 1.75mK machine is the coldest dilution refrigerator ever made and is used for pre-cooling
a second stage that takes superfluids into the microkelvin regime, colder than anywhere else. UK
industry has a majority share of dilution refrigerator (DR) manufacture, with complete research-
ready machines costing in the region of £1m, and leads research in this field. The Ultralow
Temperature Physics Group has provided heat exchangers and complete refrigerator units to
government laboratories and universities around the world. The first modern DR produced was
designed by Science and Technology’s Professor George Pickett, Fellow of the Royal Society, and the
group’s designs have influenced the commercial manufacturers of dilution refrigerators both directly
and indirectly. Their advice is frequently sought by established researchers, those with little low
temperature experience and all sectors using dilution refrigerators, on account of their experience,
the time consuming nature of the work and a growing trend to move from many groups to fewer,
smaller groups, and outsource expertise.
In November 2011, to manage this increasing demand for consultancy and take advantage of the
growing market for cooling nanoscience devices for emerging quantum technologies, members of
the group Professor Pickett, Dr Richard Haley, Dr Viktor Tsepelin, Mr Alan Stokes and Mr Martin
Ward, liaised with University Intellectual Property Manager, Dr Gavin Smith, and created a new spin-
out company, Lancaster Cryogenics Limited. Lancaster Cryogenics Limited specialisms include all
aspects of cryogenics, the provision of ultralow temperatures (millikelvin and below) and a variety of
sensitive measurement techniques (low noise, low excitation, and small signal).
The company offers a range of expertise and skills, from expert opinion and design consultancy,
through to the manufacture and testing of bespoke components. Clients to date have included an
international government atomic energy department, national and international research institutes,
and commercial cryogenics and DR companies.
17 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
“[In 2011-2012] The university was granted 5 UK, European or US patents, 2 more than 2010-2011,
filed applications for 10 patents, which was an increase of 4 from 2010-2011 and licensed 2 and
incorporated 1 company in 2011-2012 as a result of commercialisation activity in the Faculty of
Science and Technology.” Dr Gavin Smith, Intellectual Property Manager, Lancaster University.
18 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
4.3. Belgium The Nanotech project case in Belgium The synthesis of well-known and reproducible nanopowders is a challenge that the Wallonia wanted
to manage.
The aims of the Walloon NANOTECH project were to:
- Develop the use of nanopowders in Wallonia
- Increase productions and sales of nanopowders obtained by plasma process
- Stimulate the construction and the sale of equipment dedicated to the synthesis of
nanopowders by plasma
The partnership included 10 companies (centres of research, SME, universities,…):
- Institut Von Karman
- Open Engineering
- Aseptic Technologies
- Sirris
- Technord Automation
- IRA
- Magotteaux International
- Diarotech
- General Metal Alloys
- UCL
- Nanopole.
The NANOTECH team has acquired a better knowledge of the plasmas and plasma torch process, has
designed and developed a prototype dedicated to the synthesis of SiC and ZrO2 nanopowders but
also a pilot for metallic nanopowders by plasma. The team has also developed expertise on the risk
management associated with production and handling of nanopowders. A start-up employing 2
persons has been created. Some publications were disseminated and a patent has been deposed.
The successful delivery of the pilot units allows Wallonia to be a main actor in the nanoworld.
4.4. Germany – Hessen The humus production facility case The support scheme NanoHe (“Nanotechnologie im Dienste der regionalen Wirtschaftsentwicklung in
Hessen”, i.e., “Nanotechnology at the service of regional economic development”), an element of the
ERDF Regional Programmes of Innovative Actions (PRAI), was active in Hessen from January 2006 to
December 2008. The objective was to support SMEs and secure regional competitiveness by taking
up nanotechnology innovations. In addition, the programme aimed at securing and creating jobs and
retaining regional prosperity.
19 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
In the case at hand project support of 2,937,150.70 EUR (375,000 EUR of which were ERDF funds)
was provided over 15 months to a company producing an innovative new type of humus granulate.
The granulate, an inorganic composite material consisting of a cross-linked high-performance
polymer with absorbent properties (polyacrylates) with finely ground volcanic rock and silicate
embedded in its cross-linked structure, is an innovative product protected by patent law. It is suitable
for horticulture and landscaping, agriculture and forestry and helps combat desertification.
Such a product did not yet exist in the market at that time. The product’s novelty and uniqueness
meant that there was no distortion of competition involved in supporting the company and that
Hessen as a technology location would be significantly strengthened. Before the project support,
humus production had taken place in a pilot plant with a capacity of 1 metric t/day. The operating
licence granted for the pilot plant prohibited the manufacturing of products for sale; only operation
for product optimization was allowed. The project support made the financing of a new production
facility with a yearly capacity of 25,000 metric tonnes possible. The new facility enabled both large-
scale production testing and market entry.
The federal state of Hessen, besides financing the new production facility, supported the marketing
of the humus project in many ways. The humus company participated in delegation trips to the
Middle East and had the opportunity to present its products at the Hessen booth at the
Nanosolutions trade fair. In addition, it was mentioned in different brochures and newsletters
published by Hessen-Nanotech, a platform coordinating the activities of the Hessian Ministry of
Economics for the funding of materials technology and nanotechnology enterprises.
