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October 4, 2006 – In a new SEC filing, Freescale Semiconductor Inc. details the steps and considerations over the past few months that led up to its courting and eventual buyout agreement with private equity firms led by The Blackstone Group. Among the info being revealed: the company privately mulled an acquisition of Philips Electronics’ former semiconductor business long ago, as well as a possible merger with an unidentified third party.

The filing provides an exhaustive look at the company’s business planning and strategic maneuverings after its initial public offering in July 2004, as executives and directors weighed the chip industry’s challenges and nuances (highly cyclical, rapid technology changes and product obsolescence, pricing erosions, historic supply/demand imbalances). In early 2006, Freescale hired consultants to help evaluate various strategic alternatives, including “possibly acquiring the semiconductor business of Philips Electronics,” as well as began preliminary merger discussions with an unidentified third party.

In Nov. 2005, representatives from The Blackstone Group contacted Freescale to discuss how the private equity firm could help support potential acquisitions. The tone of those talks changed in May 2006, into a possible acquisition of Freescale itself. A special committee was formed in early June to valuate various strategic alternatives for the company, and an offer from Blackstone arrived days later.

The special committee meeting met again on June 9 to discuss the Blackstone proposal, as well as revisit the merits of a possible buyout of Philips Electronics, and the aforementioned preliminary merger with an unidentified “third-party.” Freescale’s interest in Philips continued after that company’s announcement in mid-June that it was considering a sale of its semiconductor business. Meanwhile, Freescale and Blackstone continued to assemble and share non-public information to assess a potential deal.

Debate over a possible bid for Philips’ semiconductor business was officially ended during a July 11 meeting, and days later Freescale’s unidentified third-party merger candidate said it was no longer interested.

On July 25, Blackstone delivered its first proposal to acquire Freescale ($35.50-$37.00/share). Freescale directors and advisors decided to put further discussions on hold to await the outcome of the much-publicized sale of Philips Electronics’ semiconductor business, in which Blackstone also was a bidder. After a rival private equity group won the Philips bid, Freescale’s directors reconvened and decided to recommence negotiations with Blackstone, but push for a higher price/premium. Blackstone agreed, if Freescale agreed to “expeditiously” finish due-diligence and let Blackstone line up additional financing.

By mid-August, Blackstone’s lack of progress in its due diligence prompted Freescale advisors to discuss “the need to seek significant improvements in certain terms relating to transaction certainty and the special committee’s flexibility to solicit and/or entertain alternative acquisition proposals.” This led into several discussions about soliciting other private equity bids — Notably from the group that had won the auction for the Philips Electronics semiconductor business (KKR, Silver Lake Partners, et al.). Such a combination promised “synergies” that could elicit a higher pricetag from the KKR group, but obstacles including higher risk, financing, and competitive overlap dampened enthusiasm, and KKR was not contacted. Freescale continued to hammer out financial terms with Blackstone, while planning to rely on a “go-shop” provision to solicit alternative acquisition proposals at a later date.

On Sept. 7 — just days before Blackstone’s proposal was to be announced — Freescale’s advisors, Goldman Sachs, were contacted by KKR and Silver Lake Partners, who expressed an interest in a competitive offer, emphasizing potential synergies with the newly purchased Philips semiconductor business. Freescale agreed to engage in discussions with KKR and Silver Lake, who returned with a higher offer than Blackstone ($40-$42/share and possibly more, vs. $38/share), who then countered with a “best and final” offer of $40/share and a halved breakup fee of $150 million — and said that it would terminate all discussions if its proposal was not accepted by Sept. 15. With that, and consideration that the Blackstone group was ready to close the deal immediately at similar pricing to the KKR deal, and with concerns about possible antitrust interest in a KKR-led Freescale-Philips combination, Freescale directors and advisors voted “unanimously” to accept the Blackstone deal.

On Sept. 16, the KKR/Silver Lake Group notified Freescale it was ending its pursuit. Under the “go shop” clause of the Blackstone deal, Freescale identified six unidentified potential strategic partners that, “based on size and business interests, would be capable of, and might be interested in, consummating a transaction.” But to date, none of these parties has submitted a proposal to pursue a transaction.

October 2, 2006 – Worldwide sales of semiconductors to a record $20.54 billion in August, thanks to surging demand for both DRAM and NAND flash memory to meet holiday purchasing projections, according to the Semiconductor Industry Association (SIA). Chip sales surged 10.5% from the same month a year ago and 2.1% sequentially, to surpass the previous record of $20.4 billion set in Nov. 2005.

SIA president George Scalise pointed to “relatively strong sales” across a broad range of products, indicating healthy end market demand. Sales growth was led by DRAMs (7.5% sequentially, 31.4% Y-Y), indicating strength in PC sales. The microprocessor segment crept up 2.1% in August vs. July, but was down 6.8% from August 2005, due to strong competition, plus an 18-month trend of rising unit sales vs. 18% decline in ASPs.

Semiconductor devices targeting consumer applications (e.g., NAND flash and ASSPs) showed strong sequential growth as chipmakers ramp up to prepare for seasonal demand, Scalise said, in a statement. He also noted that a sharp decline in gasoline prices may provide a boost to consumer confidence ¿ good news for a semiconductor industry that now derives more than 50% of sales from the consumer market. As much as 40% of the cost of devices such as cell phones, flash-based MP3 players, and digital cameras, is in the semiconductor content, he added.

Scalise also downplayed the impact of rising inventories at IC manufacturers. “Inventories have risen both at semiconductor manufacturers and in the channel in recent months, but remain in line with requirements for the holiday build season,” he said. The SIA noted that capacity utilization is still strong — ~92% in 2Q06, and expected to rise to 95% by year’s end, citing recent data from VLSI Research Inc. ¿ despite the continued transition to 300mm wafer operations, which now account for about 25% of total capacity, up from less than 15% a year ago.

By region, chip sales in the US are still on the upswing, increasing 3.6% sequentially and 18.3% year-on-year to $3.83 billion. Growth in the Asia-Pacific region has slowed somewhat but is still solid — 2.0% M-M and 10.5% Y-Y to $9.58 billion. The growth of the US has come at the expense of slower growth in Japan ($3.92 billion, +1.4% M-M/+8.8% Y-Y) and Europe ($3.21 billion, +1.3% M-M/+4.4% Y-Y).

BY DWAIN A. AIDALA, sp3 Diamond Technologies, Inc.

The miniaturization and increased functionality of electronic devices is causing manufacturers to seek new thermal management solutions. When compared to conventional materials, chemical vapor deposition (CVD) diamond is emerging as an effective heat spreader. Thick-film, polycrystalline CVD diamond is a material solution for first-level mounting of packaged semiconductor devices. With an isotropic thermal conductivity of 1000 to 1200W/m-K, diamond provides a mounting surface with 3 times the thermal conductivity of copper, and 5 to 6 times the thermal conductivity of more complex materials, such as BeO and AlN. The cost of thick-film CVD diamond has decreased due to its increased use in both electronic and cutting-tool applications. While the cost of CVD diamond is higher on a volume basis when compared to other heat-spreader materials, its bill-of-materials cost is low – 1-2% of the assembly bill-of-materials cost. The use of diamond heat spreaders in multiple market applications to provide device power and reliability improvements will continue to reduce its portion of total device cost.

