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MATERIALS SCIENCE AND E GINEER G FORGING STRONGER LINKS TO USERS Committee on Materials Science and Engineering: Forging Stronger Links to Users National Materials Advisory Board Commission on Engineering and Technical Systems National Research Council Publication NMAB-492 NATIONAL ACADEMY PRESS Washington, D.C.
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NATIONAL ACADEMY PRESS · 2101 Constitution Avenue, NW · Washington, DC 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 Insti- tute of Medicine. The members of the panel responsible for the report were chosen for their special competencies and with regard for appropriate balance. This study by the National Materials Advisory Board was conducted under a contract with the Department of Defense, National Aeronautics and Space Administration, Na- tional Science Foundation, and the Department of Energy. Any opinions, findings, conclu- sions, or recommendations expressed in this publication are those of the authorts) and do not necessarily reflect the view of the organizations or agencies that provided support for the project. Available in limited supply from: National Materials Advisory Board 2101 Constitution Avenue, N.W. Washington, D.C. 20418 202-334-3505 nmab @nas.edu International Standard Book Number: 0-309-06826-6 Library of Congress Catalog Card Number 99-68968 Additional copies are available for sale from: National Academy Press Box 285 2101 Constitution Ave., N.W. Washington, D.C. 20055 800-624-6242 202-334-3313 (in the Washington metropolitan area) http://www.nap.edu Cover: Scanning electron micrograph of a device with IBM's six-level copper intercon- nect technology. Source: Courtesy of International Business Machines Corporation. Un- authorized use not permitted. Copyright 1999 by the National Academies. All rights reserved. Printed in the United States of America.
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National Acaclemy of Sciences National Acaclemy of Engineering Institute of Meclicine National Research Council 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. Bruce M. 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 meet- ing 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 respon- sibility 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 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 Acad- emies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council.
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COMMITTEE ON MATERIALS SCIENCE AND ENGINEERING: FORGING STRONGER LINKS TO USERS DALE STEIN (chair), Michigan Technological University (emeritus), Tucson, Arizona BRADEN R. ALLENBY, AT&T, Warren, New Jersey MALCOLM R. BEASLEY, Stanford University, Stanford, California LOUIS L. BUCCIARELLI, Massachusetts Institute of Technology, Cambridge JOHN V. BUSCH, IBIS Associates, Inc., Wellesley, Massachusetts JOHN A. DECAIRE, National Center for Manufacturing Sciences, Ann Arbor, Michigan GEORGE E. DIETER, University of Maryland (emeritus), College Park WILLIAM D. DOYLE, University of Alabama, Tuscaloosa NORMAN A. GJOSTEIN, Ford Motor Company (retired), Dearborn, Michigan HUGH R. MACKENZIE, MAC, Inc., Bourne, Massachusetts WILLIAM D. MANLY, Oak Ridge National Laboratory, Oak Ridge, Tennessee NEIL E. PATON, Howmet Corporation, Whitehall, Michigan TRESA M. POLLOCK, Carnegie Mellon University, Pittsburgh, Pennsylvania JANE M. SHAW, IBM, Yorktown Heights, New York RONALD D. SHRIVER, Honda of America Manufacturing, Inc., Marysville, Ohio MALCOLM C. THOMAS, Allison Engine Company, Indianapolis, Indiana ROBERT H. WAGONER, Ohio State University, Columbus NMAB Staff ROBERT M. EHRENREICH, Senior Program Officer THOMAS E. MUNNS, Associate Director PAT WILLIAMS, Senior Project Assistant Technical Consultants DONALD SHAW, Texas Instruments Incorporated (retired), Dallas, Texas Liaison Representatives LANCE DAVIS, U.S. Department of Defense, Washington, D.C. ROBERT GOTTSCHALL, U.S. Department of Energy, Germantown, Maryland DONALD U. GUBSER, Naval Research Laboratory, Washington, D.C. JAMES KELLY, Office of Naval Research, Arlington, Virginia ROBERT L. RAPS ON, Wright Laboratory, Wright Patterson Air Force Base, Ohio v
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VINCENT J. RUSSO, Wright Laboratory, Wright Patterson Air Force Base, Ohio LEWIS SLOTER, U.S. Department of Defense, Washington, D.C. DENNIS J. VIECHNICKI, U.S. Army Research Laboratory, Aberdeen Proving Ground, Maryland STEVEN G. WAX, Defense Advanced Research Projects Agency, Arlington, Virginia THOMAS A. WEBER, National Science Foundation, Arlington, Virginia vim
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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 . . v~
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Dedication THIS REPORT Is DEDICATED TO THE MEMORY OF ROBERT LAUDISE, the chairman of the NMAB at the time this report was commissioned and a prime mover in developing the theme of the report. We all remember Robert as a per- son of uncommon technical ability, with the vision and passion required of a leader; yet so warm and human, with a happy smile and quick wit. We shall miss him greatly. Blessed is he who carries within himself a God, an ideal and who obeys it ideal in art, ideal in science, ideal in gospel virtues; therein lies the springs of great thoughts and great actions: they all reflect light from the infinite. Louis Pasteur (1822-1895) . . . vail
