Communicate Knowledge Process Team
Site Visit to Sandia National Laboratories
19 November 1997

Fact Finding Report
by
Team 3

1. CK Process Team Members: Angela Ewell-Madison and Unmeel Meht

2. Technical Activities and Communicators:

3. Micro Devices

i) What was the objective of your research/operational effort?

• To develop the necessary expertise and capabilities to support the Microelectronics and Photonics Center (a staff of 400) Mission
• To support the objective of the Defense Microelectronics Technology Program (DMTP)

ii) How would you classify your research? How do you accomplish research?

• Programmatic research to provide knowledge for a mission
• Industrial research to achieve economic benefits
• Industrial partnerships save capital, time, and manpower in achieving Sandia's mission
• The DMTP relies on existing relationships and industry production
• Win-win partnerships model
• Commercial partnerships are vital to Microelectromechanical Systems (MEMS) technology development

iii) Who were your customers?

• Primary: DOE, IC (Integrated Circuit) industry manufacturers, IC equipment manufacturers, and consortia of these
• Secondary: Other Federal Agencies, universities, non-semiconductor based industries
• Ultimate Customer: U.S. taxpayer
• Example: Semiconductor Manufacturing Technology (SEMATECH)/ Sandia Partnership
  • Started as a work-for-others contract in 1989; extended with two one-year CRADA's in 1992; extended with a five-year CRADA in 1993; negotiating extension for the sixth year
  • Total CRADA funding $105,950,000 (50% from DOE and 50% from SEMATECH (fund-in and in-kind))
  • 241 total personnel working on program (zero full time), involving 70 departments, 23 centers, and 9 divisions
  • Project Management Approach: The Sandia/SEMATECH CRADA is operated under formal project management principles and techniques to ensure successful projects and satisfied partners and projects are selected from the list of mutually beneficial topics that appear on both partners' technology roadmaps.
  • Through 1997, greater than 130 projects were completed

iv) Did you involve your customers in the up-front planning?

• DOE/Defense programs: Worked with DOE to assist the U.S. Congress in creating a contingency for radiation-hardened microelectronics
• SEMATECH: Worked with S&T Focus Advisory Boards to define research projects of greatest mutual interest/benefit
• Industry CRADA's: Established streamlined approach to defined R&D projects

v) What kind of communication did you use?

• Written: Proceedings, publications, preview reports, tech transfer reports, Gantt charts
• Oral: Presentations at quarterly and annual reviews, at conferences, at road shows at sponsor's site, and at trade shows
• Electronic: Web page, videos, e-mail, teleconferences, videoconferences

vi) Who assisted you in this process?

• Internal Infrastructure: Program participants, internal tech transfer, protocol, marketing groups, and onsite partner assignees
• External Partners: Consortia, CRADA partners, and universities
• Industry Trade Groups: Semiconductor Research Corporations, Semiconductor Industry Association, and Trade Journal Editors

vii) Was there a source of funds dedicated to help in this process?

• Costs of report preparation, of travel for presentations, etc., were included in the project plan.
• The infrastructure and resources of Consortia partners were leveraged to fan out results of joint projects.
• Internal infrastructure was used when possible.
• Spinoff of technology was encouraged through entrepreneurial leaves.
• Internal points of contact were appointed for systematic knowledge collection and distribution.

viii) How has this knowledge been archived?

• FTAB (Focus Technology Advisory Board) proceedings, publications, reports
• Newsnotes, minutes, quarterly reports, one pagers
• Patents, technical advance disclosures, lab notebooks
• Videotapes ix) What was your incentive to carry out this process?
• Reduced costs
• Unforeseen dual-use applications
• Reduced time to application
• Future funding opportunities

x) What mechanisms did you use to gather feedback on quality, timeliness, accuracy, etc., of this knowledge?

