Industrial Technology Assessments

An Evaluation of the Research Program of the Office of Industrial Technologies

Committee on Industrial Technology Assessments

National Materials Advisory Board

Board on Manufacturing and Engineering Design

Commission on Engineering and Technical Systems

National Research Council

Publication NMAB-487-4

NATIONAL ACADEMY PRESS
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Industrial Technology Assessments An Evaluation of the Research Program of the Office of Industrial Technologies Committee on Industrial Technology Assessments National Materials Advisory Board Board on Manufacturing and Engineering Design Commission on Engineering and Technical Systems National Research Council Publication NMAB-487-4 NATIONAL ACADEMY PRESS Washington, D.C.

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NATIONAL ACADEMY PRESS 2101 Constitution Avenue, N.W. Washington, D.C. 20418 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 panel responsible for the report were chosen for their special competencies and with regard for appropriate balance. 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 Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce Alberts 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. William 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. Kenneth I. Shine is president of the Institute of Medicine. The National Research Council was established 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 of 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. Bruce Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council. This project was conducted under a contract with the Department of Energy. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the view of the organizations or agencies that provided support for the project. Copyright 1999 by the National Academy of Sciences. All rights reserved. International Standard Book Number: 0-309-06631-X Available in limited supply from: National Materials Advisory Board National Research Council 2101 Constitution Avenue, N.W. Washington, D.C. 20418 202-334-3505 nmab@nas.edu Additional copies are available for sale from: National Academy Press 2101 Constitution Avenue, N.W. Box 285 Washington, D.C. 20055 800-624-6242 or 202-334-3313 (in the Washington metropolitan area) http://www.nap.edu Printed in the United States of America.

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COMMITTEE ON INDUSTRIAL TECHNOLOGY ASSESSMENTS R. RAY BEEBE (chair), Consultant, Tucson, Arizona GARY A. BAUM, Institute of Paper and Science Technology, Atlanta, Georgia JOHN V. BUSCH, IBIS Associates, Wellesley, Massachusetts NORMAN A. GJOSTEIN, Consultant, Dearborn, Michigan FRANCIS C. McMICHAEL, Carnegie-Mellon University, Pittsburgh, Pennsylvania MAXINE L. SAVITZ, AlliedSignal Aerospace Corporation, Torrance, California National Materials Advisory Board Staff THOMAS E. MUNNS, Associate Director AIDA C. NEEL, Senior Project Assistant National Materials Advisory Board Liaison KATHLEEN C. TAYLOR, General Motors Corporation, Warren, Michigan Government Liaisons DENISE SWINK, U.S. Department of Energy, Washington, D.C. JAMES E. QUINN, U.S. Department of Energy, Washington, D.C.

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NATIONAL MATERIALS ADVISORY BOARD EDGAR A. STARKE (chair), University of Virginia, Charlottesville JESSE L. BEAUCHAMP, California Institute of Technology, Pasadena EARL DOWELL, Duke University, Durham, North Carolina EDWARD C. DOWLING, Cleveland Cliffs, Inc., Cleveland, Ohio THOMAS EAGAR, Massachusetts Institute of Technology, Cambridge ALASTAIR GLASS, Bell Laboratories, Lucent Technologies, Murray Hill, New Jersey MARTIN E. GLICKSMAN, Rensselaer Polytechnic Institute, Troy, New York JOHN A.S. GREEN, The Aluminum Association, Washington, D.C. SIEGFRIED S. HECKER, Los Alamos National Laboratory, Los Alamos, New Mexico JOHN H. HOPPS, Morehouse College, Atlanta, Georgia MICHAEL JAFFE, New Jersey Center for Biomaterials and Medical Devices, Piscataway SYLVIA M. JOHNSON, SRI International, Menlo Park, California SHEILA F. KIA, General Motors Research and Development, Warren, Michigan LIAS KLEIN, Rutgers, The State University of New Jersey, Piscataway HARRY A. LIPSITT, Wright State University, Dayton, Ohio ALAN G. MILLER, Boeing Commercial Airplane Group, Seattle, Washington ROBERT C. PFAHL, Motorola, Schaumberg, Illinois JULIA PHILLIPS, Sandia National Laboratories, Albuquerque, New Mexico KENNETH L. REIFSNIDER, Virginia Polytechnic Institute and State University, Blacksburg JAMES WAGNER, Case Western Reserve University, Cleveland, Ohio JULIA WEERTMAN, Northwestern University, Evanston, Illinois BILL G.W. YEE, Pratt and Whitney, West Palm Beach, Florida RICHARD CHAIT, Director

