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Globalization of Materials R&D: Time for a National Strategy
GLOBALIZATION OF MATERIALS R&D
TIME FOR A NATIONAL STRATEGY
Committee on Globalization of Materials Research and Development
National Materials Advisory Board
Division on Engineering and Physical Sciences
NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES
THE NATIONAL ACADEMIES PRESS
Washington, D.C.
www.nap.edu
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Globalization of Materials R&D: Time for a National Strategy
THE NATIONAL ACADEMIES PRESS
500 Fifth Street, N.W. Washington, DC 20001
NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance.
This project was supported by the Department of Defense under Award No. MDA972-01-D-0001. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the sponsors.
International Standard Book Number 0-309-09603-0 (Book)
International Standard Book Number 0-309-54910-8 (PDF)
Library of Congress Control Number: 2005924163
Additional copies of this report are available from: The
National Academies Press,
500 Fifth Street, N.W., Washington, DC 20001; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet <http://www.nap.edu>; and the National Materials Advisory Board, National Research Council, 500 Fifth Street, N.W., Washington, DC 20001; Internet <http://www.national-academies.org/nmab>.
Copyright 2005 by the National Academy of Sciences. All rights reserved.
Printed in the United States of America
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Globalization of Materials R&D: Time for a National Strategy
THE NATIONAL ACADEMIES
Advisers to the Nation on Science, Engineering, and Medicine
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council.
www.national-academies.org
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Globalization of Materials R&D: Time for a National Strategy
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Globalization of Materials R&D: Time for a National Strategy
COMMITTEE ON GLOBALIZATION OF MATERIALS RESEARCH AND DEVELOPMENT
PETER BRIDENBAUGH, Chair
MILLER ADAMS,
The Boeing Company
ASHISH ARORA,
Carnegie Mellon University
GILBERT BENAVIDES,
Sandia National Laboratories
UMA CHOWDHRY,
DuPont Company
EDWARD DOWLING,
DeBeers Group
GORDON GEIGER,
University of Arizona
JENNIE HWANG,
H-Technologies Group, Inc.
MICHAEL JAFFE,
Rutgers University
ROBERT PFAHL,
International Electronics Manufacturing Initiative
NATALIA TAMIRISA,
International Monetary Fund
XISHAN XIE,
University of Science and Technology Beijing
Staff
MICHAEL MOLONEY, Study Director (from September 2004)
TONI MARECHAUX, Study Director (December 2003–September 2004)
EMILY ANN MEYER, Research Associate (December 2003–April 2004)
MARTA VORNBROCK, Research Associate
LAURA TOTH, Senior Program Assistant
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Globalization of Materials R&D: Time for a National Strategy
NATIONAL MATERIALS ADVISORY BOARD
KATHARINE G. FRASE, Chair,
IBM
JOHN ALLISON,
Ford Motor Company
PAUL BECHER,
Oak Ridge National Laboratory
CHERYL R. BLANCHARD,
Zimmer, Inc.
BARBARA D. BOYAN,
Georgia Institute of Technology
L. CATHERINE BRINSON,
Northwestern University
DIANNE CHONG,
The Boeing Company
FIONA DOYLE,
University of California, Berkeley
HAMISH L. FRASER,
Ohio State University
JOHN J. GASSNER,
U.S. Army Natick Soldier Center
SOSSINA M. HAILE,
California Institute of Technology
THOMAS S. HARTWICK
ARTHUR H. HEUER,
Case Western Reserve University
ELIZABETH HOLM,
Sandia National Laboratories
ANDREW T. HUNT,
nGimat Company
FRANK E. KARASZ,
University of Massachusetts
CONILEE G. KIRKPATRICK,
HRL Laboratories
TERRY LOWE,
Los Alamos National Laboratory
LINDA SCHADLER,
Rensselaer Polytechnic Institute
LYLE H. SCHWARTZ
JAMES C. SEFERIS,
University of Washington
SHARON L. SMITH,
Lockheed Martin Corporation
T.S. SUDARSHAN,
Materials Modification Inc.