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Preface MATERIAES ARE IMPORTANT. NEW MATERIAES often provide opportunities for rapid technological advancements, but to seize those opportunities, the materials must be adapted and integrated into economically viable products. As history shows, this has not been easy. Studies show that it often takes 20 or more years for a new material to make a significant penetration into the market. Many challenges will have to be overcome for the nation to derive the full benefit of new materials essential for a vibrant, safe, and environmentally friendly economy. The materials community has an opportunity to play a central role, but it will require changes in both mind-sets and methods. Can the leisurely pace be improved? Probably. This report examines the many links in the chain from basic research to the introduction of a new material into the market and discusses how the links can be strengthened to accelerate the introduction of new materials into the marketplace. Many factors influence the effectiveness of these interactions, including maturity of the industry, frequency of major changes in the product, openness to innovation, profitability, and com- petitiveness. As a consequence, new materials find their way from the laboratory to the marketplace by a multitude of pathways. Although no single formula can ensure the rapid introduction of new materi- als to the marketplace, practices and policies that facilitate the introduction of new materials have been identified. The objective of this report is to broaden the understanding of the complex factors that can impede the introduction of new materials and to suggest changes in practices and policies to promote the intro- duction of new materials: researchers must have a better understanding of the constraints of the marketplace; users must be more receptive to new materials and processes; and educators must focus more attention on team building, industrial Six
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x PREFACE ecology, design, and production. Most important, a way must be found to navi- gate the so-called "valley of death," the transfer of the materials technology from the researcher to the end-user. For this report, the committee conducted in-depth studies of three industry sectors: the automotive industry, the jet-engine industry, and the computer-chip and information-storage industries. In addition to the expertise of the committee members, the committee conducted workshops for each case-study industry. Rep- resentatives of the MS&E community, the industrial research community, supply companies, and systems integrators participated in the workshops. The informa- tion gathered in these workshops was synthesized and used as a basis for this report and the development of findings and recommendations. Comments and suggestions can be sent via electronic mail to firstname.lastname@example.org or by FAX to NMAB (202) 334-3718. Dale F. Stein, chair Committee on Materials Science and Engineering: Forging Stronger Links to Users
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Acknowledgments THE COMMITTEE WOWD EIKE TO THANK THE PRESENTERS and participants in the three industry workshops that served as the principal data-gathering ses- sions for this study. Presenters at the November 1997 electronics industry workshop were: Barry Schechtman, NSIC; Sheldon Schultz, University of Cali- fornia at San Diego; David Thompson, IBM Almaden Research Center; Robert Rottmayer, Read-Rite; Thomas Howell, Quantum; Paul Peercy, SEMI/ SEMATECH; Woodward Yang, Harvard University; Don Shaw, Texas Instru- ments; Alain Harrus, Novellus; Pier Chu, Motorola; James McElroy, NEMI; Michael Pecht, University of Maryland; William Chen, IBM; Jack Fischer, Inter- connection Technology Research Institute; and Robert MacDonald, Intel. Pre- senters at the January 1998 turbine-engine industry workshop were: Ambrose Hauser, GE Aircraft Engines; Michael Goulette, Rolls-Royce PLC; Gary Roberge, Pratt and Whitney; Anthony Giamei, United Technologies; Kathy Stevens, Wright Laboratories; James Williams, GE Aircraft Engines; Peter Shilke, GE; Harry grill-Edwards, consultant; Robert Noel, Ladisch Company, Inc.; Greg Olson, QuestTek Innovations; Gernant Maurer, Special Metals Corporation; Ken Harris, Cannon-Muskegon Corporation; William Parks, U.S. Department of Energy; Mark Fulmer, Federal Aviation Administration; Tony Freck, consultant; and Larry Fernbacher, Technology Assessment and Transfer. Presenters at the March 1998 automotive industry workshop were: Christopher Magee, Ford Motor Com- pany; Roger Heimbuch, General Motors; Sam Harpest, Honda; Andrew Sherman, Ford Motor Company; Darryl Martin, AISI International; Peter Bridenbaugh, Alcoa; Ken Rusch, Budd Plastics; Kenneth Browell, GE; John McCracken, TWN, Inc.; John Allison, Ford; Floyd Buch, Duralcan; Joseph Heremans, General Motors; Sam Froes, University of Idaho; Bryan McEntire, Norton; and Jeff x~
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xt! ACKNOWLEDGMENTS Dieffenbach, IBIS Associates. The committee would like to give special thanks to Ivan Amato for developing the case study vignettes. This report has been reviewed by individuals chosen for their diverse per- spectives 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 the institutional standards for objectivity, evidence, and responsiveness to the study charge. The content of the review comments and draft manuscript re- main 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: Kathleen Taylor, General Motors; Robert Aplan, Pennsylvania State University; Gernant Maurer, Special Metals Corporation; Robert Eagan, Sandia National Laboratories; Robert Pfahl, Motorola; Julia Weertman, Northwestern University; and James Williams, Ohio State University. While the individuals listed above have provided many constructive comments and suggestions, responsibility for the content of this report rests solely with the authors. Finally, the committee gratefully acknowledges the support of the staff of the National Materials Advisory Board, including Robert Schafrik, former director of the NMAB, who got the project off the ground; Robert Ehrenreich, who pro- vided technical support and program management throughout the data-gathering and report-development phases of the study; Thomas Munns, who shepherded the report through review and publication; and Pat Williams, who provided ad- ministrative support throughout the entire study.