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BOARD ON MANUFACTURING AND ENGINEERING DESIGN F. STAN SETTLES (chair), University of Southern California, Los Angeles ERNEST R. BLOOD, Caterpillar, Inc., Mossville, Illinois JOHN BOLLINGER, University of Wisconsin, Madison JOHN CHIPMAN, University of Minnesota, Minneapolis DOROTHY COMASSAR, GE Aircraft Engines, Cincinnati, Ohio ROBERT A. DAVIS, The Boeing Company, Seattle, Washington GARY L. DENMAN, GRC International, Inc., Vienna, Virginia ROBERT EAGAN, Sandia National Laboratories, Albuquerque, New Mexico MARGARET A. EASTWOOD, Motorola, Inc., Schaumburg, Illinois EDITH M. FLANIGEN, UOP (retired), White Plains, New York JOHN W. GILLESPIE, University of Delaware, Newark JAMIE C. HSU, General Motors, Warren, Michigan RICHARD L. KEGG, Milacron, Inc., Cincinnati, Ohio JAMES MATTICE, Universal Technology Corporation, Dayton, Ohio CAROLYN W. MEYERS, North Carolina A&T State University, Greensboro FRIEDRICH B. PRINZ, Stanford University, Palo Alto, California DALIBOR F. VRSALOVIC, AT&T Laboratories, Menlo Park, California JOSEPH WIRTH, RayChem Corporation. (retired), Los Altos, California JOEL S. YUDKEN, AFL-CIO, Washington, D.C. RICHARD CHAIT, Director

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PANEL ON INTERMETALLIC ALLOY DEVELOPMENT NORMAN A. GJOSTEIN (chair), Consultant, Dearborn, Michigan JOHN V. BUSCH, IBIS Associates, Wellesley, Massachusetts TIMOTHY HOWSON, Wyman-Gordon Company, North Grafton, Massachusetts LYMAN A. JOHNSON, GE Aircraft Engines, Cincinnati, Ohio HARRY A. LIPSITT, Wright State University, Dayton, Ohio ANATOLY NEMZER, FMC Corporation, Princeton, New Jersey MAXINE L. SAVITZ, AlliedSignal Aerospace Corporation, Torrance, California PANEL ON MANUFACTURING PROCESS CONTROLS GARY A. BAUM (chair), Institute of Paper Science and Technology, Atlanta, Georgia THOMAS G. DEVILLE, Bechtel Technology and Consulting, San Francisco, California RICHARD J. EBERT, Alcoa Technical Center, Alcoa Center, Pennsylvania DENNIS K. KILLINGER, University of South Florida, Tampa STEVEN R. LECLAIR, U.S. Air Force Research Laboratory, WPAFB, Ohio JAY LEE, United Technologies Research Center, East Hartford, Connecticut FRANCIS C. MCMICHAEL, Carnegie-Mellon University, Pittsburgh, Pennsylvania JORGE L. VALDES, Bell Laboratories, Lucent Technologies, Murray Hill, New Jersey PANEL ON SEPARATION TECHNOLOGIES FOR INDUSTRIAL RECYCLING AND REUSE GEORGE E. KELLER II (chair), Consultant, South Charleston, West Virginia R. RAY BEEBE, Consultant, Tucson, Arizona RICHARD J. FRUEHAN, Carnegie-Mellon University, Pittsburgh, Pennsylvania NORMAN N. LI, NL Chemical Technology, Inc., Arlington Heights, Illinois EVE L. MENGER, Corning, Inc. (retired), Corning, New York GUIDO P. PEZ, Air Products and Chemicals, Inc., Allentown, Pennsylvania PETER H. PFROMM, Institute of Paper Science and Technology, Atlanta, Georgia RONALD W. ROUSSEAU, Georgia Institute of Technology, Atlanta MICHAEL P. THOMAS, Alcan Aluminum Corporation, Shelbyville, Tennessee

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Acknowledgments The Committee on Industrial Technology Assessments would like to thank all of the participants in the workshop panel studies, which were the principal data-gathering sessions for this study. The information and insight from these groups were invaluable to the committee. In addition, the committee would like to thank those individuals who prepared presentations for committee meetings. Presenters included: Edward Dowling of Cyprus Amax; Joseph Wirth of RayChem; Gary Denman of GRC International; Paul Peercy of SEMI/SEMATECH; William Hanson of MIT Leaders in Manufacturing Program; Helena Chum of the National Renewable Energy Laboratory; Peter Angelini of Oak Ridge National Laboratory; Thomas Foust of the Idaho National Engineering Laboratory; Al Slywester of Sandia National Laboratories; and Thomas Foust, Doug Kaempf, Gideon Varga, Kurt Sisson, William Parks, and Marsha Quinn of the Department of Energy's Office of Industrial Technology. The committee is particularly grateful to Jim Quinn and Denise Swink and the staff of the Office of Industrial Technology for their technical assistance and support. This report has been reviewed by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC's Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the authors and the NRC in making the 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 content of 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 participation in the review of this report: James

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J. Solberg, Purdue University; Edward Dowling, Cleveland Cliffs, Inc.; Gordon Forward, TXI Corporation; Michael Thomas, Alcan Aluminum Corporation; and Jay Lee, United Technologies Research Center. While the individuals listed above have provided many constructive comments and suggestions, responsibility for the final content of the report rests solely with the authoring committee and the NRC. Finally, the panel gratefully acknowledges the support of the staff of the National Materials Advisory Board and Board on Manufacturing and Engineering Design, including Thomas E. Munns, study director, and Aida C. Neel, senior project assistant.