Staff
GARY FISCHMAN, Director
JAMES KILLIAN, Senior Program Officer
MICHAEL MOLONEY, Senior Program Officer
TAMAE MAEDA WONG, Senior Program Officer
BONNIE SCARBOROUGH, Program Officer
HEATHER LOZOWSKI, Financial Associate
TERI THOROWGOOD, Administrative Coordinator
EUGENE CHOI, Research Associate
MARTA VORNBROCK, Research Associate
COLLEEN BRENNAN, Senior Program Assistant
LAURA TOTH, Senior Program Assistant
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Globalization of Materials R&D: Time for a National Strategy
Preface
The Committee on Globalization of Materials Research and Development was appointed by the National Research Council (NRC) in December 2003 to assess the status and impacts of the globalization of materials science and engineering (MSE) research and development (MSE R&D). The panel was charged to do the following:
Evaluate existing benchmarks as appropriate to assess the current situation and trends in materials research and development in the global community.
Identify reasons why U.S. companies may or may not choose to depend on materials research carried out abroad. Assess current laws, policies, and regulations that affect these decisions.
Identify advances in technology that are driving globalization of materials R&D.
Assess the impact of the factors mentioned above on the U.S. economy and national security. Include the effect of foreign participation in domestic R&D and the effect of U.S. participation in foreign R&D.
In light of the above, recommend actions to ensure U.S. access to current materials research and development.
The committee met four times during the course of the study to hear detailed presentations on the issues surrounding globalization and globalization’s impact on the current state of MSE R&D, the U.S. economy, and national security. In
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Globalization of Materials R&D: Time for a National Strategy
addition, numerous private interviews were conducted with individuals and colleagues in academia, the federal research agencies, and industry. The committee also organized a poll of a self-selected sample of members of the materials community. The committee is grateful to several professional societies—the American Ceramic Society, the American Physical Society, the Federation of Materials Societies, the Materials Research Society, The Minerals, Metals and Materials Society, the Society for Biomaterials, and the Society of Manufacturing Engineers—for their assistance and to John Armor, Tia Benson-Tolle, Keith Bowman, James Daley, Duane B. Dimos, Robert Hawsey, Terry Lowe, John E. Marra, Ozden Ochoa, Greg Schoeppner, Robert Shull, and Kathleen Taylor for their valuable suggestions and their critical input to the committee’s report.
Chapter 1 of this report defines MSE and globalization in the broadest sense and examines the history of globalization and R&D in general. Chapter 2 focuses on indicators for the emergence of global research activity in MSE. Chapter 3 updates the NRC report Experiments in International Benchmarking of U.S. Research Fields (2000) in some of the materials subfields. Chapter 4 examines various U.S. regulatory regimes—export, technology transfer, intellectual property, tax policy, immigration, environmental safety and health, and product approval—that might influence corporate R&D globalization decisions. Chapter 5 discusses the economic and national security impacts for the United States of the globalizing trends in MSE R&D. Chapter 6 presents a series of recommendations based on the conclusions drawn in each of the chapters and aimed at defining a strategy for maintaining access to critical, cutting-edge MSE R&D. Because this study was sponsored by the Department of Defense (DOD), the committee focused much of its attention on analyzing and recommending particular actions for DOD and its agencies.
It is clear to the committee that the United States and other leading industrial nations are experiencing the globalization of MSE R&D. While R&D is moving offshore to support manufacturing facilities in central Europe and Asia, a much more important aspect of globalization is the massive and accelerating investments that foreign governments, most notably China and India, are making in their own R&D infrastructures, particularly education. This trend is occurring at a time when such investments in the United States are falling. The enrollment of foreign students in graduate science and engineering education at U.S. universities is dropping rapidly and that of U.S. students is in free fall. The Organisation for Economic Co-operation and Development (OECD) reports that in 2000, the share of students in China graduating with engineering degrees was about 40 percent while for the United States it was about 5 percent. Clearly, the United States has a serious problem in education that must be addressed at the national/ federal level if it is to maintain its leadership in innovation. The solution to this
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problem is too important to our future to be left to local decision makers. Like much of U.S. commerce, the U.S. defense and intelligence communities have been successful because they have had access to a one- or two-generation lead in critical technologies.
It is the committee’s hope that the conclusions and recommendations in this report will help prepare the United States to deal effectively with the globalization of MSE R&D, secure the nation from future threats, and ensure continued access to the best domestic or foreign MSE R&D in the world.
Finally, I wish to thank all the committee members for their insights, inputs, and various contributions to this study. I also wish to thank the staff of the National Materials Advisory Board for their assistance in the development and execution of this study and in the production of this report.