Broad-based challenge

Many high technology applications experience constrained performance growth due to thermal issues, with increased performance restricted by reliability or stability concerns. The electronics and communications industries continue to struggle with thermal management challenges. While new technology provides the path to smaller device geometries, this same scaling path further increases the difficulty of getting heat away from the active portions of the circuits. Consider these thermal challenges in some key industries.

Illumination: The worldwide illumination market is beginning to transition from incandescent to solid-state lighting. This is driven by such factors as bulb life, form factors, and cost. This transition is well under way in the automotive market, and in the early stages for the consumer electronics display market. It is accelerating because of the high growth curve of flat panel displays, with 2006 shipments of flat-panel TVs 26 inch and larger are forecasted to grow 110% to 32 million units. The U.S. Department of Energy (DOE) has aggressive lumens-per-watt targets for white-light LED, with the high-brightness LED market forecasted to be at $10.8B by 2010. Similarly, laser diodes are vying to be the illumination device of choice for rear-projection TVs and consumer projectors.


Figure 1. Integration of diamond heat-spreaders in laser packaging.
Click here to enlarge image

Thermal management is key to both LED and laser devices as they move into these new markets. Light output drops by a factor of 4 as the junction temperature increases from 25° to 115°C in red LEDs, with green devices also significantly affected. Junction temperature also has an effect on the light color of LEDs, with green seeing the greatest shift with increase of junction temperature. One company* states that every 10°C rise in junction temperature causes a 1-nm shift in the dominant wavelength. Control of this is critical in TV applications.

Communications: High-density radar for defense, and eventually commercial, applications are driving heat densities of high-power devices. Device-level densities of 500W/mm2 are being targeted, while at the package level, 1KW/cm2 is expected. At both the device and package level, thermal management is recognized as a key challenge to achieving targeted output and reliability.

Power Semiconductor: The transportation markets’ shift to electric power (hybrid automobiles and electric trains) is requiring higher efficiencies combined with increased drive power. The power semiconductor market is focused on devices at >500V and 50A. As frequencies are increasing, power transistor modules are shrinking by as much as 50%. All of these lead to exponential increases in power densities. The continuance of both trends will be highly dependent on the continued development of cost-effective thermal solutions.

Processor: The processor market is divided into two major segments: the general-purpose processor market used for PCs, notebooks, and servers; and the graphics processor market for video gaming. Surprisingly, it is the latter that drives technological development. In 2005, over $10.5B was spent on gaming hardware and software in the US. Applications are driving the need for faster processors while manufacturing cost-driven line-width reductions are driving transistor densities into new territory. It is well known that a major general purpose processor manufacturer canceled a $4B development project because of continuing thermal hurdles. It is clear that junction temperature management solutions are needed at the package and device levels.

Diamond technology as a solution

This multitude of thermal challenges has led to an increasing interest in CVD (chemical vapor deposition) diamond. Thick film polycrystalline CVD diamond offers high thermal conductivity and easy metallization for first level mounting of solid-state optical devices and packaged semiconductor devices. Application of a titanium (Ti) layer to the diamond enables other metallization, such as platinum or gold, to be used. This enables the use of standard attachment materials such as solders or epoxies. Additionally, thick-film CVD thermal diamond can be polished and laser-cut using the same methods and equipment developed for cutting tool tips and dresser bars.

Laser and LED sub-mounts

Both laser and LED device manufacturers are using CVD diamond thermal submounts. Figure 1 illustrates the integration of diamond heat spreaders in laser packaging. Depending on the specific application and laser type, diamond may be a sufficient thermal solution. Other critical applications, such a telecommunications devices, may require the addition of an active thermo-electric cooler (TEC) to maintain a precise device junction temperature. Even in low-cost LED packages, there are opportunities for small segments of diamond to enhance color output stability.

The market driver behind high-power LED and lasers is the opportunity to replace high-power incandescent lamps. Copper has been the material of choice because of its thermal properties and low cost. However, copper is not sufficient for the multiple emitter arrays being used in these consumer applications. With a single emitter, there is no discernable difference, but for a 15-emitter array, a 33% increase in per-emitter-power was obtained.


Figure 2. Diamond “pins” placed in a base plate made of composite material for packaged high-power components.
Click here to enlarge image

CVD diamond is also making inroads into high-heat flux communications and power semiconductor devices. This is occurring with the use of metallized diamond segments as the mounting surface for an active device or as diamond pins placed in a base plate made of composite material for packaged high-power components (Figure 2).

Diamond on Silicon

A developing application of CVD diamond as a thermal management tool for both power devices and processors is the work being done with diamond-on-silicon (DoS). Using large-area deposition reactors, it is possible to produce single 300-mm diameter DoS wafers -which are state of the art for CMOS processors – in a single run, or multiple 100-mm diameter wafers – which are state of the art for GaAs or GaN power devices. Using GaN devices for illustration (Figure 3), the purpose of the diamond layer is to provide thermal spreading as part of the active device structure to move the heat away quickly from the device hot spots and broadly to the package heat spreader.


Figure 3. The diamond layer provides thermal spreading as part of the active device structure in order to move heat quickly away from device hot spots and broadly to the package heat spreader.
Click here to enlarge image

CVD diamond provides design engineers with a choice of how variables are traded – maintain junction temperature and greatly increase power out; drop junction temperature and increase device life and reliability; or some combination of both.

Summary

The high-heat flux device thermal management opportunity is continuing to grow as government- and business-focused devices’ performance is limited because of thermal issues, or pushed to replace more traditional solutions. CVD diamond, either thin- or thick-film, has a place in the choice of solutions to many of these thermal issues.

* Lumileds

DWAIN A. AIDALA, president and COO, may be contacted at sp3 Diamond Technologies, Inc. Santa Clara, CA 95050; 408/492-0630; E-mail: [email protected].

September 28, 2006 – NXP, the former chipmaking arm of Royal Philips, is buying out minority partner EDB Investments Pte. (EDBI) in Systems on Silicon Manufacturing Co. Pte. Ltd. (SSMC), their Singapore chipmaking JV with TSMC. The deal will be completed following NXP’s separation from Philips — NXP was recently purchased by private equity investors weeks ago for $17.6 billion.

SSMC is a CMOS foundry with 0.25-0.14-micron capabilities, offering derivatives and embedded flash memory process. Its capacity was an estimated 40,000 200mm wafers/month in 2005.

