Research on the Derivative Effect Created by NEDO Projects Sayaka Shishido ,

1. Research on the Derivative Effect Created by NEDO Projects SayakaShishido, Kazuo Fukui, Masaru Yamashita, Mitsuru Takeshita NEDO, Evaluation Department

2. Scheme of NEDO’s Projects and Position of Derivative Effects Derivative effect Solve Task Social Task Main Theme < NEDO Project> Commercialization completed! Commer-cialization of derivatives Activities for commercialization R&D Activities for commercialization of derivatives Use knowledge for other R&D （start to develop of derivative technology） Project Formation Derivatives Spread of technical Knowledge Project Management （Budget portfolio, codes and standards, adjustments for situation changes, etc.） Project Planning （Setting goals and milestones） ： NEDO Project ： Flow of Main purpose of Project ： Flow of Derivative Effect

3. For example … Energy security Reduce ＣＯ２ Business improvement Popularization of large TFT panel Popularization of PV systems Commercialization Of low cost PV system Commercialization of large TFT panel Main theme Approach for commercialization Derivatives R&D Use as design guide Design, evaluation, analysis technology Technology for amorphous silicon devices Large TFT panel manufacturing equipment In-line large area film-forming equipment Output of NEDO Project

4. Methodology for Follow-up Monitoring Follow-up Research Research was started in FY2004. Target: All entrusted companies (projects completed after FY2001) Scope: Up to 5 years after project completion (years 1, 2, 4and 6) Questionnaires and interviews were used. Derivatives In the questionnaire, we asked about derivative technologies: ・Were there such technologies? ・What type of technologies are they, where are they used, and by who? ・Etc.

5. Objective • We asked questions regarding the presence of derivative technology from NEDO projects as part of our follow-up research. • To understand the overall context of derivative technology and revalidate our survey technique, we conducted a study on the following: • ・ A general review of all follow-up research results starting from FY2004 • ・The results of new questions to focus on issues related to derivative technology added in FY2009. • In addition, we prepared a case study on derivative effects, especially technology transfer related to supercritical fluid. 5

6. Companies With Derivative Technology Are there any derivative technologies? (FY2001 - FY2007)

7. Development Period for Derived Technology Relationship between number of years after project completion and percentage of companies having derivative technology （Companies completing projects from FY2001 to FY2003)

8. R&D Progress and Derivative Technology Developed During Projects Development stage of derivative technologies in the year following project completion （Projects completed from FY2001 to FY2007） ■ No Technology ■Technology

9. Example: Robot Technologies Are there any derivative technologies? 5 projects, 64 companies ■ No Technology ■Technology

10. Type and Use of Derivative Technologies (FY2009, FY2010） What type of technologies were derived? Where are derivative technologies used? ■Other ………………… ■Product ……………… ■Testing tech. ………… ■Scientific data………… ■Manufacturing tech.… ■ Own department ■ Other department ■ Other companies ■ Other

11. Contents of Derivative Technologies （Data for FY2010） Utilization of derivative technologies （closed, multiple selection） Other Improvement of process used in existing products Understanding phenomena and mechanisms Improvementof standard products R&D tools and technical standards Know-how derived through HR cultivation Setting of new theme New product development Number of responses

12. Survey Techniques for Derivative Technologies • Merits of Questionnaires • Easy to clarify technology transfer in a company. • Facts are collected through a bottom-up process, overestimates are fewer than in numerical analysis. • Weak Points of Questionnaires • Facts for compilation are limited to only those provided by a respondent. It is therefore possible to underestimate. • It is difficult to identify derivative effects that occur due to implicit knowledge and spillover effects through research papers. • Amount of available data is reduced over time. 12

13. Case Study on Supercritical Fluid • We prepared a case study on derivative effects, especially technology transfer related to supercritical fluid. Products/services （Direct effect） Products/services PR action for sales/ capital investment for mass productions Application development for other fields Application for Application Application development (Formulation as a system, manufacturing technologies, etc.) Products/services Products/services System design 全体設計 Application development Elemental development （Core technologies for materials or members） Elemental development for other fields Elemental development Technology transfer Design policy Fundamental technology development （Property database, mechanism analysis, measurement theory, codes and standards, etc.） Fundamental development Ideas for industrial application 産業応用 Pure science （Public domain, science without commercial use ）

14. Supercritical Fluid R&D History “Tool utilization” phase “Trial and error” phase Fundamental project Hybridization and making nano- particles for electronic materials (hydrothermal synthesis） Coal liquefaction Analyze reactions and phenomena Gain fundamental data Property simulation Make database Alcohol concentration Extraction of food ingredients (essence, fat acid, caffeine, etc.） Painting Microreactor Washing and drying for semi-conductors and micromachines Cracking of woody biomass Micronized medicine Reuse of chemical filters Dry cleaning Supercritical fluid chromatography Chemical recycling of plastics External factors Environmental regulations Technology seeds of other fields Example of chemical recycling equipment

15. Triggers for Technology Transfer Triggers Caused by Fundamental NEDO Project ① Solutions to technical problems Examples: Information collection and development of a database for fundamental property data, visualization of phenomena, understanding reaction mechanisms, valid material selection, trials for low cost methods (especially a continual process), etc.  Focusing on a valid target is necessary. ② No diffusion after completion of a fundamental project Example: Key person with knowledge of functional maintenance of database, laboratory equipment, etc.  A project leader for a fundamental project may be an academic. External Triggers ① New needs Environmental regulations (volatile organic compound emissions, chlorofluorcarbon gas, etc.) More sophisticated and diversified specifications ② Technology seeds from other fields Examples: ・Highly molecular medicine derived from biotechnology ・Semiconductor and micromachinemicrofabrication ・Fine chemicals, etc.  Timing of project planning is important as it serves as a bridge between needs/seeds.

16. Summary • 33% of surveyed companies responded that they have developed derivative technology. (FY2001 - FY2007) • 24% of surveyed companies responded that derivative technology is mainly used for new products and new R&D tasks. • ３．Technology transfer after a fundamental technology project is derived from project and external triggers. • →It is thought that NEDO projects produce an effect from mainstream R&D, and that they also add further value through new products and R&D themes that result from technology transfer.

17. Thank you! NEDO,SayakaShishido E-mail: shishidosyk@nedo.go.jp