Peter Bridenbaugh, Chair
Committee on Globalization of Materials Research and Development
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Globalization of Materials R&D: Time for a National Strategy
Acknowledgment of Reviewers
This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report:
John Allison, Ford Motor Company,
Siegfried S. Hecker, Los Alamos National Laboratory,
Don Hillebrand, Argonne National Laboratory,
Conilee G. Kirkpatrick, HRL Laboratories,
Neil E. Paton, private consultant,
Rustum Roy, Pennsylvania State University
Lyle H. Schwartz, private consultant
Richard S. Stein, University of Massachusetts,
Ellen D. Williams, University of Maryland,
Albert F. Yee, University of California, Irvine, and
Joel S. Yudken, AFL-CIO.
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Globalization of Materials R&D: Time for a National Strategy
Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Elsa Garmire, Dartmouth College. Appointed by the National Research Council, she was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.
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Globalization of Materials R&D: Time for a National Strategy
Contents
EXECUTIVE SUMMARY
1
1
MATERIALS AS GLOBAL ACTIVITY: SETTING THE SCENE
11
Materials Science as a Priority for the United States,
16
Globalization and R&D,
19
What Is Globalization?,
19
What Is the Impact of Government?,
22
What Is the Impact of Industry?,
23
2
INDICATORS FOR TRENDS IN GLOBALIZATION
34
Is MSE R&D Becoming a Global Activity?,
34
The Use of Patent Indicators,
34
Global Trends in MSE Patent Data,
36
Global Trends in MSE Literature Data,
38
Globalization of the U.S. Materials Community,
40
Information Technology as an Enabler of Globalization,
43
Globalization of Corporate MSE R&D,
44
Some Trends in MSE Education,
52
Materials Education Today,
52
Conclusion on Education,
59
Summary Remarks,
62
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Globalization of Materials R&D: Time for a National Strategy
3
BENCHMARKING OF MATERIALS SCIENCE AND ENGINEERING R&D
63
The 2000 Benchmarking Report,
64
Snapshots of the Current Status of Materials Subfields,
66
Biomaterials,
66
Ceramics,
69
Composites,
70
Magnetic Materials,
73
Metals,
74
Electronic and Optical-Photonic Materials,
77
Superconducting Materials,
79
Polymers,
83
Catalysts,
84
Nanomaterials,
88
Current Status of MSE R&D,
92
4
THE REGULATORY REGIME AS A DRIVER
94
Export Regulation and Technology Transfer,
94
Bayh-Dole Act,
94
Export Regulations,
95
Export Regulation and Technology Transfer (Offsets),
97
Tariffs,
98
Intellectual Property Law,
98
Tax Policy,
100
Other Regulatory Regimes,
101
Immigration,
101
Environmental and Safety and Health Standards,
101
Product Approval Regulation,
102
Summary,
103
5
ASSESSING THE IMPACTS OF MATERIALS SCIENCE AND ENGINEERING R&D GLOBALIZATION
105
Economic Impact,
105
Background,
105
Some Key Economic Factors,
107
Some Key Trends,
109
Discussion,
110
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Globalization of Materials R&D: Time for a National Strategy
National Security Impact,
111
Background and Some Key Trends,
111
Discussion,
114
Access and Control,
117
6
CONCLUSIONS AND RECOMMENDATIONS
119
Overview: Some Conclusions About Globalization and Its Impacts,
119
Globalization and U.S. Leadership in MSE R&D,
120
Impacts of the Globalization of MSE R&D,
121
Maintaining Access,
123
Maintaining Access with Better Monitoring,
125
Maintaining Access with Better Benchmarking,
126
Maintaining Access with a Better Understanding of Long-Term Security Needs,
127
Maintaining Access with Better Management of Regulatory Regimes,
128
Maintaining Access by Remaining on the World Stage,
129
Maintaining Access by Managing the Education System and Maintaining an Infrastructure,
130
Final Remarks,
132
APPENDIXES
A Committee Biographies
135
B Presentations to the Committee at its Public Meetings
141
C Global Trends in MSE Patents
143
D Global Trends in Literature Authorship
160
E Results of the Community Poll
170
F Superalloy Case Study
178
G Environmental and Safety and Health Regulations
189
H Defining 21st Century Defense Needs
194
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