• Support and satisfaction ratings on each project after every consortium review
• Real-time feedback/action requests during every meeting
• Meeting evaluation forms at the completion of every review with a customer/partner
• Monthly or quarterly reviews with customers/partner
• Upward/360 feedback exercises internally

4. Education Outreach

• Sandia's K–12 effort began with after-school activities (hands-on science and technology projects) for minority secondary students in 1980's led by minority Sandia staff. Several dozen students were involved in 1980's, and several hundred students took part in 1990's.
• The effort was expanded in 1989 in response to DOE's request to help enhance science education for America's mainstream students.
• The School Partnership Program was initiated to improve mainstream students' attitudes toward and understanding of science by teaming Sandia staff with schools (~1,000 students) to provide – In-class activities complementing curriculum topics
  • Teacher support & assistance
  • Out-of-class mentoring & tutoring
  • Special event (science fair, etc.) involvement
• The Science Advisors Program extended the Partnership program to target teachers in entire districts by providing assistance to teachers on request, by making available hands-on instructional resources to teachers, and by holding professional development workshops for teachers.
  • ~200 schools served by SCIADs (Science Advisors)
  • ~10,000 resource center loans per year
  • ~1000 teachers attend workshops
• Following several years of SCIAD involvement, 3rd and 5th graders scored higher in science than any other Iowa Test Basic Skills test area. Eighth graders did not.
• The strengthening quality in the schools program concentrated on improving education using Baldridge Quality Award Criteria and on implementation of quality principles, procedures, and tools.
• In 1995, Sandia began changing the way in which future teachers experience science at universities by also including them.
• Currently, an effort is being made to win commitment from school districts to implement hands-on minds-on science instruction in 1999.
• Strategies used for quality science education activities:
  • Support and collaborate with teachers
  • Recognize your need for planning and preparation
  • Employ sound learning principles
  • Do age-appropriate activities
  • Engage numerous senses and learning modalities
  • Balance science process and content
  • Demonstrate concern for safety and environment
  • Build relationships
  • Solicit feedback from teachers and students

5. Technology Partnerships and Commercialization

• Congress mandated the development of closer partnerships with industry by enacting the National Competitiveness Technology Transfer Act of 1989.
• Created new technology transfer mechanism: Cooperative Research and Development Agreement (CRADA)
  • 5-year protection of trade secrets (Freedom of Information Act exemption)
  • Broad authority to negotiate intellectual property rights
• Guiding principles of technology transfer
  • Provide for fairness of opportunity
  • Contribute to U.S. competitiveness
  • Contribute to DOE mission impact
  • Manage conflict of interest
  • Protect national security
  • Avoid competition with private sector
• Intellectual property management and licensing
  • Technological innovation and know-how are "owned," have value, and can be managed to generate tangible and intangible benefits to the corporation
  • Rights of use can be conveyed to others by make, sell, or use and qualified by the term exclusive, limited exclusive, or nonexclusive
• "Every patent shall contain a grant to the patentee for the term of twenty years . . . of the right to exclude others from making, using, or selling the invention throughout the United States."
• Mechanisms for technology partnering: licenses, leave-of-absence, publications and conferences, personnel exchange, user facilities, commercial work for others, CRADA's, consortia, memoranda of agreement, and technical assistance
• Internal filters and external market research are used to identify technologies for transfer. Technology transfer project leads to either an R&D project or a know- how project.
• The modes of communication of tech transfer opportunities are conferences, seminars, publications, Commerce Business Daily, and external web sites.
• Market research to determine partner needs is the preferred approach rather than the "show and tell" approach for creating partnerships.
• At the end of fourth quarter of FY 1997, Sandia had
  • 602 CRADA's in 37 States, with some CRADA's having multiple industry partners
  • granted 186 plus 33 foreign commercial licenses
  • provided technical assistance numbering in 1,148 cases since October 1991

6. Summary

• Sandia presents the best example of the use of CRADA's.
• Probably, Sandia does some things in Education Outreach that are unique and that may help NASA to enhance its Education Outreach.
• Education Outreach addressed to elementary school students has more impact than to junior high school students.
• Market research offers higher payoff than show and tell for setting up partnerships and for commercialization of technology.