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Panel III
Facilitating Solar Innovation:
Contributions from Other Federal Agencies
Moderator:
Richard Bendis
Innovation America
Mr. Bendis opened the panel by saying he had observed an indirect but sub-
stantial benefit of the symposium: new conversations, both between people work-
ing in the same agencies, and those in different agencies. “The format is giving
people an unusual opportunity to hear about gaps in understanding and new ways
to leverage resources more effectively within the federal technology investment
portfolio that already exists,” he said. He applauded the DoE for taking the lead
in bringing other agencies into the discussions.
MEASUREMENT AND STANDARDS:
THE ROLE OF NIST
Kent Rochford
Acting Director, Electronics and Electrical Engineering Laboratory
National Institute of Standards and Technology (NIST)
At NIST, said Dr. Rochford, “we are very broad, but we focus like a laser on
measurement science.” NIST also helps develop standards and promote technol -
ogy. He called the institute “fairly small,” compared to DoE labs for example,
with about 2,800 employees and almost that many affiliated associates, postdoc -
toral students, and guest researchers from companies, universities, and metrology
institutes. About 400 NIST staff work with more than 1,000 bodies to help set
standards. Among the Institute’s ongoing programs are the Technology Innova -
tion Program, the Malcolm Baldridge Quality Program, and the Manufacturing
Extension Program. He said he would focus on the laboratory programs, which
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162 FUTURE OF PHOTOVOLTAICS MANUFACTURING
were organized by discipline, including several that bring measurement science
to bear on the photovoltaic technologies area.
The Goal of Measurement Traceability
Why do measurements matter? They make possible the research collabora-
tion and commercialization of products that underpin innovation and trade.
To illustrate his answer, Dr. Rochford described the recent international
comparison of solar module ratings. Published three years earlier, these ratings
were based on an experiment by NREL that sent solar modules to major labora -
tories around the world. These modules were of four kinds: monocrystalline sili-
con, thin-film silicon, cadmium telluride, and cadmium-indium-selenide (CIS).
On the CIS system, a measurement spread of almost 9 percent was found about
a mean. “The graph has taken eight participants’ measurements and assumed
that the mean is the right value. That’s not necessarily true.” He also said that
the accuracy was not sufficient. “Our role is to create measurement traceability,”
he said. “As the National Metrology Institute for the U.S. our job is to be able
to trace measurements to the international system of units. By providing mea -
surement traceability, we can strengthen comparisons of measurements across
companies, nations, and laboratories. To facilitate trade, the companies, vendors,
and other participants have to agree on what a product is, and agreement is based
on measurement. Also, if you want to innovate efficiently, you have to be able
to accurately measure product characteristics throughout the R&D process so
you can share results and perform reproducible engineering production and even
reproducible research.” For these reasons, he said, NIST provides traceability
to many places, for example NREL, which does PV measurements for a variety
of vendors. At the top level, NIST ensures that all the units are traceable inter-
nationally by working with international partners and other national metrology
institutes.
In addition to the high-level metrology, NIST also offers develops measure-
ment science and services. For example, the Building and Fire Research Labora -
tory (BFRL) seeks to improve measurements needed to certify and model net
zero buildings. Recently the Institute developed a new high-speed radiometer to
measure the performance of PV panels, allowing the industry to move away from
over-reliance on a single standard artifact. In some industries, he said, metrology
is often limited to a single “golden sample,” in the assumption that a certain test
piece is of adequate quality, stability, and suited to the measurement problem, but
this makes broad applicability very difficult.
BFRL, he said, is building simulation tools to improve evaluation of energy
usage in buildings. Because solar energy is just one aspect of this challenge, the
lab has gathered data and modeled buildings in a variety of applications to bring
a better understanding of how to perform simulations. This will enable better
economic and energy budget analyses of buildings.
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PANEL III
He said that photovoltaic technologies R&D must be viewed in the context
of a variety of electronics and power-conditioning systems, a broader area NIST
has worked in for many years. “This isn’t your standard CMOS stuff,” he said,
“this is semiconductor electronics that can convert the DC power of a solar panel
into the AC power used by the house and the grid. We’ve taken a leadership role
in some of those measurements and developed measurement traceability to help
that sector produce more powerful conditioning systems.” In this effort, he said,
NIST also leads interagency groups in semiconductor measurements with DoD,
DoE, and other partners.