The support of NanoHE secured the successful transfer from development to production as well as
successful market entry, which otherwise would have been endangered. The company was able to
start operating its production facility successfully. The market launch of the humus product was
successful and customers were attracted. Apart from that, contacts with worldwide customers,
which promised more orders for the coming years, were established. The project supported the
company first of all. However, the economic growth that occurred also strengthened Hessen as a
technology location as well as secured existing and created new jobs.
This success story shows that it pays off to not only invest in development projects but also to help
young and innovative companies build up their own production facilities. Often, as in this case, public
funds made available for research purposes are not intended for use in building up industrial
production. However, large-scale market entry is not possible without industrial production. This is
especially important in the nanotechnology field because adjustments to the manufacturing process
(upscaling) are often necessary when production facilities are enlarged.
4.5. Germany – Saarland
20 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
The German Nanotechnology Association The German Nanotechnology Association was established to give a home and a voice to the people
operating in the nanotechnology field. We want to bridge existing gaps and give individuals and SMEs
a voice in the ministerial committees and authorities that advice on nanotechnology, its uses, risks
and funding.
Operating as an independent organization, the German Nanotechnology Association represents the
interests of its members. Our most important aim is to create an elite circle, that connects decision-
22 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
Offices in Germany and Europe, grouping of competences
FIGURE 2: OFFICES IN GERMANY
FIGURE 3: OFFICES IN EUROPE
23 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
5. Conclusion:
In order to set up efficient transnational research and development partnerships in the field of
nanotechnology (but also for other stakeholders active in the field of KET), the following success
factors have been identified, with the external factors in bold.
Concerning related insights for designing R&D support instruments for SMEs/research institutions, it
can be stated, that many success factors referring to conditions in the collaborating companies and
research institutions that cannot be influenced directly by institutions offering support programmes
(e.g., research strategy plan, organizational culture, understanding of market needs, etc.). For these
success factors obviously a smart selection of collaboration partners is imperative, i.e. support
programme coordinators have to a) identify collaboration partners that are individually well-
prepared for an international technological cooperation and b) foster strategic matching. This can be
achieved, inter alia, by
Including a survey querying the presence of relevant success factors in the partners in the
required application papers necessary for participating in the support programme (in case of high
numbers of applications); or
1 ... communicate with each other in an efficient manner. 2 ...have a clear in-house research strategy plan.
3 ... are well-prepared for a collaboration in terms of appropriate administrative infrastructure, organizational culture and staff mindset.
4 ...have previous experience and knowledge of international collaboration.
5 Available R&D funding programmes have simple rules for participation and low admin burden.
6 ... understand (emerging) technology potential and (emerging) market needs. 7 ...offer a research/technology that is capable of being developed.
8 ...have an established international network of trusted contacts to generate collaboration opportunities or follow on from results of collaborations.
9 ...identify the appropriate contact persons in the partnering organisations to form and manage the collaboration.
10 ...have a clear in-house decision process to assess international collaboration opportunities. 11 The regional environment supports research and entrepreneurship activities. 12 ... match each other’s needs and offerings. 13 …combine short, medium and long term gains in the collaboration for the involved organisations. 14 ...have a detailed understanding of in-house lack of resources, skills and knowledge.
15 There are international R&D funding calls open to a wide number of nanotechnology research and innovation topics (as opposed to calls focused on specific problems).
16 ...form supply chains together. 17 ...are leaders in the nanotechnology research infrastructure and expertise they provide. 18 ...exchange researchers for short or long stays (e.g., for technology transfer, training, etc.). 19 The existence of transnational initiatives and networks to support collaboration. 20 ...have identified a commercially relevant problem.
Ranking of the factors' impact for successful international collaboration in
nanotechnology research and innovation.
Note: external factors in bold
24 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
Including a preliminary talk with potential collaboration partners querying the presence of
relevant success factors in the application process (in case of low numbers of applications); and
Organizing a professional matching process based on databases focused on specific technological
competences/expertise, such as TINCA elaborated by NANORA, and thus securing a good match
of technology needs and offerings.
Regarding the success indicators, which will then also be used for evaluating the performance of the
NANORA Excellence Modules to be set up, the focus was put on result and output indicators only.
Furthermore, since the excellence module primarily intend to support either business cooperation,
technology transfer (research – business) or research cooperation, the list of indicators was divided
into those indicators focusing on science and technology outputs and those, relating to industry-
related outputs:
25 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9
Selected indicators by category Measurement
Unit
Data source
Science and technology outputs
Number of licenses Number European Patent Office
Number of patents Number European Patent Office
Number of articles in scientific journals Number Own declaration
Number of start-ups and spin-off created Number Regional/national statistical
offices
Number of developed certifiable systems Number
Number of dissemination publications (website,
newspapers, blogs…)
Number Own declaration
Industry-related
Number of companies involved in the scheme interlinking
regional and transnational funds
Number Own declaration
Level of industry cash and benefits in kind contributions Value in € Own declaration of
participants
Number of participating SMEs Number Own declaration
Number of new jobs Number Regional/national statistical
offices
Increase in R&D investment Percentage Regional/national statistical
offices
Increase in employee qualification Percentage Regional/national statistical
offices
Increased sales volume from new products Percentage Regional/national statistical
offices
Number of new products Number Regional/national statistical
offices
Trained people transferred to industry Number Regional/national statistical
offices
These pre-considerations on success factors for international collaboration, success indicators for measuring performance of support schemes as well as the experience of project partners (which has also been reflected as part of the case studies) will form the foundation for the implementation of NANORA Excellence Modules.
26 How to promote transnational cooperation in NanoTechnology – NANORA Report A6/A9