Under terms of the deal, NXP will pay $185 million for EDBI’s 17.5% share in SSMC, with an option for TSMC (which owns 32% of SSMC) to acquire a pro rata portion of those shares (~6.8%, for $72 million). NXP, the majority-owner in SSMC with a 50.5% stake, said it would fund the transaction with cash on hand.

“This is a significant transaction as it increases our shareholding in a great company with a good cash flow,” stated Frans van Houten, president and CEO of NXP Semiconductors.

Weeks ago NXP was front-page for accepting a $10.6 billion cash buyout offer from private equity firms led by Kohlberg Kravis Roberts and Silver Lake Partners. That group also filed a last-minute bid to acquire Freescale Semiconductor — leading to speculation that it might combine the two businesses — but dropped out after Freescale was sold for $17.6 billion to its initial suitor, another private equity group consisting of The Blackstone Group, The Carlyle Group, Permira Funds, and Texas Pacific Group.

Sept. 27, 2006 — NanoSight Ltd., a provider of instruments for the optical detection and real time analysis of sub-micron particles, announced it has secured investment to support its current sales drive and develop new capabilities in nanoparticle analysis in the sub-500 nm region.

NanoSight has received $473,000 from Strathdon Investments plc. This latest tranche is the second in a round of investment totalling $946,000 led by Strathdon and including the South West Venture Fund and a private investor.

The company has recently announced the launch of the NANOSIGHT LM10, a nanoparticle characterization system that enables highly accurate visualization of individual nanoscale particles in suspension. The system allows the user a simple and direct qualitative view of the sample under analysis from which independent quantitative estimation of particle size and size distribution can be immediately obtained.

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Small Times NanoCon International is being held September 20-22, 2006 at the Mandalay Bay Resort in Las Vegas, Nevada.

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The latest from NanoCon International, its sponsors and exhibitors.
NanoCon will be held in Las Vegas September 20-22, 2006

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NanoCon Newswire

Sept. 25, 2006 (NanoCon Show Daily) — NanoCon wraps up with talks on biotech, funding
Small Times NanoCon International in Las Vegas came to a close on Friday with a keynote address by a veteran of the biotech industry and a second keynote on how the Sarbanes-Oxley act affects nanotech, as well as a trio of panels that covered the life sciences, what it takes to go public, and how to get early stage funding for a nanotech startup.

Sept. 25, 2006 (NanoCon Show Daily) — Small Times NanoCon International Photo Gallery 2
The photos included here are from Friday, Sept. 22, the final day of Small Times NanoCon International. Legendary biotech financier Steven Burrill delivered the morning’s keynote address, which explored lessons that people in the nanotech industry could learn from the history of the biotech sector.

Sept. 22, 2006 (NanoCon Show Daily) — Small Times announces 2006 Best of Small Tech Awards winners at luncheon
Attendees of NanoCon 2006 witnessed the announcement of Small Times’ Best of Small Tech Awards on Thursday in Las Vegas. The current issue of Small Times magazine presents a list of winners and runners-up, as well as descriptions of their products and contributions.

Sept. 22, 2006 (NanoCon Show Daily) — Afternoon sessions touch on energy, telecom applications
Two of Thursday’s afternoon sessions at NanoCon 2006 featured lively discussions on nanotechnology as it is currently being applied to and thought of in the areas of energy and telecommunications.

Sept. 22, 2006 (NanoCon Show Daily) — NanoCon all about production and applications
If Wednesday’s opening day of NanoCon 2006 was primarily about the overall picture for nanotechnology in the near-term future, Thursday turned greater attention to specific instances of nanotech applications and developments today.

Sept. 21, 2006 (NanoCon Show Daily) — Morning keynotes describe a nano-enabled future
David Soane only has to look in the mirror to see how central nanotech has become in his life. Soane, a self-proclaimed “serial entrepreneur” who has founded companies such as Aclara, Nano-Tex, Innovative Construction and Building Materials and Cosmetica, addressed NanoCon 2006 in Las Vegas on Wednesday with a personal anecdote about his graying hair and the development of a new nano-based commercial hair coloring system he is developing.

Sept. 21, 2006 (NanoCon Show Daily) — Afternoon sessions cover funding, policy, transpo, materials
The afternoon conference sessions at NanoCon 2006 in Las Vegas on Wednesday addressed current U.S. funding levels for nanotech, American and international nanotech policy considerations, the use of nanotech in the transportation industry and the development of nanomaterials.

Sept. 21, 2006 (NanoCon Show Daily) — NanoCon 2006 exhibit floor features novel products and applications
Concurrent with the educational sessions of NanoCon 2006 in Las Vegas, several companies and organizations are displaying their wares and demonstrating new products and technology. Magforce Nanotechnologies AG, for instance, is providing information on using iron oxide nanoparticles to fight cancer.

Sept. 21, 2006 (NanoCon Update) — Michael Lefenfeld, a three-time entrepreneur, founded SiGNa Chemistry in late 2004 based on a process that stabilizes reactive metals. This technology enables companies to safely harness the legendary powers of alkali materials.

As President and CEO of SiGNa, Mr. Lefenfeld is applying his science and materials expertise to drive the adoption of these advanced materials into the mainstream of chemical reactivity and hydrogen fuel markets. Under Mr. Lefenfeld’s leadership, SiGNa will achieve profitability in its second full year of operation and has secured industry veterans such as BASF, DuPont, ExxonMobil, Motorola, Pfizer, and Shell Chemical as customers.

Prior to SiGNa, Mr. Lefenfeld independently commercialized several biomedical and chemical technologies, starting at the age of 19. Additionally, he has been employed as a Member of the Technical Staff at Bell Laboratories and a researcher at DuPont. In addition to over 12 scientific publications, he holds several patents and patent applications in areas ranging from controlled release to organic electronics to chemical reactivity. He will be moderating the Intellectual Property Issues panel at NanoCon International on Thursday, Sept. 21.

Sept. 20, 2006 (NanoCon Update) — NanoCon International 2006 opens in Las Vegas!

Sept. 20, 2006 (NanoCon Update) — John Howard is the Director of the National Institute for Occupational Safety and Health in the U.S. Department of Health and Human Services in Washington, D.C.

Prior to his appointment as Director of NIOSH, Dr. Howard served as Chief of the Division of Occupational Safety and Health in the California Department of Industrial Relations from 1991 through 2002.

Dr. Howard received his Doctor of Medicine from Loyola University of Chicago in 1974, his Master of Public Health from the Harvard School of Public Health in 1982, his Doctor of Law from the University of California at Los Angeles in 1986, and his Master of Law in Administrative Law from the George Washington University in Washington, D.C. in 1987.

Dr. Howard is board-certified in internal medicine and occupational medicine. He is admitted to the practice of medicine and law in the State of California and in the District of Columbia, and he is a member U.S. Supreme Court bar. He has written numerous articles on occupational health law and policy. He will be appearing at NanoCon International on the nano policy panel at 1:45 p.m. on Wednesday, Sept. 20.