The Need to Guarantee PV Lifetimes
Dr. Rochford emphasized that the service life of PV modules is critical.
“For PV to make sense,” he said, “you have to be able to sell a product that has a
guaranteed lifetime in order to get the expected return on investment.” NREL and
other labs are working on service life, which he said is “not a trivial problem.”
NIST has built a device that simulates accelerated aging at known humidity and
temperature, but to predict accurately the lifetime of a product, it is also necessary
to understand the processes that degrade it. This requires a microscopic and nano-
scopic understanding of aging. NIST has found that some tools developed in the
semiconductor industry can be adapted for us in photovoltaic technologies. For
example, researchers have showed that defects generated at the silicon dioxide
interface of PV have a mechanism similar to electrical stresses in MOSFETs. 9
Developing Next-Generation Tools
In the future, Dr. Rochford said, NIST planned to leverage some current
capabilities into later-generation PV, such as using inhomogeneities or nanostruc-
tures to increase efficiency. “But clearly, to make those work,” he said, “there will
have to be better understanding of some processes.” As examples, he mentioned
carrier generation, carrier transport, and electron hole band diagrams at the
smallest scales. “By developing measurement capabilities that can be applied to
next-generation work,” he said, ”we will have the tools to better understand reli -
ability and defects in today’s manufacturing at the same time we are advancing
the learning curve.”
A final point of involvement with PV manufacturing is solar-related docu -
mentary standards. In the U.S., he said, these are not handed down by the govern -
ment, but produced through a collaborative process. NIST’s role is to send experts
to those making the decisions. “Because we are technology agnostic and are not
trying to make a profit,” he said, “we can provide participants with unbiased
9A metal-oxide-semiconductor field-effect transistor, or MOSFET, is a device used to amplify or
switch electronic signals.
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164 FUTURE OF PHOTOVOLTAICS MANUFACTURING
technical information and assessment.” NIST intends to start a mapping exercise
in 2009 to look at any gaps in the documentary PV standards and advise on where
additional work may be needed.
He concluded with the comment that NIST is also active in developing
standards for “smart grid, an area where the documentary standards effort is just
huge. This requires a lot of input from the PV community, because the whole
point of smart grid is to be able to use intermittent and renewable sources. As
the PV community grows, we’d be very interested in any type of consortium on
standards where we think we can help.”
THE NSF MODEL: THE SILICON SOLAR CONSORTIUM
Thomas W. Peterson
Assistant Director
NSF Directorate of Engineering
Dr. Peterson said he would discuss three aspects of the National Science
Foundation (NSF). First, he would describe some of its renewable energy re-
search, conducted primarily in the engineering (ENG) and mathematics/physical
sciences (MPS) directorates, and also throughout the foundation. Second, he
would discuss specific examples of PV research, and again primarily in two di-
rectorates. Third, he would end by talking specifically about translational research
and engineering and how that supports renewable energy.
He said that NSF is not strictly a mission agency, but rather has the broad
mission of supporting basic research and education in science and engineering.
At the same time, its portfolio of programs does contain extensive energy in-
vestments. One example of renewable energy research was the Green Gasoline
Project, developing direct conversion of cellulosic materials to hydrocarbons or
feedstocks for gasoline. This project, based at the University of Massachusetts at
Amherst, uses fast catalytic pyrolysis to generate hydrocarbon feedstocks directly
from cellulose.
Liaisons with Industry
The NSF, Dr. Peterson said, had an extensive program that emphasized as-
pects of energy manufacturing, systems engineering, and industrial engineering
related to production of alternative energy devices. This program supported a
project whose goal is to extract energy from ocean waves via linear direct drive
generator buoys. This is done in collaboration with a small company in a new
program called GOALI, Grant Opportunities for Academic Liaison with Industry.
There are also renewable energy programs in a number of NSF’s Engineer-
ing Research Centers (ERCs), which he called “one of the jewels in the crown.”