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Preface In 1993, the U.S. Department of Energy (DOE) Office of Industrial Technology (OIT) established a group of seven industries designated as Industries of the Future (IOF). These industries were selected for their high energy use and large waste generation. The original IOF included the aluminum, chemicals, forest products, glass, metalcasting, petroleum refining, and steel industries. Each industry was asked to provide a future vision and a road map detailing the research required to realize its vision. In November 1994, the forest products industry was the first of the IOF industries to enter into an agreement with DOE. OIT asked the National Research Council's National Materials Advisory Board (NMAB) to provide guidance for OIT's transition to the new IOF strategy. The Committee on Industrial Technology Assessment (CITA) was formed for this purpose with the specific tasks of reviewing and evaluating the overall OIT program, reviewing selected OIT-sponsored research projects, and identifying crosscutting technologies (i.e., technologies applicable to more than one industry). CITA was asked to focus on three specific areas: intermetallic alloys, manufacturing process controls, and separations. A separate panel was formed to study each area and publish the results in separate reports. The committee was composed of experts with a wealth of knowledge in industrial processing, industrial energy utilization, and environmental issues and technologies. The committee members, in addition to serving on panels, held four meetings to develop the overall program assessment and to oversee the study panels. The committee meetings included briefing sessions on the organization and status of the OIT program; a review of project selection and management issues in industrial, academic, and government research programs; a review of specific IOF industry approaches to project selection and prioritization; and a

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discussion of the role of the national laboratories in the IOF program. The conclusions and recommendations of the committee can be found in chapters 3 and 4. Chapter 3 includes general conclusions and lessons to be drawn from the panel studies of selected crosscutting technologies. Chapter 4 includes the committee's assessment of the overall program. The chair wishes to thank the committee members for their enthusiasm, dedication, and service and the excellent OIT staff for their assistance, cooperation, and professionalism. The chair thanks all of the participants for their insights and stimulating discussions and the staff of the NMAB for their coordination and assistance throughout the entire process, including the publication of this report. Comments and suggestions can be sent via electronic mail to nmab@nas.edu or by FAX to NMAB (202) 334-3718. R. RAY BEEBE, chair COMMITTEE ON INDUSTRIAL TECHNOLOGY ASSESSMENTS

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Contents     Executive Summary   1 1   Introduction   9     Committee on Industrial Technology Assessments,   10     Report Objectives,   11 2   IOF Program Overview   12     Motivation,   14     IOF Program Strategy,   15     IOF Process,   15 3   Crosscutting Programs   18     Case Study 1:Intermetallic Alloy Development,   18     Case Study 2:Manufacturing Process Controls,   23     Case Study 3:Industrial Separation Processes,   26     Conclusions and Lessons Learned,   30 4   Assessment of the IOF Approach   32     Implementation,   33     Management,   48     Overall Assessment,   50     References   52     Biographical Sketches of Committee Members   55

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Acronyms AF&PA American Forest and Paper Association AIM advanced industrial materials AISI American Iron and Steel Institute API American Petroleum Institute ATS advanced turbine systems CEO chief executive officer CFCC continuous-fiber ceramic composites CITA Committee on Industrial Technology Assessments CMC Cast Metals Coalition CTO chief technology officer DARPA Defense Advanced Research Projects Agency DOD Department of Defense DOE Department of Energy ECUT energy conversion and utilization FY fiscal year I&I Inventions and Innovations IOF Industries of the Future LCC Laboratory Coordinating Council MEMS microelectromechanical systems NICE3 National Industrial Competitiveness through Energy, Environment, and Economics NMA National Mining Association NRC National Research Council NSF National Science Foundation OIT Office of Industrial Technology ORNL Oak Ridge National Laboratory R&D research and development

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Tables, Box, and Figures Tables 4-1   Status of Industry Cost Sharing for IOF-Specific Projects (as of October 1998)   40 4-2   Budget Trends for OIT Program Areas (in $ millions)   42 4-3   Trends in IOF-Specific Allocations (in $ millions)   43 Box 2-1   A Case History: The Forest Products Industry   13 Figures 4-1   Aluminum industry summary road map for the development of inert anode technology   35 4-2   ''Pathway'' (road map) for the forest products industry   37

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