Sept. 19, 2006 (NanoCon Update) — Richard Russell was confirmed by the U.S. Senate in August 2002 as Associate Director of the Office of Science and Technology Policy in the Executive Office of the President. In that capacity he is OSTP’s Deputy Director for Technology. In addition to his role at OSTP, Mr. Russell serves as the Senior Director for Technology and Telecommunications for the National Economic Council.

Prior to being chosen by the President for his current position, Mr. Russell served as OSTP’s Chief of Staff. Mr. Russell also worked on the Presidential Transition Teams for the Department of Commerce, National Science Foundation and OSTP.

From 1995-2001, Mr. Russell worked for the House of Representatives Committee on Science and has a strong background in technology policy. The Committee has oversight responsibilities for all Federal civilian research and development and authorizing responsibilities for most civilian science and technology programs.

During his time on the Committee, Mr. Russell was charged with overseeing the Committee’s technology policy, coordinating its oversight agenda, and helping manage the Committee’s majority staff. He also helped draft a wide variety of legislation, including efforts to expand and improve coordination of federal information technology research, improve computer security, and authorize budgets for science and technology related agencies.

He will be speaking at NanoCon International at 1 p.m. on Wednesday, Sept. 20.

Sept. 18, 2006 (NanoCon Update) — David Gusdorf is director of development for Washington Technology Center, an economic development organization whose mission is to spark ideas, form connections between people and resources, and foster job growth to position Washington State as a national technology leader. In this role, Mr. Gusdorf oversees the organization’s external development and public relations activities.

Mr. Gusdorf has over 25 years of biomedical industry experience, leading U.S. and international market development, and comprehensive product launches. He was most recently the vice president of marketing & sales and led the commercialization of the CLAIRSONIC Skin Care brush.

Previously, Mr. Gusdorf was vice president and general manager of Japan at SonoSite Inc., where he led the market development and rapid sales growth of hand-carried ultrasound products. He also worked at Chiron Corp. and LifeScan, a Johnson & Johnson company, where he orchestrated the introductions of two market-leading diabetes blood glucose-monitoring brands. Mr. Gusdorf has a bachelor of arts degree in marketing and advertising and a master’s degree in business administration from San Jose University. He will be speaking at NanoCon International at 9:45 a.m. on Thursday, Sept. 21.

Sept. 15, 2006 (NanoCon Update) — Scott Livingston is a managing director of Axiom Capital Management and head of the Livingston Group, an investment and corporate advisory group within Axiom focused on nanotechnology and its impact on our markets and society.

He has had a seventeen year career on Wall Street working in wealth management and banking with corporations, startups, institutional and individual investors and governments on emerging technologies.

Prior to Axiom, Scott served as a senior vice resident at Lehman Brothers, director at Cowen & Co. and senior vice president at Smith Barney. He began his career at Drexel Burnham in 1989. He will be appearing at NanoCon International at 10:40 a.m. on Wednesday, Sept. 20.

Sept. 14, 2006 (NanoCon Update) — Scott Mize is an entrepreneur, advisor, and speaker in the field of high technology. He has 20 years of experience in the information technology, new media and Internet industries, and has worked in the nanotechnology field for more than five years. He currently provides business and venture development services to early-stage technology companies and established corporations.

Scott was recently president of Foresight Nanotech Institute, the leading nanotechnology think tank. Prior to joining Foresight Nanotech Institute, he co-founded AngstroVision, Inc., a research-stage nanotechnology tools company focused on creating a breakthrough imaging and metrology instrument, and raised its seed round of capital. Scott was the originator and chairman of the advisory board of the Nanotechnology Opportunity Report, the first comprehensive global report on the near-term commercial opportunities in nanotechnology, published by Cientifica. He will be moderating the nano policy panel at NanoCon International at 1:45 p.m. on Wednesday, Sept. 20.

Sept. 13, 2006 (NanoCon Update) — David Macdonald is president and chief executive of Nanomix, a leading nanoelectronic detection company launching a portfolio of devices based on its Sensation technology.

He provides Nanomix with 25 years of product development and commercialization experience. Mr. Macdonald has cultivated several high performance teams that achieve aggressive goals in technical product and service environments. These teams have developed and launched hundreds of medical device and diagnostic products sold directly in the United States and Western Europe, as well as through independent distribution relationships worldwide.

Mr. Macdonald served as President and COO of Nichols Institute Diagnostics, a division of Quest Diagnostics, as President and CEO of Progeny Systems and Medical Electronic Systems, in operational roles at Behring Diagnostics and Nova Biomedical, and most recently as the Senior Vice President Global Operations and Business Development at Nanogen. Mr. Macdonald holds a BSBA degree from Northeastern University, a MBA degree from Babson College and is originally from the Boston area. He will be appearing on the nanobio panel at NanoCon International at 9:45 a.m. on Friday, Sept. 22.

Sept. 12, 2006 (NanoCon Update) — Joseph Cross is president and CEO of nanomaterials company Nanophase Technologies and a member of the board of directors. He has served as president & CEO of APTECH Inc., an OEM of electrical metering and control devices; as president of Aegis Technologies, an interactive telecommunications company; and held executive positions with DEC, HADCO, and ITT.

He holds a BS in Chemistry and attended the MBA program at Missouri State University. Mr. Cross has a background of successfully directing several high technology start-ups. He will be appearing on the nanomaterials panel at NanoCon International at 3:15 p.m. on Wednesday, Sept. 20.

Sept. 11, 2006 (NanoCon Update) — John Roy is a senior research analyst/nanotechnology analyst at W.R. Hambrecht + Co., an investment bank providing underwriting and financial advisory services to emerging growth companies, as well as equity research, sales and trading services to institutions and full-service brokerage for individuals.

Dr. Roy joined WRH+Co from Merrill Lynch where he focused on nanotechnology and technology strategy. Dr. Roy has also worked at JPMorgan and Neuron Data. Dr. Roy has a Ph.D. in Computer Science from the University of California and a MSEE from the University of Southern California. He will be appearing on the “Going Public?” panel at NanoCon International at 11 a.m. on Friday, Sept. 22.

Sept. 7, 2006 (NanoCon Update) — Morinobu Endo to accept lifetime achievement award at NanoCon

Nanotube manufacturing pioneer Morinobu Endo has won Small Times’ fifth annual Best of Small Tech Lifetime Achievement award. A professor at Shinshu University in Nagano, Japan, Endo will accept the award in person at NanoCon International in Las Vegas at an awards luncheon on Thursday, September 21 at 12:15 p.m.

A preview of the September/October issue of Small Times with the story about Dr. Endo is available online.