These are large-scale operations involved multiple institutions, almost all of
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PANEL III
which are partnerships with industry. Four projects have energy components:
North Carolina State University is the lead institution for a project on smart grid
issues; Iowa State University on biorenewable chemicals; Rennsalaer Polytechnic
Institute on smart lighting; and the University of Minnesota on compact and ef-
ficient fluid power.
Another program that supports energy research is outside the disciplinary
divisions: Emerging Frontiers in Research and Innovation (EFRI). The objective
of EFRI is to support high-risk, potentially high-return research. Unlike most of
the foundation’s proposals, which are unsolicited, EFRI designates its solicita -
tions for specific target areas. During its four-year history, EFRI has focused on
a number of topics, but in the last two years, half have been energy related. The
energy programs have supported work on resilient and sustainable infrastructures,
hydrocarbons from biomass, and for 2009, both renewable energy storage and
engineering sustainable buildings.
Within ENG and MPS, the following projects focus specifically on PV
research:
• Center for Powering the Planet, headed by Harry B. Gray at Caltech;
developing components for solar water splitting. The objective is to generate
hydrogen that can be used in fuel cells.
• Nanoparticle Catalyst for Fuel Cells, headed by P. Strasser, University of
Houston; developing nanoparticle catalysis for application to fuel cells.
• Solar Cell Material Surface Structure Observed, Angus Rockett, Uni -
versity of Illinois at Champaign-Urbana; coordinates studies of the material
properties of surfaces used for solar cells. It seeks insights into the nature of the
semiconductor junction to help explain why some solar cells work and some fail.
• Renewable Energy Materials Research Science and Engineering Center
(MRSEC), Craig Taylor, Colorado School of Mines; materials research on PV
materials and fuel-cell membranes, from fundamental physics of electronic exci -
tations to applied aspects of PV cell efficiency.
• Optoelectronic Processes in Materials for Solar Energy Conversion, Uni -
versity of Central Florida; nanosystems of conducting polymers and fullerene-
based material; single-particle spectroscopy studies reveal that the states of the
aggregates affect material function.
• Self-assembled Biomimetic Antireflective Coatings, University of Florida;
novel templating nanofabrication platform to mass-fabricate broadband coatings
for solar cells. Coatings mimic antireflective moth eyes and super-hydrophobic
cicada wings.
• Nanostructuring of Silicon Surfaces for Photovoltaic Devices, Georgia
Tech; molecular lithography is used to pattern silicon substrates with features
that depend on the size of the molecules used, instead of on the lithography tools.
This technique is thought to herald a breakthrough in manufacturing efficiency
and cost.
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166 FUTURE OF PHOTOVOLTAICS MANUFACTURING
$7,000,000 70
$6,000,000 60
$5,000,000 50
$4,000,000 40
$3,000,000 30
$2,000,000 20
$1,000,000 10
$0 0
FY 2005 FY 2006 FY 2007 FY 2008 FY 2009
(As of June 30)
ENG Award Value Number of ENG Awards
FIGURE 10 ENG investment in photovoltaic research.
SOURCE: Thomas Peterson, Presentation at July 29, 2009, National Academies Sympo -
sium on “State and Regional Innovation Initiatives—Partnering for Photovoltaics Manu -
facturing in the United States.”
He showed a rough graph of what ENG had invested in PV. Compared to the total
PROC-2-Figure10 now.eps
DoE investment it is a small number, he said, but growing. He expected it to be
entirely vector editable
over $6 million in FY2009. R01568
Increasing Emphasis on Translational Research
NSF places heavy emphasis on translational research—again, mostly within
ENG. In the realm of renewable energy, this means both basic research and
research that has industrial and commercial potential. It is almost always inter-
disciplinary, involving primarily teams of universities, but also of companies
and government agencies. By definition, translational research relies on partner-
ships and is expected to deliver clear benefit to society. Programs considered to
support translational research include the Science and Technology Centers, the
Engineering Research Centers, GOALI, MRSEC, the SBIR program, EFRI, and
the Industry/University Cooperative Research Centers (I/UCRC). The emphasis
of these programs spans the squares of Pasteur’s diagram, from discovery mode
through involvement with small and large businesses.