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Contents EXECUTIVE SUMMARY 1 INTRODUCTION Taxonomy, 7 Study Mode of Operation, 10 2 MATERIALS DEVELOPMENT AND COMMERCIALIZATION PROCESS Duration and Drivers of Materials Transitions, 13 Conceptual Schema, 15 Phase 0: Knowledge-Base Research, 24 Phase 1: Material Concept Development, 27 Phase 2: Materials/Process Development, 29 Phase 3: Transition to Production, 38 Phase 4: Product Integration, 42 LINKAGES BETWEEN THE MS&E AND END-USER COMMUNITIES Industry-Industry Linkages, 44 Industry-University Linkages, 53 Industry-Government Laboratory Linkages, 62 Industry-Government Linkages, 63 Consortia, 66 4 PRIORITIES Setting the Stage for "Product Pull," 72 Getting Down to Business, 73 x~ 5 12 44 69
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xlv REFERENCES APPENDICES A ELECTRONICS INDUSTRY WORKSHOP B TURBINE-ENGINE INDUSTRY WORKSHOP C AUTOMOTIVE INDUSTRY WORKSHOP D BIOGRAPHICAL SKETCHES OF COMMITTEE MEMBERS CONTENTS 76 81 91 97 102
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Tables, Figures, and Boxes TABLES 1-1 1-2 2-1 2-2 3-1 Value of Industry Shipments of Basic Raw Materials in 1996, 6 Value of Industry Shipments of Fabricated Raw Materials, 7 Examples of Takeover Times and Substitution Midpoints, 13 Characteristics of Product Development Phase (Phase 4), 42 Characteristic Time Scales for Academia and Automotive Industry, 59 FIGURES ES-1 Relationships in the MS&E community, 1 ES-2 Notional phases of the innovation process, 2 Graphical representation of the connections among the common elements in the MS&E R&D discipline, 8 Graphical representation of the connections among the common elements in the entire MS&E discipline, including the end-user, 10 2-1 2-2 2-3 Timeline for the adoption of single-crystal, first-stage, high-pressure turbine blades for jet engines, 14 Conceptual schema of materials/processes development and commercialization processes, 25 Revised conceptual schema of materials development and commercialization, 26 xv
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xv! 2-4 Characteristics of knowledge-base research (Phase 0), 28 2-5 Characteristics of material concept development (Phase 1), 32 Characteristics of material process development (Phase 2), 36 Characteristics of transition to production (Phase 3), 43 2-6 2-7 TABLES, FIGURES, AND BOXES 3-1 3-2 2-1 2-2 2-3 2-4 2-5 2-6 2-7 3-1 A-1 B-1 C-1 Typical user chain for materials production cycle, from raw material to the ultimate destiny of all materials, 45 Schematic representation of the linkages associated with industrial ecology, 56 BOXES Single-Crystal Turbine Blades, 16 Copper Interconnects for Semiconductor Chips, 18 Titanium Aluminides: Unrequited R&D, 20 Capitalizing on Luck: The Development of Tungsten Filament Wire, 22 Great Good Fortune: Data Storage, Magnetoresistance, and Giant Magnetoresistance, 30 Accelerated Innovation in the Semiconductor Industry, 34 Tailor-Welded Blanks, 40 Arsenic and Silver-Laced Water, 54 Agenda for the Electronics Industry Workshop, 82 Agenda for the Turbine-Engine Industry Workshop, 92 Agenda for the Automotive Industry Workshop, 98
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Acronyms ATP Advanced Technology Program CMOS complementary metal oxide semiconductors CRADA cooperative research and development agreement DARPA Defense Advanced Research Projects Agency DOD U.S. Department of Defense DOE U.S. Department of Energy ERC engineering research centers FAA Federal Aviation Administration GMR giant magnetoresistance GOALI Grant Opportunities for Academic Liaison with Industry HDD hard disk drive I/O input/output IOF Industries of the Future I/UCRC industry/university cooperative research centers ManTech Manufacturing Technology Program MR magnetoresistance MS&E materials science and engineering NEMI National Electronics Manufacturing Initiative NAICS North American Industrial Classification System NSIC National Storage Industry Consortium NSTC National Science and Technology Council OEM original equipment manufacturer PNGV Partnership for a New Generation of Vehicles R&D research and development SIC Standard Industrial Classification S/IUCRC state/industry university cooperative research centers TWO technical working group . . xv
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