The lifetime achievement award is given to only one recipient a year and recognizes an individual who has made a lasting and foundational contribution to commercial micro and nanotechnology, including inventing critical tools, materials and manufacturing methods that help others create new products and build businesses. Professor Endo’s work developing manufacturing methods for carbon nanotubes has led directly to commercial applications, has enabled others to use the materials in their work, and has inspired other scientists to explore and harness nanoscale processes.

Awards in six other categories will be presented at the luncheon to individual winners and four runners-up in each category. They will also be unveiled in the September/October issue of Small Times Magazine. The other categories are product, company, business leader, researcher, innovator and advocate.

Sept. 6, 2006 (NanoCon Update) — Edward Moran is director of product innovation and leader of the nanotech industry practice at Deloitte Services LP. He provides companies with consultative assistance in securing financing, strategic planning, product innovation, market segmentation, competitive positioning, and industry analysis.

An active member of the nanotech business community, Moran is a member of the National Academies’ National Nanotech Initiative (NNI) Review Committee and the Nanotech Working Group of the US Council for International Business, among other activities.

He will be moderating the nano transportation (aerospace, automotive, military) panel at NanoCon International on Wednesday, Sept. 20.

Sept. 5, 2006 (NanoCon Update) — Going public?

Thomas Mino has served as chief executive officer, president and a director of nanomaterials company Lumera since September 2001. Lumera went public in 2004.

From November 1999 to September 2001, he served as vice president and general manager of the high-speed long-haul business unit of Agere Systems Inc., an optical components supplier. From 1991 to October 1998, he was president and chief executive officer of Synergy Semiconductor Corp., a specialty high-speed semiconductor manufacturer. Mr. Mino has a B.S.E.E. degree in Electrical Engineering from the University of Pittsburgh.

He will be on the “Going Public?” panel at NanoCon International at 11 a.m. on Friday, Sept. 22.

Sept. 1, 2006 (NanoCon Update) — Of material concern

Peter Krueger is head of the working group on nanotechnology at Bayer MaterialScience AG, where since 2004 he has been head of the physics department within the coatings, adhesives and sealants business unit.

Krueger joined the department of polymer physics at Bayer Central Research in 1993, focused on structure-property-relationships of thermoplastics, especially of blends and rubber modification. He became head of the polymer physics department in 2000, focused on thermoplastics, synthetic rubber, polyurethanes, coatings and adhesives.

Krueger will be speaking on the materials panel at NanoCon International at 3:15 p.m. on Wednesday Sept. 20.

Aug. 31, 2006 (NanoCon Update) — The best defense is a good…technology

Sharon Smith is director of advanced technology at Lockheed Martin’s headquarters in Bethesda, Maryland. She is responsible for research and technology initiatives, including independent research and development projects, university involvement, and various other R&D activities.

The prior chair of the company’s steering group on microsystems and MEMS, she is currently the chair of the steering group on nanotechnology. Smith has twenty-five years of experience in management, program management, engineering, and research and development at Eli Lilly and Co., IBM Corp., Loral, and Lockheed Martin.

She will be speaking at NanoCon International on the nano transportation (aerospace, automotive, military) panel at 1:45 p.m. on Wednesday, Sept. 20.

Aug. 30, 2006 (NanoCon Update) — Shining a light on nanoelectronics

Jia Chen is a research staff member of Nanoscale Science and Technology at IBM’s T. J. Watson Research Center. She received her Ph.D. in physics in 2000 from Yale University where she pioneered breakthroughs in molecular memories and circuits.

Her work was recognized as part of the “Breakthrough of the Year” in Science in 2001. In 2003, she joined the Watson Research Center in the area of nanotechnology. Recently she has found novel methods to drastically improve the electronic properties of high performance carbon nanotube devices, and new ways to generate intense light from an ultra-small source. Her current research focuses on carbon nanotubes and nanoscale materials-based electronic and optoelectronic devices and technologies.

She will be speaking on the nanoelectronics panel at NanoCon International at 3:30 p.m. on Thursday, Sept. 21.

Aug. 29, 2006 (NanoCon Update) — Living in a nanomaterial world

Ralf Anselmann is head of exploration and validation at Creavis, the strategic research and development and corporate venturing arm of Degussa AG.

Creavis is charged with enhancing Degussa’s portfolio by building high-value businesses in specialty chemistry through new technologies and markets — hence, nanotechnology. Prior to joining Creavis, Anselmann was head of R&D for cosmetic pigments at Merck, where he had worked since 1986. Anselmann will appear on the nanomaterials panel at NanoCon International, to be held at 3:15 p.m. on Wednesday, Sept. 20.

Aug. 28, 2006 (NanoCon Update) — Tech transfer techniques?

Mike Slessor is the assistant director in the Office of Technology Transfer at the California Institute of Technology (Caltech). Slessor is part of a team that manages the Caltech intellectual property portfolio (along with that of NASA’s Jet Propulsion Laboratory), directs outside counsel in patent prosecution, and negotiates agreements to license intellectual property from JPL and Caltech to outside companies. He is a member of the board of directors of Micromanipulator Corporation, and a member of the scientific advisory board of Oraxion Corporation.

Slessor, a former Honeywell process engineer, will be on the intellectual property panel, speaking at NanoCon International at 11:30 a.m. on Thursday, Sept. 21.

Aug. 25, 2006 (NanoCon Update) — What does it take to raise funding?

Ask Vinie Zhang, vice president of Hitachi’s corporate venture capital group responsible for strategic investment in IT, biotech, telecommunications and material sciences.

Prior to joining Hitachi, she was a vice president at Asiatech Ventures, an early-stage cross pacific venture fund, where she made numerous investments in enterprise software, wireless, and communications. She is appearing on the early stage funding panel at NanoCon International, to be held on Friday, Sept. 22 at 11 a.m.

Aug. 24, 2006 (NanoCon Update) — Nanotech for aerospace, automotive and military use.

Leonard Chen has been with Raytheon for more than 15 years and is based out of Raytheon Vision Systems in Goleta, Calif.. As a Director of EO Strategic Components on a Contracted R&D (CRAD) team, his primary role is starting new CRAD programs that give key leverage for larger systems throughout Raytheon.

He will be participating in the Nano Transportation (Aerospace, Automotive, Military) panel to be held at 1:45 p.m. on Wednesday, Sept. 20 at NanoCon International.

Aug. 23, 2006 (NanoCon Update) — You must remember this.

Greg Schmergel heads one of the most innovative efforts to commercialize new memory technology. Nantero, the Woburn, Mass., startup of which he is president and CEO, is using carbon nanotubes to build fast, non-volatile memory chips.

The company has made significant strides in developing the technology, including developing procedures for using carbon nanotubes in a standard fab environment. Get the inside scoop on how he has pushed Nantero to the forefront of nanoelectronics innovation. Schmergel will be participating in the nanoelectronics panel at NanoCon International, being held at 3:30 p.m. on Thursday, Sep. 21.

Aug. 22, 2006 (NanoCon Update) — Can you hear me now?