While the majority of NSF funding continues to support basic research, the
I/UCRCs represent an increasing emphasis on application and commercializa -
tion of knowledge. The basic model for them, he said, was to enable discovery
and innovation through collaboration. “The model works almost like a research
franchise,” he said. “The NSF seed money is small and intended to act as catalyst,
while the foundation takes a supportive role throughout the life of the center. The
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PANEL III
ENG overall
NSF overall
STTR
SBIR
ERC
I /UCRC
GOALI
STC
PFI
Industry
Resources Invested
Investors
Valley of
Death
Translational
Research
Foundations
Small Business
University
Discovery Development Commercialization
Level of Development
FIGURE 11 Filling gaps.
SOURCE: Thomas Peterson, Presentation at July 29, 2009, National Academies Sympo -
sium on “State and Regional Innovation Initiatives—Partnering for Photovoltaics Manu -
facturing in the United States.”
PROC-2-Figure11 now.eps
vector editable
I/UCRCs consist of one or several universities, but they are funded primarily by
R01568
industry, and its Industry Advisory Committee is the critical component. It is a
specific management and structural model with independent evaluation tools.”
Over the past two decades, the program has supported some 35 to 50 centers each
year, with a total of about 100 sites throughout the country.
A specific example of I/UCRCs is the Silicon Solar Consortium, or SiSoC.
It consists of four universities (North Carolina State University, Georgia Tech,
Lehigh University, and Texas Tech University), several national labs, and 15
industry partners. Its objective is to reduce costs and increase performance of sili-
con PV material, PV cells, and PV modules while developing novel breakthrough
designs and processes. Two main research foci are metrology and wafer breakage.
Being an academic program, the primary technology transfer mechanism is to
educate graduate students who can later move into the industry.
Dr. Peterson closed with the following summary:
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168 FUTURE OF PHOTOVOLTAICS MANUFACTURING
• The NSF has a broad renewable energy portfolio, which includes photo-
voltaic technologies.
• Although the mission focus of NSF is basic research, the ENG research
portfolio includes strong translational research programs.
• I/UCRC is an important element of the foundation’s growing commitment
to translational research.
• SiSoC, a multiuniversity, multicompany research program, is an excellent
example of NSF’s approach to translational research in photovoltaic technologies.
PHOTOVOLTAIC MANUFACTURING IN THE UNITED STATES:
A UNIVERSITY PERSPECTIVE
James Sites
Colorado State University
Dr. Sites opened by saying that he would discuss how research universities
can contribute most effectively to PV manufacturing in the United States. He ex-
pressed no doubt that the universities, after many years of fundamental contribu -
tions, were well positioned to continue their contributions into the future, both to
manufacturing research needs and to the broader development of the PV industry.
University researchers are well suited for the advancement of knowledge
in this and any other field, he said. They have a high level of intellectual vital -
ity; they tend to be creative by nature, they are well versed in the literature, and
also skeptical, and interactive. At the same time, there are various challenges in
combining the respective cultures of academia and industry. It was their mutual
responsibility to do so as effectively as possible.
Some Challenges in Working with Industry
Potential challenges for the university working in partnership with industry
can be seen in their different understandings of research and education. One uni -
versity approach of high value to industry is foundational research. Foundational
research, he said, is basic research directed toward specific problems. Some
examples in photovoltaic technologies are:
• Analysis of optical losses.
• Minimization of forward-current losses.
• Control of uniformity and stoichiometry during fabrication.
• Identification of unintentional energy barriers.
• Correction of degradation problems.
When foundational research is done in universities, it typically includes such
activities as development of unique fabrication and measurement equipment,
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quite time-consuming and fundamental activities. In the university setting, such
research, in addition to looking toward the goals of better manufacturing, must
allows for thorough exploration of questions that are encountered during a proj -
ect. Because much of a university’s PV funding now comes through industrial
subcontracts, the breadth and independence of university work may conflict with
industry’s emphasis on short-term manufacturing goals. A related issue is that a
student in training may soon be working for a competitor of a company that is
funding research at that university.
Similarly, a university’s understanding of its educational function differs
from that of industry. The education of graduate students is a primary function
of the university, he said, and should be encouraged on fairly large scale. PhD
students in particular tend to be sources of creative ideas of value both to their
advisors and, later, to their employer should they proceed to a career in PV manu-
facturing. At the same time, their education does not proceed at an industrial pace.
Ph.D. students, to do their job right, need stability and time to do their research,
which typically takes three or four years.
In addition, the value of academic freedom is central to graduate education,
and universities want to preserve for their graduate students the ability to dis -
seminate the results of their research. They also prefer a thesis schedule that can
proceed smoothly over those three or four years.
Suggestions for Working Together
“I would make a couple of suggestions,” Dr. Sites said. “The country should
fund a solid base of university PV research and its students directly. This does not
preclude the possibility of additional industrial contracts at universities; in fact,
those investments can bring positive synergies for the funder. Also, we should
expand opportunities for research students at our universities to do part or all of
their research training at a national lab.”
One thing a university culture encourages, he said, is information exchange
and collaboration with other research institutions—in part, because a single
university rarely has the resources and expertise to fully investigate a complex
problem on its own. A collective approach to PV research problems involving
universities, national labs, and industry will cross-fertilize and synthesize new
ideas that may elude individual investigators. “The sum is likely to be greater
than the parts,” he said. There are already strong regional collaboration centers
and nationwide networks of researchers in specific technologies. “I would suggest
constructing proposal solicitation to encourage collective and consortium submis-
sions. Also, we should support topical workshops in different PV technologies,
meeting regularly. A lot of collaborations form when people can get together and
chat about their work individually.”
Universities are also qualified to bring leadership to large PV manufacturing
questions, he said. “We all do a fair amount of strategic planning. Universities
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170 FUTURE OF PHOTOVOLTAICS MANUFACTURING
have expertise that can help at the national scale. At same time, faculty are skilled
at evaluating people and research proposals. We tend to have that skepticism, a
healthy thing to integrate into review.” He acknowledged the potential for con-
flicts of interest when most faculty are also submitting proposals, a conflict that
is hard to avoid, especially when the number of qualified reviewers is small. “My
suggestion is that we lighten up on this a little,” he said. “I know the NSF man -
ages this fairly well, as do journal editors. We should manage rather than try to
eliminate conflict of interest.”
For the PV manufacturing industry, he suggested that an issue of vital im-
portance is its relationship to other countries. The United States has fallen behind
as a manufacturer of PV over the past 20 years, he said; it has also fallen behind
in foundational research, particularly with respect to the European Union. “So
as we build up our industry in the United States, there is a question: Do we view
other countries as partners, or competitors, or both? How can we most effectively
come to terms with them?”
Filling a Research Gap
Dr. Sites raised a final specific issue, a gap in our research emphasis. “We
have a habit of investing in highly fundamental research, with pretty long-term
horizons. We also tend to invest in industrially driven research. But between them
lies a gap: foundational research related to current technologies.” He suggested
moving effort and money into this gap to advance PV technologies for the 2015
time frame.
He gave the rationale for this change by describing PV in terms of three gen-
erations. During the first generation, he said, crystalline silicon was dominant, pro-
ducing high efficiency at reasonable cost. The second generation has included thin
films, with low cost and reasonable efficiency. The third generation is “a little more
vague”—either very low cost or very high efficiency. “I would be skeptical when
people try to change that ‘or’ into an ‘and.’ In any case, all these generations need
foundational research and they also need critical review. Directionality—that is, the
idea that new generations will replace the old ones, which then die out—cannot
be assumed. We need all three generations at once, each of them a comprehensive
whole with continuing possibilities.”
He closed by mentioning a difficulty for some universities in forming PV
partnerships. “We’ve been burdened a bit with cost-share requirements from
some parts of DoE,” he said. “This requirement, typically 20 percent, can be a
disincentive for some of the more creative faculty who might otherwise work in
a PV area. I hope we can take another look at that policy.”