Nanotechnology has a variety of applications in telecommunications, and Motorola’s Iwona Turlik knows where they are. Turlik, corporate vice president at Motorola, has led Motorola’s technology acquisition office, its advanced technology center and other divisions — a unique perch from which to gauge nanotech’s impact on telecommunications technologies.

She will be speaking at NanoCon International at 2:45 p.m. on Thursday, Sept. 21.

Aug. 21, 2006 (NanoCon Update) — Expert explains innovation management

Battelle CEO Carl Kohrt knows a thing or two about managing technology innovation. His organization oversees 20,000 staff members and conduct $3.4 billion in annual research and development.

Battelle sees its commitment to nanotechnology as a logical extension of its research and development experience and its history of innovation. Kohrt will discuss how his organization fosters and manages science- and technology-based innovation, and how it helps bring emerging technologies to the marketplace. The complete cycle of innovation — from concept to commercialization — and the practical decisions necessary along the way will also be explored. His keynote address will take place at NanoCon International on Thursday, Sept. 21 at 9 a.m.

Aug. 18, 2006 (NanoCon Update) — The life of a serial entrepreneur

There are the entrepreneurs, and then there are the serial entrepreneurs, those who found new startups on innovation after innovation. They are rare enough, and even more so in nanotech. But David Soane is one of them.

The founder of companies including Aclara, Nano-Tex, Innovative Construction and Building Materials, Soane Labs and Cosmetica, Soane will discuss his latest efforts at Alnis Biosciences and share his thoughts on what it takes to be a successful nano entrepreneur. His keynote presentation at NanoCon International is scheduled for 10:30 a.m. on Wednesday, Sept. 20.

Aug. 14, 2006 (NanoCon Update) — Automotive nanoapplications driving future

Nanotechnologies in cars and trucks are not just about new paints and composites. They will most likely also be the driving technology behind higher fuel efficiency and improved performance. Mark Verbrugge, director of General Motors’ materials and processes laboratory, will overview recent developments and open questions associated with current nanotechnology-based materials for body subsystems and promising electronic materials for energy storage and transfer.

Mr. Verbrugge will be a keynote speaker at NanoCon International at 8:30 a.m. on Thursday, September 21, as well as a panelist on the Transportation panel at 1:45 p.m. on Wednesday, September 20.

Aug. 9, 2006 (NanoCon Update) — Achieving nano success through partnership

What’s the hottest trend in nano? It’s all about partnering. Learn from Dr. Thomas Sawitowski, entrepreneur and corporate nanotechnology leader, how ALTANA/BYK Chemie has partnered with a nano company to shorten innovation cycles and time-to-market. Strategic relationships are essential in an age when there aren’t enough resources or time to build all the necessary capabilities internally.

Dr. Sawitowski’s keynote presentation will discuss how ALTANA Chemie entered into a strategic, global alliance with Nanophase Technology Corporation more than 2 years ago. This partnership has strengthened both companies in their position as leading companies for specialty chemicals, as well as tailor-made nanomaterials and nanomaterials dispersions. During this case study, Dr. Sawitowski will give insights into the strategic relationship, lessons learned, and opportunities that the partnership created.

Aug. 4, 2006 (NanoCon Update) — Leading researcher from PNNL joins nanoenergy panel

Dr. Paul Burrows, laboratory fellow at Pacific Northwest National Laboratory in the energy science and technology division, will be participating as a panelist on the energy panel at Small Times NanoCon International on September 21.

With more than 71 U.S. patents and 45 international patents, Burrows is an innovator whose work has been instrumental in the creation of two new companies: Universal Display Corp., a developer of flat panel display technology, and Vitex Systems, a company spun off from Battelle to develop flexible encapsulation technology for organic light emitting displays. Prior to PNNL, Burrows held positions at Battelle, Princeton University, University of Southern California, and the Riken Institute in Japan.

Aug. 1, 2006 (NanoCon Update) — How is SOX impacting nano IPO’s?

Come hear Doug Jamison, president, CFO and COO of Harris & Harris, provide insight into this vexing question facing the nanotechnology sector.

The Sarbanes-Oxley Act of 2002 (SOX), mandates, among other things, that all publicly held companies listing in the United States establish and attest to the effectiveness of their internal controls surrounding financial reporting.

The resulting cost related to the preparation and auditing of these internal controls far exceeded was first predicted, and has caused a backlash related to whether the Act makes it too burdensome for young companies to become public entities in the United States. This presentation will provide a brief introduction into what SOX requires, the expenses related to complying with SOX, and the potential impact it may have on the funding and emergence of nanotech companies. Mr. Jamison’s presentation is scheduled for 10:45am PST, September 22.

by Ed Korczynski

Yesterday SEMI held a SEMInvest breakfast panel in Palo Alto CA,, and at one point the analysts seemed to be saying that we were too popular, so no one liked us anymore. Moderator Bruce Rhine — fresh off the success of selling another company (this time Accent Optical to Nanometrics) — led the panel in discussing why the biz looks good but not so great these days. Large original equipment manufacturing (OEM) companies’ stock prices are not expected to outgrow the S&P 500.

Despite the lackluster forecast for stock prices, underlying business seems solid. Global semiconductor industry capital expenditures on specialized OEM tools should be near $47 billion in 2007, followed by $51 billion in 2008, according to Jay Deahna, managing director, semiconductor capital equipment, JP Morgan. Deahna said that orders by logic IDMs have already peaked for this cycle, orders for memory production particularly DRAM will increase, and NAND flash is only now slowing after 100% growth year-on-year in 2005. The foundry capacity utilization average low for the current cycle may be only ~85%, and such a high trough should stimulate a strong next growth period.

The semiconductor industry has always dealt with cyclical demand, but the time-scales have shrunk significantly over the decades. The first big customers for ICs were governments, particularly military departments, and cycles occurred every ten years with new contract wins. The next big customers for ICs were corporations, and cycles occurred every five years in sync with capex depreciation.

Today, everyone agrees that individual consumers are the big customers, and demand cycles occur every year or two based on planned obsolescence, fickle whims, and global macroeconomics. Robert Maire, semiconductor capital equipment, Needham & Co. observes that consumers driving demand means that in addition to supply/demand balancing we must now also consider seasonal demand patterns. For example, a large portion of consumer electronics spending occurs in the month of December.

Avinash Kant, VP of equity research, advanced semiconductor, Canaccord Adams, is long-term bullish on the capex market, due to shorter and less severe OEM buy cycles, and an expected steady unit demand for ICs. Gary Hsueh, senior analyst, semiconductor capital equipment at CIBC World Markets, tried to make bear noises in a talk called “Don’t rush to call a shallow bottom.” He noted that OEM stocks in 2006 have underperformed the S&P 500 by 6%, though he does expect a 20% global capex increase next year. Maire added that the cyclical volatility remains inherent to our industry, which accounts for our discounts versus the S&P 500.

The industry has matured to the point that it no longer fits into a “growth” category for investors — torpid growth in stock prices is why no one is very upbeat. Deahna said stocks don’t really move upward unless hedge-funds and other funds make sizable investments, but Maire said hedge funds are much less interested in this space — “What’s the point of investing in AMAT at 17 [dollars/share], when the one year target is only 21?”

Larger broad-line companies are expected to merely perform to the industry, so smaller single-line companies appear relatively more attractive. Deahna believe that when Intel’s 45nm capex pie is cut, larger slices will go to ASML, Lam, and Varian. Yield management and metrology companies will generally do well since manufacturing just keeps getting more complex. We must all hope that Microsoft’s next bloatware is finally released sometime in 2007 so that it can inevitably suck up vast quantities of DRAM — but meanwhile our inner Extreme Elmo is dancing to our clip-on iPod. — E.K.

September 26, 2006 – The chipmaking manufacturing alliance led by IBM, Chartered Semiconductor Manufacturing, and Samsung Electronics Co. Ltd. has added another supplier to their roster. Amkor Technology Inc. is collaborating with the group to qualify 90nm and 65nm flip-chip packaging and design capabilities for the group’s “Common Platform,” and has begun 45nm qualifications for next-generation semiconductor applications.

When launching the chipmaking alliance in Sept. 2005, Chartered officials pointed out the alliance’s combined capital spending budgets far exceeded single chipmakers such as Intel and TI, or other industry alliances such as Crolles. Between the lines, the message spoke to potential capex leverage for suppliers — having a common platform and common development partners suggests that tool selection and implementation will be similar if not identical among chipmaker participants.

Amkor execs were visible present at that launch presentation. And back in 2004, Amkor purchased IBM’s packaging operations in Singapore and Shanghai in a $145 million outsourcing deal, in return for a big chunk of IBM’s wire bond and flip-chip assembly and final test business.

Mike Barrow, Amkor’s SVP of flip chip business unit, noted in a statement that the new collaboration “provides Amkor with early access to advanced silicon, enhancing our ability to develop assembly and test collateral for next-generation applications.” He added that over the past year Amkor already has delivered over 10 million flip chip packages for the 90nm Common Platform.

“Extending the Common Platform technology ecosystem to include collaboration on advanced wafer bump and flip chip processes is a natural step in our evolution to provide clients complete solutions,” stated Kevin Meyer, VP of worldwide marketing and platform alliances at Chartered, adding that Amkor’s presence in Singapore for packaging and test services “will greatly reduce our customers’ time to market.”

Ana Hunter, VP of technology for Samsung Semiconductor Inc., noted that Amkor and Samsung are also working on lead-free bump and assembly solutions, and aim to continue those efforts to 45nm process development.

Top micro and nanotechnology people, products and companies honored

Las Vegas, Nev., September 21, 2006 — Small Times (TM) Magazine presented its highly respected Best of Small Tech Awards at the Small Times NanoCon International conference and trade show today in Las Vegas. This is the fifth annual Small Times (TM) Magazine Best of Small Tech Awards, which spotlight the top leaders and the biggest successes in nanotechnology, MEMS, and microsystems during the past year.

“The award winners and finalists this year truly reflect the diversity of companies and people that are shaping the MEMS and nanotechnology communities – from tools innovators to fabs to companies bringing commercial applications to a wide range of markets,” said Patti Glaza, Vice President and Group Publisher of Small Times (TM).

Best of Small Tech Award: Product
The Small Times (TM) Magazine 2006 Best of Small Tech Product of the Year award goes to an electron microscope that provides critical data for research and development on a highly stable, easy-to-use platform: FEI Titan.

Runners-up are Acrymed’s SilvaGard, Fiberstars’ EFO, Oxonica’s SERS Nanotags, and SiTimes’ SiRes Product Family.

Best of Small Tech Award: Company
CardioMEMS, Inc., captured the 2006 Best of Small Tech Company of the Year award for its new, FDA-approved implantable wireless pressure sensors, which measure pressure changes in the abdominal aorta, promising a relatively inexpensive means of managing patients with congestive heart failure by allowing healthcare providers to adjust patient medication before a crisis occurs.

Runners-up are FEI Company, Micralyne, Nantero, Inc., and SiGNa Chemistry.

Best of Small Tech Award: Business Leader
Chairman, President, and CEO of NeoPhotonics Corporation, Tim Jenks, earned the 2006 Small Times (TM) Magazine Business Leader of the Year award for the successful merger of California-based NeoPhotonics Corp. with Photon Technology, Co. Ltd., in Shenzhen China. The newly merged company has continued to thrive, with $50 million in annual sales, new product launches, European distribution, and additional acquisitions.

Runners-up are Bob Gelfond (MagiQ Technologies), Michael Natan (Oxonica, Inc.), James Rock (Akustica, Inc.), Billy Stanbery (HelioVolt Corp.).

Best of Small Tech Award: Researcher
IBM Research’s Jia Chen discovered a new way to make carbon nanotubes into light sources much brighter than large area Light Emitting Diodes (LEDs) Her photon-emitting nanotubes have the potential to be produced with the same processes as conventional electronic components. Chen’s breakthrough research in this area earned her the Small Times (TM) Magazine Best of Small Tech Researcher of the Year award in 2006.

Runners-up are Russell Cowburn (Imperial College, London), James Tour (Rice University), Huikai Xie (University of Florida), and Jie Zhang (Motorola).

Best of Small Tech Awards: Innovator
James M. Tour, Rice University, developed the world’s first nanocar, a single-molecule gadget with a chassis, freely rotating axles, and wheels, measuring in total just three to four nanometers across. Tour’s ultimate goal is the development of nanomachines for bottom-up manufacturing, and it is this vision that earned him the Small Times (TM) Magazine 2006 Best of Small Tech Innovator of the Year award.

Runners-up are James Balcom (Polyfuel), Dan Gamota (Motorola), Magnus Gittins (Advance Nanotech), and Pradeep Haldar (University at Albany).

Best of Small Tech Awards: Advocate
Sean Murdock’s tireless work as the face of nanotechnology earned the Executive Director of the NanoBusiness Alliance our Best of Small Tech Advocate award for 2006. His efforts to educate representatives and senators about the importance of developing commercial nanotechnology helped push forward at least two bills promoting nanotech investment.

Runners-up are Roger Grace (Roger Grace Associates), Matthew Laudon (Nano Science and Technology Institute), Ellen McDevitt (MEMS Industry Group), and Robert D. “Skip” Rung (Oregon Nanoscience and Microtechnologies Institute).

Best of Small Tech Awards: Lifetime Achievement

Morinobu Endo, professor of engineering at Shinshu University, captured the 2006 Small Times (TM) Magazine Best of Small Tech Lifetime Achievement award. This award is in recognition of his contributions as an innovator and researcher with carbon nanotubes. He has devoted a lifetime of research in how to manufacture nanotubes more rapidly and cheaply and how to integrate them into useful objects, such as extended-life batteries. Endo has authored or co-authored more than 40 textbooks and 250 papers in peer-reviewed journals such as Nature and Science. He has received a long list of awards and honors, including the 2004 American Carbon Society Medal.

About the Awards
This is the fifth year of the prestigious Small Times (TM) Magazine Best of Small Tech Awards. Small Times staff evaluates the nominees along with seven panels of industry experts. Awards are based on accomplishments between June 1, 2005, and June 1, 2006. More details can be found in the September/October issue or online at www.smalltimes.com.

About Small Times
Small Times (TM) Media was purchased in September 2005 by PennWell Corporation, a diversified global media and information company. Small Times (TM) Magazine remains the leading source of business news and analysis about the small tech industry, which includes nanotechnology, MEMS and microsystems. Its circulation is now free to qualified subscribers around the world in both print and digital form. In addition to its news services (Small Times (TM) magazine, SmallTimes.com, Small Times Direct, Small Tech Advantage), Small Times (TM) organizes the leading nanotechnology business conference and trade show in North America, Small Times (TM) NanoCon International. Our annual Small Tech Business Directory is free to all subscribers and provided online as an industry service at SmallTechDirectory.com. For more information, visit www.smalltimes.com.

About PennWell
PennWell Corp. is a diversified business-to-business media and information company that provides quality content and integrated marketing solutions for the following industries: Oil and gas, electric power, water, electronics, nanotechnology, semiconductor, contamination control, optoelectronics, fiber optics, computer graphics, enterprise storage, fire, emergency services and dental. Founded in 1910, PennWell publishes 75 print and online magazines and newsletters, conducts 60 conferences and exhibitions on six continents, and has an extensive offering of books, maps, web sites, research and database services. In addition to PennWell’s headquarters in Tulsa, Oklahoma the Company has major offices in Nashua, New Hampshire, Houston, Texas, Campbell, California, Fairlawn, New Jersey, London, England, Moscow, Russia, Schwabisch Gmund, Germany, and Hong Kong, China.

Contact
Deborah Rodriguez
Marketing Communications Manager
Small Times Media Group
PennWell Corp.
Tel: 603.891.9482
[email protected]

# # #

By Andreas von Bubnoff
Small Times Contributing Editor

Sept. 20, 2006 — The percentage of Americans who know at least something about nanotechnology has doubled in the past two years, according to a national poll released on Tuesday by the Project on Emerging Nanotechnologies at the Woodrow Wilson International Center for Scholars in Washington DC.

At the same time, more people believe that nanotechnology has more risks than benefits, according to the poll, which was commissioned by the Wilson Center and conducted in August by Peter D. Hart Research Associates. The poll also found that the public trusts the government and universities more than companies when it comes to minimizing the risks of nanotechnology.

The announcement of the poll came two days before a Congressional hearing scheduled for Thursday which will ask the federal government about its research activities on the environmental and health risks of nanotechnology, and how much money it spends for this type of research.

The telephone poll, which interviewed 1,014 American adults, found that 30 percent know at least something about nanotechnology, compared with 16 percent in 2004.

It also found that 35 percent see more risks, as opposed to 15 percent who see more benefits. Almost half of those who have heard a lot about nanotechnology see more benefits, but only 2 percent of those who have heard nothing about nanotech see more benefits, the poll found.

“The less you know, the more skeptical and fearful you are about nanotech,” said Geoffrey Garin, president of Peter D. Hart Research Associates.

This means that the government needs to do more of the public outreach mandated by Congress in December 2003 in the 21st Century Nanotechnology Research and Development Act, said David Rejeski, director of the Wilson Center’s Project on Emerging Nanotechnologies. But he said not enough has happened since then. “It’s not enough to put stuff into museums and getting articles into science magazines,” he said. “It’s really about going out there and talking with people.”

The group perhaps most likely to use nanotech products such as cosmetics — women older than 50 — knows the least about nanotech, the poll found. Hart Research Associates also asked women in focus groups to discuss risks and benefits of nanotechnology in cosmetics. Women were more skeptical if they had children, Rejeski said, and many were surprised that there was little governmental oversight of cosmetics products that use nanomaterials.

“To hear that there are potential risks and no regulation, no oversight, just really made them more skeptical,” said Abigail Davenport, vice president at Hart Research Associates, who led the focus groups. There has been an ongoing debate in the nanotech sector over whether nanomaterials and other nanotechnologies need legislation that specifically covers their use, or whether existing legislation is fit to cover nanotech products.

When it comes to minimizing the risks of nanotechnology, the public’s trust is more with the government and universities than with companies, the poll found. The poll found that 69 percent say they trust the USDA and 61 percent say they trust the FDA to minimize risks, but only 49 percent trust companies. Similarly, 55 percent want the government and 54 percent want the universities to play a role in monitoring the safety and effectiveness of cosmetics, but only 43 percent want companies to play a role. Just 12 percent want companies to be the only monitor.

While most of the public appears to trust the government to address the risk of nanotechnology, it is still unclear what the government is or has been doing about studying that risk, Rejeski said. He said he expects this to be addressed in Thursday’s Congressional hearing before the House science committee.

“The government still has no strategy to deal with the environmental health and safety risk,” said Rejeski, who testified on the issue before the House science committee in November 2005. “The committee has been waiting for their strategy for a year now, and as far as we know, they won’t have a strategy by the time they meet on Thursday.”

“Last fall the administration said they were developing a detailed research plan with well laid out priorities, that it would come out in the spring of this year and would be the guide for the research activities into environment, health and safety,” said a Democratic Committee staff member who asked not to be identified. “We are still waiting to see it. So we finally decided to have a hearing to bring in the agencies and let them tell us why it’s not out yet.”

It’s unclear whether the plan will be delivered in time for the hearing, but the committee has invited Norris Alderson, who chairs the working group that is in charge of developing it. Alderson, associate commissioner for science at the Food and Drug Administration, declined to comment in advance on issues to be discussed at the hearing.

The committee has also invited Matthew Nordan of Lux Research, a nanotechnology research firm, and representatives of three federal agencies that are involved in nanotech-risk related research: the National Science Foundation, the Environmental Protection Agency, and the Department of Energy.

Andrew Maynard, chief science advisor to the Wilson Center’s Project on Emerging Nanotechnologies, will also testify before the committee. Maynard wrote a report, published in July, that pointed to Project on Emerging Nanotechnologies estimates that in 2005, government agencies spent almost $11 million on research that is specifically focused on health and environmental risks associated with nanotechnology. This is different from the government’s own estimates, according to which the government spent almost $40 million on nanotech risk related research between October 2005 and September 2006.

Thursday’s hearing will likely address this discrepancy, the Democratic Committee staff member said.